International Journal of Iberian Studies

Volume 21 Number 1 2008
The scope of IJIS
The International Journal of Iberian Studies (IJIS) is the academic journal for scholars from around the world whose research focuses on contemporary Spain and Portugal from a variety of disciplinary perspectives. IJIS is interested in history (twentieth century onwards), government and politics; foreign policy and international relations, including with the European Union; labour and social movements; social and welfare policies; economics and business management; work and employment; spatial, urban and regional developments; regional nationalism and ethnic identities; feminist thought and gender policies; education and cultural debates; media, television, cinema and advertising policies; tourism, leisure and sports policies and management; and Spanish and Portuguese language and linguistic issues. Research articles for peer review should be innovative with respect to the knowledge base on contemporary Spanish and Portuguese affairs, and be grounded in the relevant literature. Prospective guesteditors are welcome to approach the Editor, Dr. Monica Threlfall, with a proposal for a themed issue In addition, an Open section offering a forum for shorter comment on contemporary events, trends and debates, interviews, obituaries and key documents, contributes to IJIS’s mission to stimulate scholarly interest in Spain and Portugal as complex societies with growing international profiles. Prospective contributors should submit material to Lourdes Melción Book reviewers and publishers should approach the Reviews Editor (Spain) Dr Lesley Twomey: or the Reviews Editor (Portugal) Dr Margaret Clarke: directly. IJIS publishes predominantly in English with a selection of articles in Spanish or Portuguese. IJIS selects research articles through a double-blind peer review process that seeks to be inclusive within scholarly parameters. Our aim is to publish accepted articles within 6–9 months of initial submission.

Editorial Advisory Board
Sebastian Balfour – London School of Economics & Political Science Nancy Bermeo – Princeton University Anny Brooksbank Jones – Sheffield University Salvador Cardús – Universidad Autónoma de Barcelona Julián Casanova – Universidad de Zaragoza David Corkill – Manchester Metropolitan University Richard Gillespie – Liverpool University Helen Graham – Royal Holloway University of London Montserrat Guibernau - Queen Mary University of London Kerstin Hamann – University of Central Florida, USA Paul Heywood – Nottingham University Santos Juliá – UNED, Madrid Clare Mar-Molinero – Southampton University Sandi Michele di Oliveira – University of Copenhagen Enrique Moradiellos – Universidad de Extremadura Hugh O’Donnell – Glasgow Caledonian University Ludolfo Paramio – Consejo Superior de Investigaciones Científicas Paul Preston – London School of Economics & Political Science Donald Share – University of Puget Sound, USA Constanza Tobío – Carlos III University, Madrid
The International Journal of Iberian Studies is published three times per year by Intellect, The Mill, Parnall Road, Bristol, BS16 3JG, UK. The current subscription rates are £33 (personal) and £210 (institutional). A postal charge for the Europe is £9.00 and £12.00 outside the Europe. Enquiries and bookings for advertising should be addressed to: The Marketing Manager, The Mill, Parnall Road, Bristol, BS16 3JG, UK. Individual numbers of ACIS Volumes 1–8 (two numbers per volume) are available to IJIS subscribers (as are IJIS back numbers), and a list of ACIS contents is available on request from Intellect.
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Monica Threlfall
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Reviews Editor (Spain)
Lesley Twomey
Northumbria University

Reviews Editor (Portugal)
Margaret Anne Clarke
Portsmouth University

ISSN 1364–971X

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IJIS Notes for Contributors 2008
1) Prerequisites Articles should: • Be original and not be under consideration by any other publication • Not normally exceed 8000 words • Be written in a clear and concise style • Conform to the instructions outlined below 2) Format of submitted articles • Submissions to IJIS should be sent, in the first instance, in an email message to the Editor with an anonymised attachment, entitled with the article title only. • One anonymised hard copy should posted to the Editor with: the author’s name, institutional affiliation, biographical note and institutional address and e-mail for correspondence on a separate sheet from the article. This is to maintain confidentiality during peer review. * Articles should present, after the title: - An abstract (max. 150 words) in English, regardless of the language of the article Book Format: • Author surname, Initial (year), Title in italics, Place of publication: Publisher. e.g. Preston, P. (1986), The Triumph of Democracy in Spain, London: Methuen. Article format: • Author surname, Initial (year), ‘Title in single quotation marks’, Name of journal in italics, volume number: issue number (and/or month or quarter), page reference of entire article. For example, Corkill, D. (1992), ‘Imperfect bipolarism? Portugal’s political system after the 1991 parliamentary election’, ACIS, 5: 2 (Spring), pp. 20-34. Web publication format: • Websites should be referenced as publishers of material. A separate author and the title of the information/document/pdf article should be supplied, as should the date of access, where appropriate. e.g. Gentile, A. (2003), ‘En las tramas del McJob: descualificación laboral y riesgos de vulnerabilidad social para los trabajadores de fast food’, Documento de Trabajo del CSIC, UPC 03-13, Accessed 23 January 2004. • If the website is the ‘home site’ of an organization publishing material without named author(s), the organization should appear as the author. e.g. PSOE (2004), ‘Zapatero pide al PSOE que sea la voz de los ciudadanos’, News item 2 February 2004, Accessed on 3 February 2004. Printed Newspaper format: • Newspaper articles should be referenced by their authors if there is a by-line, i.e. Surname, Initial (Year), ‘Headline title’, Newspaper Title, date of publication, page reference. Electronic Newspaper format: • If it is a web news article, the day/month/year of its initial publication should be given. eg. news articles from El Mundo or El País online. - Keywords (max. 6) • Articles should be printed on one side only and double-spaced. • Margins should be 1 inch/2.5 cm all round, and not use hyphenation • Pagination should be continuous with numbers applied top right. • Images - tables, photographs, graphs and graphics - should all be entitled ‘Figure’ and numbered consecutively, as well as be clearly printed. The source must be indicated below. If all images are less than half a page, they may be inserted into the text according to the place of insertion. Otherwise, they should be placed on separate pages at the end of the article. In this case, ensure that an indication has been given as to where they should be placed in the text, e.g. Insert Figure 3 here. • Quotations should be used sparingly and be identified by ‘single’ quotation marks if they are embedded in the text. Longer quotations (i.e. longer than 45 words) must be indented without quotes. Both should be referenced using the Harvard system (see below). The page number(s) should be included. • Foreign words and phrases inserted in the text should be italicized. 3) Footnotes, Endnotes and References • Explanatory ‘notes’ should be kept to a minimum: they will appear in the outside margins of the text. Please use Word’s (or equivalent) note-making facility and ensure that they are submitted as Endnotes, not Footnotes and place note calls outside the punctuation (i.e. after the comma or full-stop). The note call must be in superscripted Arabic (1, 2, 3), not Roman (i, ii, iii). • Bibliographical references should use the ‘Harvard system’. So (author + year: page) - e.g. (Preston 1986: 84) should be inserted into the text. • Each reference should be included in a list of ‘References’ at the end of the text. Publications not mentioned in the text should not be included in this list, though they may be included under a separate ‘Further Reading’ list.

The guidance on this page must be read in conjunction with Intellect Notes for Contributors, obtainable on request from the Editor, or from <>. Any matters concerning the format and presentation of articles not covered by the above notes should be addressed to the Editor.

International Journal of Iberian Studies Volume 21 Number 1 © 2008 Intellect Ltd Article. English language. doi: 10.1386/ijis.21.1.3/1

Academic cheating in Spain and Portugal: An empirical explanation
Aurora A.C. Teixeira INESC Porto; Faculdade de Economia,
CEMPRE, Universidade do Porto

Maria de Fátima Rocha Universidade Fernando Pessoa, Portugal

Despite its obvious interest and potential for concern, empirical research on the cheating phenomenon among university students has almost exclusively been carried out in the United States, usually covering only a few universities in a given region. Little is known about cheating in European universities, let alone the Iberian Peninsula. In this article we aim to contribute towards filling this gap by presenting evidence of this illicit behaviour in Portugal and Spain. Based on a survey of undergraduate students on Economics and Management courses, we conclude that there is a pervasive ‘culture’ of cheating in these two countries, reaching relatively high levels in universities. Using econometric techniques, which control for a wide set of variables likely to influence a student’s propensity to cheat, we found that Spanish students are relatively more prone to breaching the academic code of conduct than their Portuguese counterparts, and that the implementation of Honour Codes by universities constitute a promising approach in curbing cheating in academia.

tertiary education academic standards cheating Spain Portugal

1. Introduction
Through its effect on the quality of the education system, cheating influences the assessment of the stock of human capital, usually calculated on the basis of the ‘quantity’ and ‘quality’ of education (Barro and Lee 2000; Hanushek and Kimbo 2000; Teixeira 2005). Cheating tends to reduce the efficiency of a country’s education system by distorting honest competition among students (Magnus et al. 2002). The phenomenon of cheating in universities is of overwhelming importance, since students engaging in it are least likely to have the necessary skills for their future professional lives, and awarding them a degree will most probably lead to various kinds of damage. Indeed, the entry of unfit professionals into the job market may lead to ‘social ills’, since these future workers will almost certainly be unable to perform properly, possibly resulting in harm to human life and damage both to their colleagues and to the institution that trained them. What is more, the entire educational environment may also be affected, since the magnitude of cheating means that more effort has to be spent controlling it – an effort that could be better applied to learning (Dick et al. 2003).
IJIS 21 (1) 3–22 © Intellect Ltd 2008


Cheating is a concept that is hard to define. Dick et al. (2003) mention a wide range of possible kinds of cheating, deciding that, on the whole, cheating is the breach of defined and accepted rules and standards. Cheating in examinations is one form of academic fraud widely alluded to in studies dealing with this matter (e.g. Bunn et al. 1992; McCabe and Trevino 1997; Tibbetts 1999; Sheard and Dick 2003; Hrabak et al. 2004). Despite its recognised magnitude, the empirical evaluation of cheating phenomena among university students has been almost exclusively focused on the US context, covering usually on a few universities in a given region. Furthermore, non-US related studies involve a narrow scope of countries/regions, such as Australia, Japan, Israel, and Russia, and, in Europe, The Netherlands and Croatia. In this context, it is fair to say that little is known about cheating phenomena in Europe. In this article we aim to contribute to filling this gap by presenting evidence on such sanctionable breaches of university rules in the two Iberian countries: Portugal and Spain. In addition to the determinants of copying, on which the existing literature has mostly focused, we propose an innovative, more wide-ranging, econometric specification that includes a variable which quantifies the magnitude of the ‘benefits’ that students perceive they will gain from cheating, such as a better grade, in comparison with not cheating. Moreover, another ‘contextual’ determinant is also suggested for the probability of cheating, namely, whether or not the educational establishment has a code of honour. The article is organised as follows. The next section presents an overview of existing studies on the topic of academic cheating. In Section 3 the methodology applied in gathering the data is described, and Section 4 presents the statistical description of data. The econometric specification used for evaluating the phenomenon and the results are detailed in the final section.

2. On the determinants of cheating behaviour: a review
With Becker’s seminal study (1968), the economics of crime gained renewed importance. Formalising illegal behaviours in terms of a costbenefit analysis, Becker (1968) defended the economic rationality of people committing criminal acts. He believed that criminal behaviour resulted from the maximisation of the individual utility function in certain risk situations. Crimes were thus only committed if the resulting gains outweighed the expected punishment (Garoupa 2001). There are other complementary forms of theorising illegal behaviour, as described by Ehrlich (1973) and Wolpin (1978). The first study (Ehrlich 1973) not only followed the same line of reasoning as Becker’s model (decisions weighted for costs and benefits) but also developed a time allocation model for legal and illegal activities, and made it possible to forecast changes from legal to illegal activities, as well as the magnitude of each of these (Horvath and Kolomaznikova 2002). The studies by Becker, Ehrlich and Wolpin were among the more formal approaches, regarded as pioneering in the analysis of the economics
Aurora A.C. Teixeira and Maria de Fátima Rocha

of crime. More recent studies on cheating (e.g., Bunn et al. 1992; Kekvliet and Sigmund 1999) are of an essentially empirical nature. They are based on econometric specifications consistent with the assumption of a relation between fraudulent behaviour and the notion of costs and benefits resulting from it. Thus, these studies are adaptations of Becker’s crime model to academic dishonesty.1 Most of studies that examine the prevalence of cheating in universities in quantitative terms (cf. Table A1 in Appendix) show that the extent of cheating is considerable – affecting over one third of students. In one of the pioneering studies by Bunn et al. (1992), involving an analysis of two higher education courses in Microeconomics in Alabama (USA), the authors found that half the students surveyed admitted to having copied. They also found that cheating was ‘normal’ among students, with 80 per cent of them saying that they had seen a colleague cheating and half saying that they had seen a colleague being caught copying. Apart from the prevalence of the phenomenon, such illicit behaviour seems to be quite well accepted among the student community, with 28 per cent of students admitting to knowing colleagues who copy regularly. The widespread occurrence of the phenomenon seems to be explained by the fact that most students (70%) do not see cheating as a serious offence. In another context (two public universities in the United States) and covering more courses (six Economics classes), Kerkvliet (1994) collected data in two different ways (direct response and random response questionnaires), and found that in the random response questionnaire (which he felt guaranteed greater confidentiality and thus more honest answers), 42 per cent of students indicated they had copied in an exam at least once. In a later study, covering twelve classes in the two universities, Kerkvliet and Sigmund (1999) estimated that an average of 13 per cent of the students surveyed had copied at least once. But there was considerable disparity among the groups, ranging from 0.2 per cent in the least ‘deceitful’ class to 32 per cent in the one where cheating was most prevalent. The authors say this disparity is due to the different measures of ‘intimidation’ used in the various classes (number of tests per student; who is in charge of discipline surveillance in the universities; space per student in the exam hall; number of test versions used by the teacher; type of exam). Taking a larger population than that covered in the Bunn et al. (1992) study, Nowell and Laufer (1997) looked at two higher courses in the United States (Economics and Accounting) and concluded that the average propensity for dishonesty was around 27 per cent. More recently, and with reference to other scientific areas, findings by Sheard and Dick (2003) in a study on postgraduate students in Information Technology at a university in Melbourne (Australia) showed that 9 per cent of students admitted to being involved in serious forms of cheating in exams. In other study on illicit behaviour among students from the 2nd to the 6th year of Medicine, in a Croatian university, Hrabak et al. (2004) found that 94 per cent admitted to having committed some kind of deceit at least once
Academic cheating in Spain and Portugal: An empirical explanation


Rocha and Teixeira (2005b) account for the distinct forms of theorising illegal behaviours and adapt Becker’s crime model (1968) to cheating.


during their studies. When it came to copying answers from other colleagues and using ‘cheat sheets’ (crib sheets), the percentages were 52.2 per cent and 34.6 per cent, respectively. Furthermore, a considerable percentage (66.4 per cent) of Psychology and Management students in three Dutch universities admitted to having cheated (Bernardi et al. 2004). Most studies systematically indicate a number of determinants for student dishonesty. These may be grouped into factors associated with student characteristics; factors related to the institution, variables influencing the likelihood of the phenomenon being detected and the respective cost of detection; and also causes associated with the benefits of cheating (when they are not caught) and the benefits of not copying. In what follows we provide a brief account of these factors, summarised in Table A2 in Appendix. The average mark/grade that the student achieves in his/her course is a determinant of cheating used in most of the studies – Bunn et al. (1992), Kerkvliet (1994), Nowel and Laufer (1997), Kerkvliet and Sigmund (1999), and Hrabak et al. (2004). Usually a negative correlation is expected between the average course grade and cheating in an exam, as it is reckoned that students with a high average course grade would gain less from cheating than those with lower averages. Most of the authors (Kerkvliet 1994; Nowell and Laufer 1997; Kerkvliet and Sigmund 1999) do not find the course average to be statistically significant, that is, results were inconclusive in this regard. Nonetheless, Hrabak et al. (2004) argue that the student’s course average could be relevant in explaining attitudes to cheating. They take the view that students with a higher average grade have a more negative attitude to cheating than those with a lower one, and also disapprove of swapping questions by phone during an exam, and of using personal relations to pass an exam. Besides the students’ average grade/mark, we suggest here that a critical determinant of the propensity to cheat, linked to the cost/benefit idea, is the students’ perceived ‘benefits’, since they expect to obtain a higher grade if they copy successfully. Along this line of reasoning, we tested the following hypotheses: Hypothesis 1: The likelihood of cheating rises when the difference between the mark/grade the students expect if they copy, compared with the mark/grade that they expect if they do not, is positive. Hypothesis 2: The probability of cheating is higher, the greater the value of the difference between the mark the students say they expect if they copy and the mark they expect if no cheating takes place. Contextual factors and the environment, peer pressure and attitudes towards academic dishonesty are also other conditioning factors for the development of illicit academic practices. In fact, Bunn et al. (1992) found that the likelihood of cheating is directly related to observing others doing so, and the perception of the extent to which students routinely copy. In other words, the probability of a student having already copied is conditioned by his/her beliefs in relation to other students who copy.
Aurora A.C. Teixeira and Maria de Fátima Rocha

Furthermore, these authors assess the students’ perception in relation to the severity of the punishment for copying, and use this and other indicators of the ‘cheating climate’ as perceived by students to evaluate their perception of the percentage who copy. They find evidence for the belief among students that, given the negligible impact of intimidation measures and expected punishments, it is very unlikely that they will be caught copying. In addition, they find that students do not think cheating is a serious crime, which could contribute to the occurrence of higher rates of this phenomenon. Thus we put forward: Hypothesis 3: In copying-favourable environments where permissiveness towards cheating is high, students’ propensity to cheat tends to be higher. Conversely, the higher and more serious the perceived sanctions, the fewer incentives students have for dishonest behaviour. The role of ‘codes of honour’ was examined by McCabe et al. (2003). The honour code is a group of practices used mostly in American universities where the students are trusted not to cheat and administer responses to cheating.2 McCabe et al. do not directly analyse the influence of codes of honour on the probability of cheating. Instead, they assess whether this phenomenon has an effect on the academic integrity of university staff in terms of their attitudes and behaviour. McCabe et al. found that staff employed in universities which have a code of honour have more positive attitudes towards policies to enforce academic integrity and are more willing to allow the system to take measures to warn and discipline students. Furthermore, McCabe et al. confirmed that, where there is no code of honour, university faculty members believe that students should be responsible for monitoring their peers, since they recognise the fairness and efficiency of their institutions’ policies of academic integrity. Following this line of argument we hypothesise here that: Hypothesis 4: In universities where ‘codes of honour’ exist, the propensity to cheat among students is lower. Differences in education systems across countries and social factors are likely to constitute an important factor in explaining students’ propensity to cheat. For instance, Diekhoff et al. (1999) detect differences and similarities in American and Japanese students who cheat in exams. Weighting the limitations associated with the distinct composition of the two samples (both in terms of size and factors associated with various demographic characteristics, such as gender, age and school year), the data reveal that, in comparison with the Americans, Japanese students are more prone to copying in exams. They further say that the Japanese system, which assesses academic success/performance with one or very few types and periods of assessment, creates greater pressure on the students, and more incentives to copy. Moreover, and in terms of social involvement, Diekhoff et al. (1999) consider that if cheating is viewed as widespread, it is harder for Japanese students to resist the pressure to cheat and aid their fellow students to do so, given the deep-rooted group and team orientation among Japanese students. In a complementary
Academic cheating in Spain and Portugal: An empirical explanation


Some of the highestrated universities in the world, such as Stanford, present their Honour Code on the homepage of their website (http://www.stanford. edu/dept/vpsa/judicia laffairs/guiding/honor code.htm). We can thus read that “[t]he Honor Code is an undertaking of the students, individually and collectively: a) that they will not give or receive aid in examinations; that they will not give or receive unpermitted aid in class work, in the preparation of reports, or in any other work that is to be used by the instructor as the basis of grading; that they will do their share and take an active part in seeing to it that others as well as themselves uphold the spirit and letter of the Honor Code; b) The faculty on its part manifests its confidence in the honor of its students by refraining from proctoring examinations and from taking unusual and unreasonable precautions to prevent the forms of dishonesty mentioned above. The faculty will also avoid, as far as practicable, academic procedures that create temptations to violate the Honor Code; c) While the faculty alone has the right and obligation to set academic requirements, the students and faculty will work together to establish optimal conditions for honorable academic work.”



In Rocha and Teixeira (2005b) a detailed description of the different methods is provided presenting their relative strengths and weaknesses.

study, Magnus et al. (2002) conducted an experiment on students in secondary, higher and postgraduate education, in five different areas – Moscow, rest of Russia, Netherlands, USA and Israel – and show that both the level of teaching and the zone lead students to have distinct opinions about academic dishonesty. On average, Russian students are against denouncers, contrary to the views held by American students where ‘snitching’ is tolerated. It was also found that, on average (except for Russia), secondary school pupils are less tolerant of denouncing when compared with students in higher education, and the latter are less tolerant than postgraduates who have more understanding for denouncers. To the best of our knowledge, no study has so far been conducted on student dishonesty in the Iberian countries, thus little is known about such behaviour among Iberian university students. Therefore we hypothesise that: Hypothesis 5: The propensity to cheat is influenced by the countries’ education systems and social factors. It is important to point out that there are other factors indicated in the literature that can influence dishonest behaviour among students, which we also consider in our analysis, such as gender (Kerkvliet 1994; Nowell and Laufer 1997; Kerkvliet and Sigmund 1999; Tibbets 1999; Hrabak et al. 2004), year of study (Nowell and Laufer 1997; Kerkvliet and Sigmund 1999; Hrabak et al. 2004), and student status (Nowell and Laufer 1997). However, the strength of these variables is not clear cut and there is no consensus about them.

3. Methodology for quantifying the phenomenon of student dishonesty
The main problem when analyzing cheating in higher education is that it is hard to measure, and researchers have generally used their own observations to assess this type of behaviour (Nowell and Laufer 1997). There are four ways to obtain data on student dishonesty (Kerkvliet and Sigmund 1999): direct yet discrete observation of the phenomenon; the ‘overlapping error’ method; the ‘random answer questions’ method; and the ‘inspection via direct questions’ method. In this study, we have opted for the last method. Although this method takes no account of problems associated with any sensitivity to the kind of questions asked (like the random answers method), meaning that it can induce deviation in the estimates for student dishonesty (Kerkvliet and Sigmund 1999), it does have simplicity of implementation in its favour and a wealth of output for analysis. This is why ‘inspection via direct questions’ it is often the procedure used (e.g. Bunn et al. 1992; Magnus et al. 2002; Sheard and Dick 2003; Hrabak et al. 2004).3 We devised a one-page questionnaire in the line of Bunn et al. (1992) embracing a range of questions focusing on the main determinants associated with fraudulent student behaviour and adding new variables/questions which, in our view, were likely to influence cheating propensity
Aurora A.C. Teixeira and Maria de Fátima Rocha

(cf. Section 2). The questionnaire was implemented only for Economics and Management courses. In the case of Portugal, all eleven public universities were surveyed, encompassing 2,805 students. In Spain, we sent questionnaires to three universities with which our school has Erasmus Agreements, gathering 974 responses. This was a ‘convenient’ sampling criterion since contacts were rapidly established (through the corresponding university’s Erasmus exchange coordinator) and guaranteed a certain degree of desired comparability between courses, given that to participate in Erasmus Mobility Programmes, universities must meet certain academic requirements. As a result, we received a total of 3,779 valid questionnaires.

4. Statistical description of the data
Our survey on cheating propensity among Portuguese and Spanish undergraduate Economics and Management students points to an average cheating propensity of close to 67% per cent. Thus, similarly to the studies reviewed in Section 2, we conclude that the phenomenon of cheating in universities reaches very high levels. It should be noted that studies using a comparable methodology to this one had estimated cheating probabilities between 50 per cent (Bunn et al. 1992) and 62 per cent (Rocha and Teixeira 2005a). Focusing also on cheating practices, Hrabak et al. (2004) had pointed to figures between 34.6 per cent and 52.2 per cent. To pinpoint differences and similarities in cheating behaviours between these two Iberian countries, both the propensity to cheat and the observation of cheating in exams was analysed. Table 1 presents the results on frequency of cheating and Table 2 figures for the frequency with which students observe others copying. Undergraduate Economics and Management students admitted to cheating to a greater extent in Spain than in Portugal (nearly 80 per cent

Countries Portugal Spain

Total percentage of students in each country cheating Never Sometimes Often or Always 37.6 20.3 60.0 73.1 2.4 6.6

Probability of cheating (sometimes often always %) 62.4 79.7

% of total valid responses (n 3757) 74.1 25.9

Table 1: Frequency of cheating in Portugal and Spain.
Source: Calculations made by the authors based on direct survey conducted in the period February 2005–June 2006. Total percentage of students in each country Never Sometimes Often or Always 7.5 2.6 68.6 47.4 23.9 50.1

Countries Portugal Spain

Probability of observing cheating (%) 92.5 97.4

Total percentage of responses (n 3769) 74.2 25.8

Table 2: Frequency of ‘observing others copying’ in Portugal and Spain.
Source: Calculations made by the authors based on direct survey conducted in the periods February 2005–June 2006.

Academic cheating in Spain and Portugal: An empirical explanation


against slightly over 60 per cent, respectively). The proportion of those who claimed never to have copied in Portugal (37.6 per cent) is almost double the Spanish figure. As to the frequency with which students in each of these two countries engage in illegal practices during exams, the evidence reveals that the highest proportions of students admit to cheating sometimes in exams, and only a very small proportion admit to cheating in exams often or always. In both cases the percentages are higher in Spain where 79.7 per cent admitted to cheating in at least one exam compared to 62.4 per cent in Portugal. Observing other students cheating (Table 2) may constitute an indirect measure of cheating propensity and a reasonable indicator of a generalised ‘culture’ of cheating. Our research revealed the alarming fact that in both countries over 90 per cent of students (92.5 per cent in Portugal and 97.4 per cent in Spain) admitted to having seen others committing illegal behaviour in exams – and in Spain approximately half of the students claimed to observe such behaviour often or always. Thus, we can conclude that there is a pervasive ‘culture’ of cheating in the Iberian Peninsula, where the vast majority of students have observed others cheating. Nevertheless, the pattern of the frequency of the phenomenon is somewhat different in these two countries, as the high frequency of observing others cheating is more clearly detected in Spain (50.1 per cent) than in Portugal (23.9 per cent of students). The pervasiveness of cheating is further confirmed by the percentage of students who admitted knowing someone among their closer friends or relatives who copies regularly, again to a greater extent in Spain (85.7 per cent) than in Portugal (59.4 percent). Such pervasiveness is to a large extent explained by the opinion and attitude of students regarding fraudulent behaviour. From our study we found that, on the whole, only 10.4 per cent of the student respondents reckoned that cheating was a serious problem and around one third recognised that it deserved some concern. For the majority (55.3 per cent), cheating was either not a problem or only a trivial problem (Figure 1). In the Iberian student culture, cheating is a non-issue, even though both countries have preoccupying levels of cheating. It should be noted that in Spain, where the magnitude of cheating is greater, a considerable majority of students (65.3%) does not perceive it as a problem. Even more disturbing is that nearly half of all the respondents (46.7%) believed that cheating was an intentional act and only 11.7 per cent thought that cheating had occurred due to ‘last-minute’ panic. Another disquieting finding is that more than half of the students (55.6%) asserted that they would study (even) less if there were no supervision/invigilation during exams and/or no sanctions for illegal practices, suggesting that they would cheat to an even greater extent if there were no deterrents. In Spain the figures are again more alarming than in Portugal (65.8% against 52.1%, respectively). Furthermore, the percentage of students who admitted that they would spend much less time studying if there
Aurora A.C. Teixeira and Maria de Fátima Rocha

were no sanctions or supervision in exams is quite significant: in Spain, 36.9 per cent and in Portugal, 27 per cent. As seen in Figure 2, the general environment in both countries is quite permissive towards academic misconduct. The highest penalty students

Figure 1: Students’ opinion regarding cheating by country. Source: Calculations made by the authors based on a direct survey conducted in the period February 2005–June 2006.

Figure 2: Expected sanction for cheating by country. Source: Calculations made by the authors based on direct survey conducted in the period February 2005–June 2006.
Academic cheating in Spain and Portugal: An empirical explanation


expect from various types of deceit is that their exam will be annulled (given a mark of 0) (over 60 per cent in both countries) and only around 20 per cent anticipate severe sanctions for fraudulent misconduct. In Spain, a huge percentage (73.3%) of students who admitted to having copied at some point have been caught by academic staff, professors and/or invigilators. The figure in the Portuguese case is also significant (50.3%). Yet being caught has not prevented widespread academic misconduct in these countries, which further proves the ineffectiveness of the sanctions. We could conclude that both countries run an ineffectual university teaching system. This ineffectiveness is aggravated by the students’ widespread expectations of greater gains (higher marks/grades) if their cheating goes undetected. This explains why misconduct is so prevalent in both countries. Figure 3 shows similar student expectations in both countries, with 73.4 per cent of the students expecting a better mark/grade from cheating and only 6.5 per cent consider the possibility of a lower mark/grade after copying. Only some schools/universities in Portugal have some kind of binding document regulating cheating practices, the majority of which focus on deceitful practices in exams. None of the Spanish schools in the analysis have any type of written document in this regard. Moreover, we found that in schools that do have some type of written regulation (identifying and stipulating sanctions in cases when cheating is detected) or (more rarely) an honour code, the propensity to cheat is substantially lower in the latter case (Figure 4). Although at first glance age tends to be related to the year of schooling (2nd, 3rd, or 4th) in which the student is enrolled, the results across the board

Figure 3: Expected gain (in terms of a better mark/grade) as a result of cheating successfully, by country. Source: Calculations made by the authors based on a direct survey conducted in the period February 2005–June 2006.
Aurora A.C. Teixeira and Maria de Fátima Rocha

Figure 4: Cheating propensity by existence of honour code and by country. Source: Calculations made by the authors based on direct survey conducted in the period February 2005–June 2006.

Figure 5: Cheating propensity by age and by country. Source: Calculations made by the authors based on direct survey conducted in the period February 2005–June 2006. reveal a strong relationship between the propensity to copy and students in the final years of their degree, that is, when closer to graduating (Figure 5). For the total sample, students enrolled in the final year (4th year) reveal a 72.5 per cent likelihood of cheating compared to 62 per cent for those in their 2nd year. When analysing each country individually, in Spain, the highest likelihood was found among 3rd-year students (86.8%), even higher than in the 4th year (78.7%) and the 2nd year (75.9%), as Figure 6 clearly shows. Most of the students surveyed (87.9%) were ‘Normal’ or ‘Regular’ students (students enrolled normally in full-time programmes). Students who
Academic cheating in Spain and Portugal: An empirical explanation


Figure 6: Cheating propensity by schooling year and by country. Source: Calculations made by the authors based on direct survey conducted in the period February 2005–June 2006.

actively involved in student organisations (‘activist’ students – ASs) and those working part-time (WSs) only accounted for 2.4 per cent and 8.6 per cent respectively of the students surveyed, yet these two groups proved to be even more likely to engage in academic misconduct, namely 70 per cent in the case of ASs and 70.5 per cent in the case of WSs, against the 67.6 per cent of the so-called ‘regular’ students. This may reflect the fact that ASs and WSs have less time to devote to their studies. As to the question of whether higher or lower performing students are more likely to cheat, the data in this exploratory analysis revealed an inverse relationship between good performance (for which their average academic grade or Grade Point Average, GPA) was used as a proxy), and their likelihood to cheat, but it was not very significant. Considering the overall sample, 60.4 per cent of the better students (with average grades of 80 per cent or higher) admitted to cheating, which is a smaller proportion than their weaker colleagues (with average grades of 50–60%), among whom 69.8 per cent were likely to cheat, in other words, a 10 point gap. This tendency was evident in both countries (cf. Figure 7). Generally speaking, with the application of the statistical instrument of Pearson’s linear correlation coefficient we found that the probability to cheat appears statistically and positively correlated with the variation in the benefits gained from successful copying; the frequency with which other students are seen cheating and being caught copying; familiarity with those who copy regularly; time spent studying for an exam for which
Aurora A.C. Teixeira and Maria de Fátima Rocha

Figure 7: Cheating propensity by grade point average and by country. Source: Calculations made by the authors based on direct survey conducted in the period February 2005–June 2006. there will be no surveillance/sanctions; and the age and the year in which students are enrolled. Finally, older students and those who are closer to concluding their degrees are more inclined to cheating (see Table A3 in Appendix). The negative correlations can be summarised as follows. Students who are enrolled in schools that have codes of honour are, in general, less likely to cheat in exams. So are students with average marks/grades (GPA) of approximately 63 per cent or above, and those who perceive that the penalties for cheating are severe.

5. Assessing the determinants of academic cheating: model specification and results
The aim was to assess which are the main determinants of the propensity to cheat among university students. The statistics supporting these findings are appended at the end of this article (Tables A3 and A4). The results are as follows. As to the potential determinant ‘grade average’, as seen above, a negative correlation is usually expected between good student performance (average course mark/grade) and their propensity to cheat in an exam. Indeed, our results show that students with a high average grade would have less to gain from cheating than those with a lower average, that is, the opportunity cost for the former is higher than for the latter. Thus, our results corroborate those of Hrabak et al. (2004): students with a higher average reveal a lower propensity to cheat than those with a lower one. As to the potential determinant ‘expected gains’, we found that students who expect a positive increase in their grade through cheating do tend to cheat relatively more than those who do not expect to gain from cheating, although the difference is unexpectedly small. Thus Hypothesis 1
Academic cheating in Spain and Portugal: An empirical explanation


is corroborated, but only just. Furthermore, the value of the difference between the expected grades from cheating and from not cheating does not impact on the propensity to cheat, that is, Hypothesis 2 is not corroborated by the data. In brief, the relevant issue for students is any gain from cheating rather than the amount of gain they manage to achieve. Whether they believe they might gain an additional 5 or 15 points does not seem relevant in explaining their propensity to cheat. As to contextual factors and the environment, peer pressure, and attitudes towards academic dishonesty as factors, these emerged as important conditioning rather than explanatory factors for the development of illicit academic practices. Similarly to Bunn et al. (1992), we found that the likelihood of cheating is directly related to observing others doing so. The perception of the number of students who routinely copy, in other words the general propensity of students to cheat, is conditioned by their beliefs in relation to other dishonest practices. Those that perceive cheating as a more problematic/serious issue tend to cheat less. Moreover, factors such as students’ perception of the effectiveness of existing mechanisms to prevent cheating; the severity of the corresponding punishment (proxied by indicators such as ‘has seen others being caught cheating’); the influence of invigilators on the amount of time spent studying (how much less the student studies if there are no invigilators); and the expected sanction for cheating (from minor or no sanctions to getting expelled from the University) – all produced mixed results. On the one hand, students who admitted to studying much less for exams where there would be no invigilators tended to cheat more. Those that expected more serious punishments presented a lower cheating propensity. On the other, having seen others get caught tends to be associated with a higher degree of cheating. This latter aspect seems to indicate that, in some measure, a punitive environment discourages cheating, but seeing others become the victims of it does not. Among student characteristics as potential factors, such as gender, age or status as regular/full time enrolled student, or part-time student, or ‘activist’ student, only the year of schooling was found to have some effect on cheating propensity. Results reveal that on average students who are close to finishing their degree (i.e., are enrolled in the final year) have a higher propensity to cheat. Instead, cultural and social factors intrinsic to the country of origin were found in our case to be more relevant in explaining cheating propensity. Hypothesis 5, which assumes that the propensity to cheat is influenced by a country’s education system and social factors, is corroborated by our data – differences do exist between the Spanish and Portuguese education and social systems in this regard. In particular, there is a clearly higher propensity to cheat in exams in Spain than in Portugal that is not explained by other factors. Although beyond the scope of the present study, it would be of great interest to those involved in the maintenance of academic standards to explore the reasons behind these differences between Spanish and Portuguese students.
Aurora A.C. Teixeira and Maria de Fátima Rocha

Finally and most importantly, the existence of a university ‘code of honour’ as a factor that has a statistically significant and negative association with cheating was explored. Our findings confirm that in universities that have them, the propensity to cheat among students is lower – in other words such codes have a deterrent effect. Thus, our fourth hypothesis is corroborated. In fact, the present study reveals that, regardless of the country, context or student characteristics, the practice of instituting honour codes has significantly curbed deceitful acts among students. Therefore we have identified an issue that should be taken up by educational policymakers in Spain and Portugal. There is an urgent need for both universities and government to reflect on the need for appropriate codes of honour, like those applied in some renowned universities such as Stanford and Harvard. We also agree with Dick et al. (2003: 182) who correctly pointed out that ‘. . . deterring cheating is far more effective than detecting and punishing cheating due to the costly nature of formal responses to cheating, so academics should focus their time and energy on pre-empting cheating rather than detecting cheating’. The existence of honour codes comprises an excellent measure for pre-empting cheating. The recognition and quantification of the phenomenon of cheating in universities is an important (first) step in raising awareness among students and staff, so that ultimately cheating can become unacceptable. It is our belief that a feasible option in this direction includes gradually introducing codes of honour in each university/school. Acknowledgement
The authors are deeply grateful for insightful comments and suggestions from two referees and the Editor of the IJIS. The authors are also indebt to a large number of colleagues, both in Portugal and Spain, who help in the implementation of the survey and who, due to privacy reasons, are not named here. To all students that answered the survey a word of gratitude.

Works cited
Barro, R.J. and Lee, J.W. (2000), ‘International data on educational attainment updates and implications’, NBER Working Paper n 7911, National Bureau of Economic Research. Becker, G.S. (1968), ‘Crime and punishment: an economic approach’, Journal of Political Economy, 76: pp. 168–217. Bernardi, R.A., Metzger, R.L., Bruno, R.G.S., Hoogkamp, M.A.W., Reyes, L.E. and Barnaby, G.H. (2004), ‘Examining the decision process of students’ cheating behaviour: an empirical study’, Journal of Business Ethics, 50: pp. 397–414. Bunn, D.N., Caudill, S.B. and Gropper, D.M. (1992), ‘Crime in the classroom: an economic analysis of undergraduate student cheating behavior’, Journal of Economic Education, 23: pp. 197–207. Dick, M., Sheard, J., Bareiss, C., Carter, J., Joyce, D., Harding, T. and Laxer, C. (2003), ‘Addressing student cheating: definitions and solutions’, ACD SIGCSE Bulletin, 35: 2, pp. 172–184. Diekhoff, G.M., LaBeff, E.E., Shinohara, K. and Yasukawa, H. (1999), ‘College Cheating in Japan and the United States’, Research in Higher Education, 40: 3, pp. 343–353.

Academic cheating in Spain and Portugal: An empirical explanation


Ehrlich, I. (1973), ‘Participation in illegitimate activities: a theoretical and empirical investigation’, Journal of Political Economy, 81: pp. 521–565. Garoupa, N. (2001), ‘Optimal law enforcement when victims are rational players’, Economics of Governance, 2: pp. 231–242. Greene, W.H. (2003), Econometric Analysis, New Jersey: Prentice Hall. Hanushek, E. and Kimbo, D. (2000), ‘Schooling, labor-force quality and growth of nations’, American Economic Review, 90: 5, pp. 1184–1208. Horvath, R. and Kolomaznikova, E. (2002), ‘Individual decision-making to commit a crime: early models’, Law and Economics, n 0210001: pp. 1–17. Hosmer, D. and S. Lemeshow (1989), Applied Logistic Regression, New York: John Wiley & Sons. Hrabak, M., Vujaklija, A., Vodopivec, I., Hren, D., Marusic, M. and Marusic, A. (2004), ‘Academic misconduct among medical students in a postcommunist country’, Medical Education, 38: 3, pp. 276–285. Kerkvliet, J. (1994), ‘Cheating by economics students: a comparison of survey results’, Journal of Economic Education, 25: 2, pp. 121–133. Kerkvliet, J. and Sigmun, C.L. (1999), ‘Can we control cheating in the classroom?’, Journal of Economic Education, 30: 4, pp. 331–351. Laufer, D. and Nowell, C. (1997), ‘Undergraduate student cheating in the fields of business and economics’, Journal of Economic Education, 28: pp. 3–12. Magnus, J.R., Polterovich, V.M., Danilov, D.L. and Savvateev, A.V. (2002), ‘Tolerance of cheating: an analysis across countries’, Journal of Economic Education, 33: pp. 125–135. McCabe, D.L. and Trevino, L.K. (1997), ‘Individual and contextual influences on academic dishonesty: a multicampus investigation’, Research in Higher Education, 38: 3, pp. 379–396. McCabe, D.L., Butterfield, K.D. and Trevino, L.K. (2003), ‘Faculty and academic integrity: the influence of current honor codes and past honor code experiences’, Research in Higher Education, 44: 3: pp. 367–385. Pulvers, K. and Diekhoff, G.M. (1999), ‘The relationship between academic dishonesty and college classroom environment’, Research in Higher Education, 40: 4, pp. 487–498. Rettinger, D.A., Jordan, A.E. and Peschiera, F. (2004), ‘Evaluating the motivation of other students to cheat: a vignette experiment’, Research in Higher Education, 45: 8, pp. 873–890. Rocha, M.F. and Teixeira, A.C. (2005a), ‘College cheating in Portugal: results from a large scale survey’, FEP Working Papers, n 197, Faculdade de Economia, Universidade do Porto. ——— (2005b), ‘Crime without punishment: an update review of the determinants of cheating among university students’, FEP Working Papers, n 191, Faculdade de Economia, Universidade do Porto. Sheard, J. and Dick, M. (2003), ‘Influences on cheating practice of graduate students in IT courses: what are the factors?’, ACM SIGCSE Bulletin 35: 3, pp. 45–49. Teixeira, A.C. (2005), ‘Measuring aggregate human capital in Portugal: 1960–2001’, Portuguese Journal of Social Science, 4: 2, pp. 101–120. Tibbets, S.G. (1999), ‘Differences between women and men regarding decisions to commit test cheating’, Research in Higher Education, 40: 3, pp. 323–342. Whitey, Jr., B.E. (1998), ‘Factors associated with cheating among college students: a review’, Research in Higher Education, 39: 3, pp. 235–274. Wolpin, K.I. (1978), ‘An economic analysis of crime and punishment in England and Wales, 1894–1967’, Journal of Political Economy, 86: 5, pp. 815–840.
Aurora A.C. Teixeira and Maria de Fátima Rocha


Studies/authors Microeconometrics (2) Economics (6) Economics and Accounting (2) – USA (1), Japan (3) USA (2) (Midwest) USA (9) 1793 392, 276 280 USA (1) (Alabama) USA (2) USA (2) 476 363 311

Level of education

Courses (n )

Countries (n univ/country)

Number of students

Magnitude of ‘cheating’ 50.0% 42.2% 27.0% 30.0%

University – Undergraduate University – Undergraduate University –Undergraduate

Bunn et al. (1992) Kerkvliet (1994) Nowell and Laufer (1997) McCabe and Trevino (1997) Diekhoff et al. (1999)

University –Undergraduate

University –Undergraduate

Pulvers and Diekhoff (1999) USA (2)

University –Undergraduate

20.0% (USA) 55.4% (Jap) 11.6%

Academic cheating in Spain and Portugal: An empirical explanation

Kerkvliet and Sigmund (1999) Tibbetts (1999) Introductory Behavioral Science (6) Economics

University –Undergraduate

Sociology and Psychology related courses (6) Behavioral and Social Sciences, Criminal Justice, Economics and Physical Education (18) Economics (12)

597 598 885

12.8% 39.0% –

University –Undergraduate

USA (1) (Mid-Atlantic)

Magnus et al. (2002)

Sheard and Dick (2003) Bernardi et al. (2004) Hrabak et al. (2004) Rettinger et al. (2004)

Secondary, University – Undergraduate and Postgraduate University – Postgraduate Information Technologies Psychology and Management (2) Medical Sciences Arts (4)

Russia (Moscow and provincial Russia), USA; Netherlands; Israel Australia (1) (Melbourne) Netherlands (3) Croatia (1) (Zagreb) USA (1) (North-eastern)

112 220 827 103

9.0%–38.0% 66.4% 34.6%–52.2% 53.0%–83.0%

University – Postgraduate University – Undergraduate University – Undergraduate


Table A1: Magnitude of academic dishonesty among students found in previous studies.

Groups of determinants Student characteristics • • • • • • • • • • • • •

Determinants Gender Course average grade Consumption of alcohol Academic Year of studies Religious preference Student Status Have failed at least a year Moral factors and kind of personality Motivation and Competence Dimension and level of Class Category of teachers Existence of ‘honour code’ Classroom environment

Studies Kerkvliet (1994) Nowell and Laufer (1997) Whitey (1998) Kerkvliet and Sigmund (1999) Tibbetts (1999) Bernardi et al. (2004) Hrabak et al. (2004) Rettinger et al. (2004) Nowell and Laufer (1997) Whitey (1998) Pulvers and Diekhoff (1999) Kerkvliet and Sigmund (1999) McCabe et al. (2003) Bunn et al. (1992) Kerkvliet and Sigmund (1999)

Factors related with the educational institution

Cost of detecting academic dishonesty

• Teacher’s academic category • Existence of verbal warnings regarding the resultant consequences of cheating in exams • Number of tests by students whose goal is maintaining good behaviour • Spatial class occupation by student • Number of exam versions employed by the instructor • Type of exams • Expected grade/mark • Number of “free” hours by the student in the term • Type of Courses • Average number of weekly hours of study • Students’ opinion of those that copy or commit other types of academic dishonesty • Students’ perception of the percentage of students that copy and rival group behaviours • Intensity of work (“Workload”) • Pressure not to fail • Type of courses • Country/region • Students’ background • Students’ origin

Probability of detecting cheating Benefits of cheating (in case of not getting caught)

Kerkvliet and Sigmund (1999)

Whitey (1998) Kerkvliet and Sigmund (1999)

Benefits of not copying Others factors

Kerkvliet (1994) Kerkvliet and Sigmund (1999) Bunn et al. (1992)

Kerkvliet (1994)

McCabe and Trevino (1997) Nowell and Laufer (1997) Whitey (1998) Diekhoff et al. (1999) Magnus et al. (2002) Sheard and Dick (2003) Hrabak et al. (2004)

Table A2: Groups of factors influencing the propensity to cheat, based on previous studies.


Aurora A.C. Teixeira and Maria de Fátima Rocha

Mean 0 1 0.115*** 0.083*** 0 1 0.677*** 100 100 50 1 5 0.457*** 0.032* 0.291*** 0.080*** 0.042** 100 0.031* 0.022 0.029 0.000 0.086*** 0.073*** 0.020 0.023 0.050*** 0.296*** 0.277*** 0.187*** 0.077*** 0.092*** 0.194*** 0.086*** 0.087*** 0.082*** 0.212*** 0.127*** 0.021 0.029 0.149*** 0.045** 0.032* 0.148*** 0.102*** 0.014 0.004 0.236*** 0.014 0.042** 0.032* 0.058*** 0.015 0.038** 0.026 0.032* 0.104*** 0.040**

Min Max













13 0.106*** 0.037** 0.044** 0.006 0.140***

Expected benefits

Probability of cheating 0.669 0.471 (1) Gain Cheating 0.734 0.442 (2) D Gain Cheating 13,57 17,89

62,73 8,37

3,042 1,015

0.238*** 0.037**

0.657 0.475




0.289*** 0.119***


0.262*** 0.085***



2.416 0.849




0.016 0.131***





0.563 0.496 0 6




0.033* 0.030

0.165*** 0.045**

0.025 0.022

0.060*** 0.027

0.121*** 0.003

Academic cheating in Spain and Portugal: An empirical explanation
1 0 2 5 0.155*** 0.056*** 0.074*** 0.030 0.103*** 0.082*** 0 17 1 1 59 3

1.572 1.774

3,012 0.845

0.011 0.074*** 0.014 0.403***

0.578 0.626


Opportunity (3) Grade cost Context – (4) Frequency with permissibility which the act of and cheating is permeability observed (1: never . . . 5: always) (5) Familiarity with someone that cheats regularly (6) Opinion regarding cheating (1: not a problem . . . 4: serious problem) Sanctions (7) See someone being caught cheating (8) Amount of study if there is no surveillance (0: no influence . . . 6: study less 50% or more) (9) Expected sanction for cheating (10) Honour Code Student characteristics (11) Gender (12) Age (13) Schooling year (1: 2nd year . . . 3: 4th year)

0.579 0.494 21.67 2,96 2,056 0.829

Table A3: Descriptive statistics.

Note: significance levels ***1 per cent; **5 per cent; *10 per cent.

Model ˆ Expected Benefíts Opportunity cost Context – permissibility and permeability (1) GainCheating (2) D GainCheating (3) Grade (4) Frequency with which the act of cheating is observed (5) Familiarity with someone that cheats regularly (6) Opinion regarding cheating (7) See someone being caught cheating (8) Invigilators’ influence on amount of study (9) Expected sanction for cheating (10) Honour code (11) Country (Spain 1; Portugal 0) (12) Gender (Fem 1) (13) Age (14) Schooling year (15) Status_Assoc (16) Status_worker 0.477*** 0.004 0.987*** 1.312*** Exp( ˆ) 1.610 0.996 0.373 3,712


0.438*** 0.408*** 0.418*** 0.302*** 0.391*** 0.542*** 0.638*** 0.127 0.103 0.281** 0.239 0.109 3.695** 2971 2065 906 75.6 0.248 14.97 (0.160)

1.550 0.665 1.519 1.353 0.676 0.582 1.893 0.881 0.902 1.324 1.270 0.897 40.248

Honour code Countries Student characteristics

Constant N Cheated Not cheated Percentage corrected Nagelkerke R Square Hosmer and Lemeshow Test, Chi-Square (p-value)

Table A4: Determinants of academic dishonesty among university students (Maximum Likelihood estimation).
Note: significance levels ***1 per cent; **5 per cent; *10 per cent.

Contributor details
Aurora A. C. Teixeira is Assistant Professor in Economics at the Faculty of Economics, scientific coordinator of UITT (INESC Porto) and an associated research fellow at CEMPRE, University of Porto. She studied at the Science and Technology Policy Research Unit at the University of Sussex, UK, where she received her Ph.D. Her research focuses on the measurement and role of human capital in countries’ longterm growth. Recent works were published in the European Planning Studies, International Journal of Technology Management, Portuguese Economic Journal, Portuguese Journal of Social Science, The International Journal of Organisational Transformation and Social Change, and the Brazilian Innovation Review. She received an award from the Portuguese Economic and Social Council for her study on Portuguese growth Capital Humano e Capacidade de Inovação. Contributos para o estudo do crescimento Económico Português, 1960–1991. She is co-editor of Multinationals, Clusters and Innovation: Does Public Policy Matter? (Palgrave 2006). Contact: Aurora A.C. Teixeira, Faculdade de Economia do Porto, Rua Dr. Roberto Frias, 4200–464 Porto, Portugal. E-mail: Maria de Fátima Rocha is Professor at the Universidade Fernando Pessoa. She received (2006) her Ph.D. from Faculdade de Economia, Universidade do Porto. She has written several works on academic fraud and has recently published in the Journal of Research in Comparative and International Education.
Aurora A.C. Teixeira and Maria de Fátima Rocha

ACIS Conference Keynote Paper
International Journal of Iberian Studies Volume 21 Number 1 © 2008 Intellect Ltd Article. Spanish language. doi: 10.1386/ijis.21.1.23/1

En busca de la utopía: los Estudios Ibéricos, ¿puente o frontera? In search of utopia: Iberian studies as bridge or frontier
Enrique Banús Universidad de Navarra Abstract
Iberian Studies pose a fascinating problem from the point of view of hermeneutics – the study of theories of how to understand matters from another’s point of view. Given its vocation of building bridges, Iberian Studies have to face the problem that pre-judices and the history of any academic discipline weigh heavily on such an undertaking. An uncontaminated, unprejudiced position is neither possible nor desirable. Together with a close examination of such pre-judices and their action of transmitting knowledge about ‘otherness’, this article offers a reflection around the possibility of Iberian Studies as a ‘science of mediation’. Los estudios ibéricos plantean un apasionante problema desde el punto de vista de la hermenéutica – el estudio de las teorías de como entender los asuntos desde el punto de vista del otro. Dada su vocación de tender puentes, los estudios ibéricos se enfrentan a la problemática de que los pre-juicios y la historia de cualquier disciplina académica tienen un peso importante en esa tarea. La asepsia, la posición no-contaminada, no sólo es imposible, sino también indeseable. Junto a una descripción detallada de la estructura de esos pre-juicios y de su acción en la transmisión de los conocimientos sobre una ‘alteridad’, el artículo ofrece también una reflexión en torno a las posibilidades para una ‘ciencia de mediación’ como son los estudios ibéricos.

hermeneutics prejudice Iberian studies cultural mediation hermenéutica prejuicios Estudios Ibéricos mediación cultural

Permitan que les presente a Edward A. Murphy, Jr.
Fue un ingeniero americano que trabajaba en la fuerza aérea; es probablemente el descubridor de esa ley que nunca falla: la ley de Murphy.1 Una de sus derivaciones, ciertamente no descrita por el propio Murphy es que, en una entrevista, jamás saldrá publicado lo que has dicho. Por eso, es garantía de salud no leer las entrevistas que a uno le hacen. No debería ser lo mismo en el contexto científico. Sin embargo, hace algunos años acudí, en representación de mi Universidad, a un encuentro sobre estudios europeos organizado por
IJIS 21 (1) 23–40 © Intellect Ltd 2008 1 La historia de la Ley de Murphy no está tan clara. Parece que, en 1949, refiriéndose a uno de los técnicos que colaboraban en un experimento que no funcionaba, Murphy declaró: ‘Si


esa persona tiene una forma de cometer un error, lo hará’. En una publicación de 1952, la frase pasa a ser: ‘Todo lo que pueda salir mal, pasará’, aunque el autor no la pone en relación con Murphy (cf. Sack 1952). Es Lloyd Mallan, en Men, Rockets and Space Rats, quien en 1955 relaciona ambas cosas. Parece que la frase con la que se suele citar esta ley (‘Lo que pueda salir mal, saldrá mal’), nunca fue pronunciada por Edward Murphy. 2 En Wikipedia se encuentra la creencia en una ciencia sin prejuicios. Véase, si no, este sabroso comentario en una discusión: ‘Pues no: wikipedia no está para explicar la historia, wikipedia se hace por y para pequeños burgueses que quieren la verdad simple y llana’ (Mercedes 2007). Y si se encuentra en wikipedia, quiere decir que muchos están convencidos. (Todas las citas de internet han sido revisadas el 22 de enero de 2008.)

otra dignísima Universidad europea. Fuimos interviniendo allí unos y otros, y días después nos llegó un informe en que se afirmaba que el Profesor Banús había comenzado su intervención con un “llamado” (que dirían en algunos países) a una ciencia carente de prejuicios. Yo había dicho exactamente lo contrario: que la ciencia carente de prejuicios no existe, que toda ciencia tiene sus pre-juicios (en el sentido más neutro del término), que también las recepciones ‘científicas’ sólo a primera vista son asépticas, que están marcadas por ciertas decisiones previas, que con buena razón deben designarse como prejuicios, como explicaba Müller-Seidel (1969: 19). Es más; necesitan unos pre-juicios si no quieren enloquecer: en Filología, por ejemplo, cuando nos dedicamos a la Literatura (qué pena que no exista en castellano algo así como una “Literaturwissenschaft” alemana), aunque podemos perdernos en la pregunta de qué es un texto, utilizamos textos sin cada vez plantearnos (y plantear a nuestros estudiantes) si ese texto realmente es un texto; partimos de la base de que un texto es un texto, etc. Hay pre-juicios que nacen del hecho de que la Filología, la Historia o cualquier otra ciencia desde la que nos acerquemos a los estudios ibéricos, es una ciencia que tiene una historia, que ha llegado hasta aquí porque cientos y cientos de colegas nuestros han trabajado antes que nosotros. Algunos de sus descubrimientos, algunas de sus elucubraciones, algunas de sus interpretaciones han ido creando escuela, entrando en el acervo común de la ciencia, formando “tradiciones”. Dentro de cada disciplina hay tradiciones diferentes, posicionamientos varios. Ahí entra en juego la propia biografía, la historia personal, que ha ido dejando un poso de actitudes, de simpatías y antipatías, de “Weltanschauungen” (visiones del mundo) en plural, porque no siempre nuestra visión es monolítica, sino que encierra matices, incluso pequeñas contradicciones que nos hacen humanos). También ella configura nuestros pre-juicios y en muchos casos nos lleva también a optar por una de entre las diferentes tradiciones profesionales. Pero vivimos insertos no sólo en una ciencia, sino en una cultura, si por cultura entendemos ‘that complex whole which includes knowledge, belief, art, morals, law, custom, and any other capabilities and habits acquired by man as a member of society’, por utilizar la clásica definición de Edward B. Tylor (1871: 1). También esa cultura nos proporciona un “set” de prejuicios, de visiones, sobre “nosotros”, siempre a la busca de la respuesta a la acuciante pregunta de quiénes somos, esa cuestión que forma parte de la terna que se dice marca todos los empeños de la filosofía: “¿Quiénes somos?, ¿de dónde venimos?, ¿a dónde vamos?” Y ahí aparecen también las imágenes, los estereotipos del “otro” – lo cual enlaza directamente con los Estudios Ibéricos, que suponen eso: un encuentro con la alteridad. No, no existe la ciencia libre de prejuicios.2 Y es con todo este batiburrillo con el que nos dedicamos a los Estudios Ibéricos, en los que nos convertimos en mediadores, en transmisores, en constructores de puentes. Y nos insertan en todo un intercambio de mensajes sobre un ‘otro’ específico, intercambio del cual van emergiendo y se van modificando las opiniones
Enrique Banús

dominantes, las modas y también, con la fosilización de algunas de estas modas, la mentalidad colectiva, la actitud de una sociedad frente a otra. Además, en ese intercambio de mensajes ocupamos una posición especial, pues estamos investidos de autoridad, la autoridad de los llamados expertos. Y ya está dicho todo lo esencial. Se trata, pues, simplemente de analizarlo más en detalle —¿un ejemplo de aquel dicho: “por el análisis a la parálisis”? — y de aportar algunos ejemplos.


No fue Unamuno, sino Menéndez Pidal el ganador de dicho certamen.

Algunas tesis que intentan probar lo dicho TESIS I
Hay pre-juicios que nacen del hecho de que la filología, la historia o cualquier otra ciencia desde la que nos acerquemos a los estudios ibéricos, es una ciencia que tiene una historia, que ha llegado hasta aquí porque cientos y cientos de colegas nuestros han trabajado antes que nosotros. Algunos de sus descubrimientos, algunas de sus elucubraciones, algunas de sus interpretaciones han ido creando escuela, entrando en el acervo común de la ciencia, formando ‘tradiciones’.
‘Un cantar seco y ferozmente latoso. (. . .) Literariamente es aquello una lata, una monumental lata, que ni por sus descripciones, ni por los caracteres, ni por nada sobresale mucho’.
(Unamuno 1977: 52, 53; cursiva original)

Así se desahogaba Unamuno en dos cartas de 1894, tras haber presentado una gramática y un glosario del Poema del Cid al concurso convocado por la Real Academia Española en 1892.3 En 1920, en cambio, se refería a la obra como ‘el viejo y venerable Cantar de mio Cid, en que el alma del pueblo de Castilla balbuce sus primeras visiones’ (Unamuno 1968: 1025). ¿Por qué este cambio de actitud? ¿Qué ha pasado en esos menos de treinta años? El cambio de tono en Unamuno se corresponde con una modificación en la valoración del Cantar en general. Sobre todo las obras de Menéndez Pelayo y Menéndez Pidal han contribuido, por ejemplo, a que la “rudeza” ahora se valore positivamente como “natural” expresión del pueblo. Se defiende ahora también la veracidad histórica del Poema. Por estos y otros argumentos, se considera que el Poema es una obra de gran valor. Su estilo se considera ahora desde la categoría de “poesía popular” o “natural”. Evidentemente, todo ello se basa en prejuicios, tanto sobre la existencia de “espíritus nacionales” como sobre las características del carácter nacional español (o castellano). Esta recepción coincide en elementos esenciales con las opiniones de dos autores, Menéndez Pelayo y Menéndez Pidal, cuyo rango de “autoridad” ha llegado a ser indiscutible, si por autoridad se entiende el resultado de un proceso de recepción y, con ello, de escritura de la historia de una disciplina. No es necesario que en todos los casos haya una influencia directa de los dos autores, es decir, una experiencia de lectura; simplemente contribuyen a crear un clima de opinión que se transfiere por las diferentes instancias de mediación.
En busca de la utopía: los Estudios Ibéricos, ¿puente o frontera?



Esta percepción probablemente tiene mucho que ver con Ludwig Pfandl (véase Pfandl 1929). Es un tópico ya con una cierta antigüedad. No extraña que Bouterwek llame a la época post-lopesca ‘Geschichte des Absterbens der alten spanischen Poesie und Beredsamkeit’ (1804: 553).


La propia filología hispánica mantiene (o ha mantenido durante largos períodos) estereotipos respecto de la propia literatura. Otro de sus mitos ha sido Lope de Vega, representante genial del carácter nacional,4 visión que tiene una larguísima pervivencia y puede alcanzar temáticas muy alejadas en el tiempo, como la recepción de García Lorca en Dámaso Alonso. En efecto, en su conocido artículo de 1952 Federico García Lorca y la expresión de lo español, Dámaso Alonso parte de que España es diferente: ‘Salió España más agria y más suya, más cerrada, más trágica, más obsesionante que las otras naciones’. Y, si ‘todo pueblo necesita expresarse a sí mismo’, ‘la autoexpresión hispánica’ será distinta: para describirla, sólo sirven ‘imágenes torrenciales o eruptivas’ (Alonso 1952: 271). ‘Terrible intensidad de lo peculiar, violencia casi brutal de su exteriorización: he ahí la presencia de España. Es ése el genio arrebatado de lo español, que algunas veces estalla produciendo extraños seres contorsionados, visionarios’ (Alonso 1952: 271s), ‘verdaderos estallidos de sustancia hispánica’ (Alonso 1952: 272), por ejemplo el Arcipreste de Hita y Lope de Vega, que reunió ‘en el haz de su genio todos los elementos de hispanidad’ (Alonso 1952: 273). Y tras Lope, el desierto (otro tópico de la historia literaria),5 hasta que llegara García Lorca, cuyo arte ‘es función hispánica en absoluto’ (Alonso 1952: 274):
Hacia nuestros días se concentraron, pues, de nuevo las esencias hispánicas, se condensó toda nuestra dispersa tradición [. . .]; y surgió de este modo el arte de García Lorca. Surgió porque sí, porque [. . .] tenía que cumplirse la ley de nuestro destino: España se había expresado una vez más.
(Alonso 1952: 274s)

Este es ‘el destino de la personalidad artística de Federico García Lorca: ser expresión de España’ (Alonso 1952: 279). Federico, pues, ‘tenía que ser’ (Alonso 1952: 274). Hay muchos otros ejemplos de tradiciones intra–filológicas que responden a pre–juicios. Se puede recordar, por ejemplo, que hasta los años sesenta, la historiografía (francesa) de la literatura francesa mantuvo que en Francia no había existido el Barroco. Al prejuicio había contribuido sin duda Gustave Lanson (1923), cuando dividía el siglo XVII en ‘La preparación de las obras maestras’, ‘La primera generación de los grandes clásicos’ y ‘Los grandes artistas clásicos’, sin dejar lugar al Barroco. Como escribía Aguiar e Silva (1986: 277), ‘gracias (. . .) a los esfuerzos de muchos estudiosos extranjeros y de algunos críticos e historiadores franceses’ se ha superado esa fase, pero el debate no está cerrado; en una historia de la literatura relativamente reciente se propone la tesis de que la aceptación de una época barroca en Francia a partir de los años sesenta no había sido sino una moda apologética y polémica. Según Mesnard (1990: 23), la noción de un Barroco literario ‘rápidamente reveló su fragilidad y sus límites’. Muchos de estos mitos giran en torno al “carácter nacional”. Las historias de la literatura son un magnífico arsenal para encontrar estereotipos
Enrique Banús

sobre el país cuya literatura se está transmitiendo – junto con esos estereotipos, por supuesto. Baste el ejemplo de A New History of Spanish Literature publicada en 1961 y reeditada en 1991 por Richard Chandler y Kessel Schwartz. En ella desarrollan un catálogo bastante exhaustivo de las ‘racial characteristics’ (sic) que ‘one may consider [. . .] as typical of the Spanish people as a whole’ (Chandler y Schwartz 1961: 8). Si bien es cierto que ‘any listing of the so-called essential characteristics [. . .] necessarily remains incomplete and imperfect’, los autores realmente se esfuerzan en reducir al mínimo esa imperfección y hablan de
stoicism, a sense of dignity and personal worth, individualism, democracy, and humor (. . .), mysticism, (. . .) a feeling of social equality (. . .); an attitude of self-criticism; a disdain for creature comfort and a lack of desire for material possessions; a sense of the absurd (. . .); an adventuresome spirit; a preoccupation with death (. . .); a tendency to react first with the emotions and secondly with reason.
(Chandler y Schwarz 1961:17)


Por ejemplo, en la importante Historia y crítica de la literatura española, editada por Francisco Rico en los años 1980–1992. Quien quiera ejemplos puede consultar las páginas de discusión en Wikipedia en conceptos como “ikurriña” o simplemente el debate en torno a la grafía alternativa “Euskadi” o “Euzkadi”. Los “memoriales de ratonera” eran escritos que cualquier ciudadano de Navarra podía depositar en un buzón (“ratonera”) cuando se reunían las Cortes; cf. Iribarren 1956.



Y como ‘generalizaciones sobre la cultura y literatura’ indican: ‘dualism’, ‘popular spirit’, ‘individuality’, ‘improvisation’, ‘lack of intellectual concern’, ‘criticism and discontent’ (Chandler-Schwartz 1961: 17–20). Conviene indicar que algunas historias recientes de la literatura están escritas desde una perspectiva que relativiza esas percepciones,6 pero no cabe duda de que han tenido una gran fuerza. Y para quien crea que se trata de un tema superado, baste recordar el reciente (y aun existente) debate en torno a la llamada “memoria histórica”, que ha puesto sobre la mesa la falta de consenso en la interpretación básica de las coordinadas históricas. O basta recordar los conflictos identitarios en torno a culturas o naciones sin Estado, que también se mueven en unos niveles de debate marcados por imágenes distintas.7 La fuerza del mito es tal que puede llegar a contradecir la lógica. Sirva un ejemplo tomado no de la literatura sino de otro ámbito de la cultura: la gastronomía. No está muy lejano el tiempo en que a la tortilla de patatas se le llamaba tortilla española, lo que evoca que está íntimamente ligada a una identidad. Pues bien, hay quien – a saber con qué fundamento – afirma que ‘el origen de este plato se hunde en la noche de los tiempos’ (Ballesta 1998). Tiene una cierta lógica: si tan inherente es a una cultura, es obvio que sus orígenes están en un ámbito previo a la historia . . . por mucho que sea bien sabido que la patata es un producto de importación de América del Sur y por mucho que la primera mención documental de esa tortilla no se dé hasta un anónimo “memorial de ratonera”, dirigido a las Cortes de Navarra en 1817.8 Es muy difícil vivir al margen de esas tradiciones. Seremos capaces de revisar algunas de las más burdas –las “deconstruiremos”–, pero en otros casos nos mantendremos –consciente o inconscientemente– dentro de ellas.
En busca de la utopía: los Estudios Ibéricos, ¿puente o frontera?



En lo que sigue se ha optado en parte por ejemplos tomados de páginas de internet: es quizá el medio más consultado y que quizá más difunda los “conocimientos”.

Ahí entra en juego la propia biografía, la historia personal, que ha ido dejando un poso de actitudes, de simpatías y antipatías, de ‘Weltanschauungen’ (en plural, porque no siempre nuestra visión del mundo es monolítica, sino que encierra matices, incluso pequeñas contradicciones que nos hacen humanos). También ella configura nuestros pre-juicios y en muchos casos nos lleva también a optar por una de entre las diferentes tradiciones profesionales. Incluso Hans Robert Jauss, el gran teórico de la teoría de la recepción reconoce que en el horizonte de expectación –uno de los conceptos clave en su visión- se expresan también elementos biográficos –recuerdos, reminiscencias, asociaciones– que no son compartidos. Aparte de muchas otras implicaciones, este posicionamiento biográfico tiene una gran importancia en un campo como los estudios hispánicos, marcados por tantos debates, tantos temas conflictivos, tantas visiones encontradas: baste recordar términos como “las dos Españas”, “España como problema”, “España sin problema”, “España invertebrada”, “la España eterna”, el debate Américo Castro versus Claudio Sánchez-Albornoz, la “memoria histórica” . . . Es un campo preñado de historia, preñado de imágenes, en que incluso el rechazo de la imagen se hace en nombre de la imagen; un ejemplo: junto a los temas relacionados con Lope de Vega o del erasmismo en España, el conocido hispanista José Montesinos abordó muchos otros en sus escritos de los años anteriores a la Guerra Civil; así surgieron artículos o notas que luego dieron lugar a su libro Ensayos y estudios de literatura española, publicado en 1970. Allí se incluye un artículo de 1934 en que reaccionaba frente al trabajo de Ludwig Pfandl. Escribía Montesinos:
Vivimos en la urgencia de elaborar nuestros criterios, de recuperar nuestro sentido. No nos inquietarían todos los romanticismos del mundo si sintiéramos en torno nuestro una juventud entregada a esa tarea de revalorar la cultura española [. . .]. Quisiéramos esta tarea magnífica de reconquistar a España, de hallar el sentido de España.
Montesinos 1970: 165

10 Se suele remontar hasta la Edad Media, en que España, empeñada en la Reconquista, quedaría aislada (ver Sánchez-Albornoz 1952). Ernst-Robert Curtius dedica el Excurso XX de Literatura Europea y Edad Media latina a “El ‘retraso’ cultural de España”, que interpreta como algo positivo, como condición para que el Siglo de Oro enlazara con la Edad Media (cf. Curtius 1965: 525). 11 Véase al respecto el magnífico artículo de Bernecker 2004. 12 Véase, como un ejemplo entre muchos: ‘La ausencia de lo maravilloso, y hasta de lo mitológico, en nuestras letras contrasta con su prodigalidad en otras literaturas’ (Díez-Echarri/Roca Franquesa 1982: 13). 13 Edgar Allison Peers dirá que el romanticismo es ‘una característica fundamental de la literatura y del arte de España’ (Peers 1962: I, 22s). Frente a ello, Llorens (1989) subrayará la importancia del retorno de los emigrantes. 14 La web del Centro Nacional de Información y Comunicación Educativa (entidad del Ministerio de

Es en nombre de España en que se rechaza otra visión de España
También otros tópicos han gozado de gran aceptación a lo largo de muchos tiempos:9 la visión de un cierto retraso cultural10 o de un Sonderweg, un camino especial español11 ha sido altamente popular precisamente en círculos hispanísticos. Quizá ya no está tan difundido el tópico del realismo, suave pero constante, de la literatura española,12 que ha convivido pacíficamente con el del romanticismo esencial,13 pero sí se mantienen los del gusto antitético de la literatura española (conceptismo versus culteranismo,14 escuela sevillana versus escuela salmantina,15 modernismo versus 9816 – movimiento éste que, una vez más, mostraría el “camino especial” español, pues sería autóctono, una reacción a la pérdida de Cuba, etc.).
Enrique Banús

De nuevo: es muy difícil sustraerse a este clima, a estas influencias ambientales, dentro de las cuales el posicionamiento muchas veces es consecuencia de simpatías personales, de vivencias, de la biografía más que de la ciencia.

Educación) presenta unas bonitas tablas en que se contraponen culteranismo y conceptismo. 15 Son innumerables las páginas web que hablan de esa contraposición. Un ejemplo especialmente claro: Fray Luis de León ‘preside la escuela salmantina opuesta a la ampulosidad y el formalismo de la escuela sevillana’ (Alvarez Hidalgo). Numerosos ejemplos de esta contraposición en las historias de la literatura se encuentran en Banús 1989. 16 Esta contraposición -hoy superada en la literatura científica . . . no necesariamente en el imaginario colectivo- fue popularizada por Guillermo Díaz-Plaja en Modernismo frente a Noventa y Ocho (1966). 17 El Catálogo de la Library of Congress muestra más de 10,000 referencias a libros cuyo título incluye el término de identidad cultural. Una breve revisión de los títulos indica que muy pocos son anteriores a 1980 y que la profusión de estudios relacionados con ese tema va aumentando hacia el final del siglo. 18 Philip Schlesinger asocia el auge de este término con la Conferencia sobre Políticas Culturales organizada por la UNESCO en 1982 en México: ‘ t Unesco’s A World Conference on Cultural Policies in Mexico City, “cultural

Además, vivimos insertos en una cultura, entendida en el sentido amplio que refleja la definición de Tylor. También esa cultura nos proporciona un conjunto de prejuicios y de visiones sobre “nosotros”, siempre a la busca de la respuesta a la acuciante pregunta de quiénes somos. Y esto nos mete de lleno en un tema difícil: la identidad colectiva, su necesidad . . . y su problemática. No cabe duda de que, al menos desde los años 80 del siglo pasado, la identidad colectiva es un tema estrella.17 Mucho se espera de ella. Para el Presidente del Gobierno vasco, por ejemplo, para conseguir la paz es necesario ‘construir una identidad nueva y renovada’ (El Mundo: 2003: 8). Para Michel Bassand, experto en desarrollo regional, ‘a region will be more of a dynamic and authentic partner of the other regions of Europe and the rest of the world if its identity is living’ (Bassand 1993: 185). Es más: ‘a region without identity is manipulated by others’ (Bassand 1993: 185).18 Anthony Smith, el gran experto en el tema de la identidad nacional, se pregunta con cierta sorpresa: ‘Why is it that so many people remain so deeply attached to their ethnic communities and nations at the close of the second millennium?’ (Smith 1999: 3). No cabe duda de que esto es así, a pesar de la sorpresa de Anthony Smith; a pesar de que, como afirmaba Philip Schlesinger en 1991: ‘“Cultural identity” is nowhere defined’ (Schlesinger 1991: 146).19 Y en los años transcurridos desde entonces parece que tampoco se ha producido esa clarificación. Y a pesar de que incluso cabe preguntarse si la aplicación del concepto de “identidad” fuera de la persona, tiene sentido.20

Y es con todo este batiburrillo con el que nos dedicamos a los “Estudios Ibéricos”, que nos insertan en todo un intercambio de mensajes sobre un “otro” específico, intercambio del cual van emergiendo y se van modificando las opiniones dominantes, las modas y también, con la fosilización de algunas de estas modas, la mentalidad colectiva, la actitud de una sociedad frente a otra. Armand Mattelart afirma que la identidad cultural, en cierta medida, ha venido a sustituir al modelo nacional, pero ‘easily slips into a nationalist affirmation of the superiority of one group over others’ (Mattelart 1984: 110). En efecto, en la historia se ha comprobado muchas veces que existe una tendencia muy consolidada a considerar la propia identidad en relación a otras, estableciendo relaciones construidas estereotipadas y simplificadas.21 La identidad colectiva se ha establecido en muchos casos ‘by means of differentiation from other group identities’ (Firchow 1986: 185);22 la noción de alteridad a menudo se ha convertido en sinónimo de antagonismo (Jenkins-Sofos 1996a: 286). Esto habitualmente sólo puede llevar a
En busca de la utopía: los Estudios Ibéricos, ¿puente o frontera?


identity” became a keyword’ (Schlesinger 1991: 144). 19 A no ser que se entienda que este párrafo del documento final de la Conferencia de México es una definición: ‘es una entidad dinámica en constante mutación en la que hay que reconocer, no obstante, invariantes culturales definidas por la historia, las lenguas y la psicología comunes’ (UNESCO 1982: 62, Recomendación núm. 6). 20 Dice, por ejemplo, Lapierre: ‘Le concept de l’identité collective (. . .) n’explique rien’ (Lapierre 1984: 196). Por ello, se puede afirmar con Kreckel que se debe rechazar cualquier transposición del concepto de identidad personal al plano colectivo (cf. Kreckel 1994: 13) y concluir con Straub: ‘the foregoing manner of speaking of ‘collective identity’ is scientifically untenable’ (Straub 2000: 71). 21 Es lo que hace Xabier Arzalluz cuando afirma: ‘Del Ebro para abajo, todos están contra nosotros’ (El Mundo 2002). 22 ‘ ccording to the A sociological hypothesis, every Wegroup implies necessarily the existence of the others, and it is based upon the distinction between us and the others’ (Skiljan 1998: 828). 23 La acertada expresión está tomada del título

definiciones en términos negativos, como dice Boyce (1998: 306), indicando más bien lo que “no somos” y excluyendo a quienes “no son”. Por ello, conceptos como el ingles ‘nationhood’ tienen capacidad tanto de excluir como de incluir, según explican Jenkins y Sofos (1996: 2). De este modo se presentan o se crean y se consolidan identidades colectivas con los valores y actitudes que se consideran inherentes a ellas – muchas veces de forma nada ingenua, sino manifestando –o precisamente ocultandointenciones políticas, deseos de aglutinar sociedades o de disgregarlas.

Además, los “Estudios Ibéricos” nos convierten en mediadores, en transmisores, en constructores de puentes. Aun los no expertos en educación sabemos que la educación tiene un importante efecto socializante, es decir, transmite categorías, valores, relatos que ayudan a saberse encuadrado en una sociedad, a tener “un lugar en el mundo”.23 De esa forma se concreta la tendencia (y la necesidad) de la persona a huir del vacío. A ello contribuimos los mediadores, los expertos, los profesores. Por eso, parece importante entender el estatuto epistemológico del mediador, partiendo de la base de que es un receptor-emisor,24 es decir, realiza por dos veces un proceso de selección e interpretación (‘comprensión en acción’, según Steiner 1991: 18). Por ello, con Steiner, ‘un intérprete es un descifrador y un comunicador de significados’ (1991: 18).25 En ambos momentos se activarán sus pre-juicios y sus intereses. En un primer paso, aplicando lo que Donati señala para los actores sociales, se puede decir que los mediadores, ‘desde su personalidad, interiorizan e interpretan una cultura’ (Donati 1995: 64). Ya en el primer momento de la labor mediadora, es decir, en la recepción, su relación con el mensaje es hermenéutica, es decir, su propia situación y sus expectativas interaccionan de forma circular con el mensaje.26 Por otro lado, la re-emisión no es idéntica a la recepción, sino que – de nuevo – supone una selección y una interpretación. Y esto no sólo porque ‘la creencia de que se puede expresar bien todo lo que se comprende bien es muy ingenua’ (García Yebra 1983: 339). Es más: si se dice que el emisor –el autor – tiene en cuenta a los receptores (o –mejor, su idea de ellos) ya en el momento de la producción (teoría del “lector implícito”27), esta presencia de los receptores será aun mayor en el proceso de reemisión del mediador, es decir, en su segunda selección e interpretación; como señala Ehrismann, el mediador ‘transmite bajo el interés (. . .) que cree más apropiado o que le afecta más’ (1975: 15).28 La reflexión sobre el estatuto epistemológico del mediador parte de la idea de que mediación, siempre, significa “transformación del mensaje”; el mediador, por tanto, tiene algo de “autor”. El mediador garantiza que el mundo del “otro”, en este caso, el mundo ibérico ‘sea noticia y siga siendo noticia’ (Steiner 1991: 43). Y frente a quienes consideran a los mediadores como “perturbadores” se les puede recordar, con metáfora de
Enrique Banús

Steiner, que ‘el eco enriquece’ (Steiner 1991: 344). A la paradoja que supone el hecho de que el mediador da mayor difusión y permanencia a una obra cultural, siempre reinterpretándola, Escarpit (1973) la llamará ‘traición creadora’; Guyard hablará de tantas ‘belles infidèles’ en la traducción (Guyard 1958: 34) y Steiner de la ‘paradoja de la traición por magnificación’ (Steiner 1991: 341), mientras que Pierre Bourdieu (1993: 284) recuerda que ‘hay errores de lectura que son muy eficaces’. Es decir, si bien el mediador, en muchas ocasiones, no es el “inventor” de las novedades que puedan dar origen a un cambio social, sí es el transmisor necesario para que se llegue a formar una “masa crítica” que permite el surgimiento de nuevos estados de opinión y también contribuye a que se vayan introduciendo en el imaginario colectivo. Dispone de un cierto poder sobre el “producto cultural”: puede darle continuidad y nueva difusión o revelar sentidos hasta entonces no explorados y, en cualquier caso, contribuye a conformar tradiciones receptoras.29 En el caso explícito de los “Estudios Ibéricos”, muchas veces seremos quienes, ante los receptores (estudiantes, en muchos casos) seremos vistos como los que han de organizar un ‘univers of meaning’ (en palabras de Davis y Schleifer (1991: 49), que parafrasean a Northrop Frye).

de una película del argentino Adolfo Aristarain (1992). 24 Tiene una cierta tradición la imagen del “hacedor de puentes”, sobre todo para el traductor; Guillén (1985: 72) la utiliza también para los ‘intermediarios’. 25 Con Jauss se puede decir que se trata de ‘une compréhension, elle-même productrice’ (Jauss 1989: 61). 26 Gracia (1996: 168) concreta esa participación activa del lector en ‘filling lacunae, tying artifacts to meanings, reconstruction, and evaluation’. 27 Como es sabido, el término es de Wolfgang Iser, aunque quizá éste lo entienda de otro modo al que aquí se sugiere, es decir, como aquel acto de lectura prescrito en el texto (cf. Iser 1972: 9 y 1976). Más claro en Naumann 1971, que lo entiende como imagen del lector en la conciencia del autor. 28 Gracia (1996: 145) afirma que ‘authors often have in mind specific groups of persons as audience’. 29 Como recuerda Frye: ‘Whatever popularity Shakespeare and Keats have now is equally the result of the publicity of criticism. A public that tries to do without criticism, (. . .) loses its cultural memory’ (Frye 1990: 4). 30 Lazarsfeld fue uno de los pioneros de este método, consistente

Con ello –repitiendo en parte una tesis anterior- el mediador queda inserto en todo un intercambio de mensajes sobre un “otro” específico, intercambio del cual van emergiendo y se van modificando las opiniones dominantes, las modas y también, con la fosilización de algunas de estas modas, la mentalidad colectiva, la actitud de una sociedad frente a otra. Este proceso es complejo: conviene recordar aquí la “two step flow hipothesis”, presentada en 1955 por Katz y Lazarsfeld, según la cual los procesos de formación de opiniones muchas veces se realizan no por el contacto directo, sino bajo influencia de la comunicación intermedia, en muchos casos con la autoridad de los ‘opinion leaders’. En efecto, bajo el título La influencia personal: el individuo en el proceso de comunicación de masas (Personal Influence: the part played by people in the flow of mass communications), los autores presentan un estudio sobre el alcance que tienen las relaciones humanas en el flujo de las ideas transmitidas desde los medios de comunicación. Para ello, se basan en unos estudios de tipo ‘panel’30 realizados en Decatur, una pequeña ciudad de 60,000 habitantes en el estado de Illinois, en el medio oeste de Estados Unidos. Se apartan con ello de la imagen hasta entonces prevalente, ‘la de una masa atomizada compuesta por millones de lectores, oyentes, etc., dispuestos a recibir el Mensaje; y que cada Mensaje es un estímulo directo y poderoso a la acción, que obtiene una respuesta inmediata y espontánea’ (Katz y Lazarsfeld 1979: 18). Para los autores, esta perspectiva había proyectado una imagen poco verosímil de la sociedad – ‘caracterizada por una organización social amorfa y una escasez de relaciones interpersonales’ (Katz y Lazarsfeld
En busca de la utopía: los Estudios Ibéricos, ¿puente o frontera?


en una serie de entrevistas repetidas sobre el mismo grupo de sujetos (Picó 2003: 116). 31 Una vez convertido en autoridad, el mediador puede sustituir el contacto directo con los fenómenos a estudiar, ya sean textos, realidades sociales . . . Américo Castro, malévolamente, señalaba que el alumno de Filosofía y Letras de principios del siglo pasado ‘no está obligado a haber leído cierto número de textos españoles de importancia capital, ni a entenderlos correctamente (. . .). Con saberse la prosa de Fitzmaurice-Kelly, el alumno tiene bastante’ (Castro 1924: 216).

1979: 18)-, de los públicos y de la capacidad de los propios medios para llegar hasta ellos. Sin embargo, las investigaciones sobre los efectos, aseguran Katz y Lazarsfeld, han ido incorporando factores que han llevado a un ‘rechazo gradual del esquema con el que empezó la investigación: por un lado, el omnipotente medio que lanza el mensaje y, por otro, la masa atomizada que espera su recepción sin nada más entre uno y otra’ (Katz y Lazarsfeld 1979: 22). Ante ello, plantean la teoría del ‘flujo en dos etapas’ de la comunicación. Según esta teoría, que ya había presentado Lazarsfeld años antes en The People’s Choice (publicada por vez primera en 1944), los mensajes se transmiten desde los medios hasta las personas en dos etapas: ‘Ideas often flow from radio and print to the opinion leaders and from them to the less active sections of population’ (Lazarsfeld et al 1968: 151). En todas las ocasiones en las que Lazarsfeld había puesto a prueba esta hipótesis, se habían obtenido resultados que confirmaban la teoría: ‘La fuente de influencia que pareció más determinante para cambiar las ideas de los votantes fue la influencia personal’ (Katz y Lazarsfeld 1979: 34).

Es en este contexto en que se puede considerar a los mediadores TESIS VII
Además, en ese intercambio de mensajes ocupamos una posición especial, pues estamos investidos de autoridad, la autoridad de los “expertos”, puesto que ocupamos lo que Baldick (1987: 25) denomina ‘privileged standpoint of cultural authority’.31 Jauss (1989: 67) habla, como de un fenómeno especial, de la experiencia del sujeto receptor susceptible de fundar una tradición. Es la situación de todos los que trabajamos en el ámbito académico: estamos fundando una tradición – que continuarán (con sus propias variaciones) quienes nos escuchan a lo largo de los años, teniendo que rendir cuentas de aquello que han escuchado de nosotros -¡los exámenes!-, y (en menor medida) quienes nos leen. Ahora bien, Gaiser – refiriéndose a la crítica literaria – habla de que el impacto del juicio crítico será mayor o menor según el prestigio y la influencia del crítico, y según el grado de influencia del medio en el que publica su recensión (Gaiser 1993: 99). Trasladado a la docencia, una cierta autoridad del profesor (o profesora) existe siempre (o casi siempre) por el mero hecho de ser profesor: hay una institución reconocida como apta para conceder títulos que nos arropa. A la autoridad personal se unirá, además, la autoridad mayor o menor de la institución en que trabajemos. No hay duda de que en el imaginario colectivo, con razón o sin ella, el nombre de cada universidad evoca connotaciones bien distintas. La autoridad se basa en que el receptor no suele ser consciente de que el mediador, como dice Max Aub respecto del historiador de la literatura, ‘es escritor de tercera o cuarta mano, porque no puede llevar a cabo su cometido de otra manera. Su excelencia no depende de su saber sino del de los demás’ (Aub 1974: 9).
Enrique Banús

Un corolario necesario
Dice Mafalda, en uno de sus análisis del mundo contemporáneo, que una de las causas de sus males es que en este mundo hay muchos más ‘problemólogos’ que ‘solucionólogos’ (cf. Quino 1992: 475). Uno podría escapar a la crítica, implícita en esta frase, apelando a que, como intelectual, ‘estoy aquí para preguntar, no para dar respuesta’ como decía Max Frisch (1950: 127) citando a Hendrik Ibsen. Pero al menos se deberían esbozar algunos pasos que ayuden a salir de la perplejidad que puede causar la reflexión sobre la posición del mediador entre culturas, del experto en Estudios Ibéricos que trabaja en el ámbito universitario. No se trata de presentar aquí un curso abreviado de teoría del conocimiento científico aplicado a las humanidades y, más específicamente, a los estudios de área, sino de dar algunas pistas, comentadas y ejemplificadas. Quizá parezca extraño utilizar para ello Wikipedia como punto de referencia, pero qué duda cabe de que se trata de una de las mayores “comunidades del saber” que existen.32 ¿Podría la solución consistir en la asepsia: los datos, sólo los datos? “Los datos no se interpretan” – dicen. La respuesta es fácil: “No, pero se seleccionan”. La asepsia: es la filosofía “wiki”. En su versión realista suena así: ‘se busca una referencia que defienda tu postura y se pone’ (Alfaro 2007). En su versión más noble, suena así: ‘es necesario sustentarse en fuentes verificables’ (Alfaro 2007a). Otra posibilidad es lo que wikipedia considera uno de sus cinco pilares: ‘El punto de vista neutral’ (PVN). Establece que la enciclopedia debe contener hechos y que sus artículos deben ser escritos sin sesgos, presentando adecuadamente todos los puntos de vista existentes sobre tales hechos. (. . .) algo que según Jimbo Wales, fundador del proyecto, (. . .), es «absoluto e innegociable»’ (Wikipedia 2002). Esto puede llevar a extremos tales como la convicción de un wikipedista de que ‘de acuerdo al punto de vista neutral, ninguna organización “es” terrorista. Es considerada así por gente que se debe identificar apropiadamente, pero por ese relativismo el tema no es apropiado para una tabla o lista’ (Thialfi 2007). Ahora bien, el concepto de “neutralidad” como presentación de todos los puntos de vista es utópico. ¿Cómo presentar todos los puntos de vista que, además, habrían de presentarse desde todos los puntos de vista? Nos acercamos al mapamundi escala 1:1 de que hablara Borges. Y la propia historia de Wikipedia da idea de las limitaciones de este método y de posibles soluciones. En efecto, Larry Singer, uno de sus fundadores,33 el 15 de septiembre de 2004 anunció un proyecto alternativo, “Citizendium”, presentado como ‘the world’s most trusted knowledge base. A wiki with experts and real names. A new knowledge society’ (Citizendium 2006): es decir, una enciclopedia con ‘un sistema mucho más estricto en la edición de los artículos, no permitiendo la edición anónima e imponiendo un orden jerárquico entre sus usuarios basado en los méritos intelectuales que les sean reconocidos’ (Wikipedia 2006). Volvemos, pues, a los expertos, reconocidos incluso desde ese mundo de la “democracia intelectual”.
En busca de la utopía: los Estudios Ibéricos, ¿puente o frontera?

32 El 23 de enero de 2008, se decía al respecto: ‘El número de wikipedistas es de 609.845 y continúa creciendo’ (Wikipedia 2008). Se refiere a la edición en español. La mayor wikipedia, la edición en inglés, tiene registrados a 6.166.659 usuarios, es decir, redactores. 33 En realidad, es un tema debatido cuál fue exactamente su papel en los inicios, pero no cabe duda de que fue relevante. De hecho, en febrero de 2001 se convirtió en el editor único de la enciclopedia, status que mantuvo hasta su renuncia el 1 de marzo de 2002.


34 Menéndez Pelayo se mete con ella: ‘¿Por qué no había industria en España? Por la Inquisición. ¿Por qué había malas costumbres, como en todos tiempos y países, excepto en la bienaventurada Arcadia de los bucólicos? Por la Inquisición. ¿Por qué somos holgazanes los españoles? Por la Inquisición. ¿Por qué hay toros en España? Por la Inquisición. ¿Por qué duermen los españoles la siesta? Por la Inquisición. ¿Por qué había malas posadas y malos caminos y malas comidas en España, en tiempo de Madama D’Aulnoy? Por la Inquisición, por el fanatismo, por la teocracia. ¡Qué furor clerofóbico domina a ciertos hombres!’ (Menéndez Pelayo 1876: 132–140). 35 Así aparece, como uno de los puntos de un curso de postgrado (Varela 2007). 36 El escritor Javier Martínez Reverte recuerda así sus clases de griego: describe cómo del Homero con que se encontró en el colegio no quedaba sino ‘la dificultad de sus aoristos, la maraña del lenguaje griego, la selva de palabras que trabajosamente hay que ir encontrando en un diccionario. ¿Y dónde está Homero, dónde el espíritu que quiso comunicar en sus obras, dónde su valor en la historia de la cultura humana?’ Y concluye: ‘Es ciertamente triste, pero la enseñanza de Homero resulta en buena parte

Los Estudios Ibéricos son, pues, cosa de expertos que no pueden pretender ni la asepsia ni la presentación de todos los puntos de vista. ¿Qué actitud tomar, pues? Parece lógico aplicar aquel ‘ven y lo verás’ del Evangelio, el ‘quien tenga dinero y ocasión, que viaje, de Johann Gottfried Herder (1967: 359) – en el acercamiento, el viaje, está el verdadero conocimiento. Pero ya nos previene el zorro en El Principito de Antoine de Saint-Exupéry: ‘Lo esencial es invisible a los ojos de los hombres. Sólo se ve bien con el corazón’ (2007: 93), con lo que podría haber casos en los que se puede invertir el refrán: ‘Ojos que ven, corazón que no siente’. ¿La empatía como condición necesaria para los Estudios Ibéricos? Y sí, es cierto; por ejemplo, el viaje no siempre ha aportado conocimientos. Lo sabemos de la literatura de viajes. Los expertos en este tipo de literatura han comprobado que –como escribió Uwe Japp (1976: 23)- en ella se mezclan las observaciones con las proyecciones, o que la percepción del viajero depende de su actitud previa. Hans-Joachim Possin (1972) –en Reisen und Literatur (Viajes y literatura) ha establecido que incluso la literatura de viajes autobiográfica es una ficción. Para el ámbito hispánico hay un ejemplo bien claro: Madame d’Aulnoy, viajera del XVII de gran influencia, escribió un libro, según Freixa, muy popular en Inglaterra y que, traducido por primera vez en 1692, alcanzó su onceava edición en 1808’). Menéndez Pelayo, desde su peculiar perspectiva, arremeterá contra ella, por la visión sesgada que transmite . . .34 y hoy no sólo se puede decir que se trata de relatos ‘que la crítica posterior ha considerado falsos’ (Freixa 1994), sino que hay quienes –posiblemente sin razón afirman: ‘Madame D’Aulnoy: la influencia de un viaje que nunca tuvo lugar’.35 Otro ejemplo, referido a los viajeros a España, es también bien conocido: el paso de la imagen ilustrada a la imagen romántica, tan contrapuestas, se da sin que cambie esencialmente la percepción del país: cambia la valoración . . . y cambian los relatos de viajes cuando ha cambiado la valoración (cf. sobre todo Brüggemann 1956 y Walz 1965). Por tanto, tampoco el conducir hacia el contacto directo es la solución simple que a todos se nos ocurre. ¿Habrá que mantener la distancia? En mis tiempos de estudiante cursaba por los Institutos de Filología Románica en Alemania la leyenda de que Ludwig Pfandl, el famoso hispanista que tanta influencia tuvo, jamás quiso viajar a España por no perder la necesaria distancia a su objeto de investigación. Supongo que será leyenda urbana, como se dice ahora. No parece que consiguiera esa distancia, además, pues hay quien ha hablado precisamente de la ‘escritura emocional de Pfandl’ (Ingenschay 1996: 60). ¿Habrá que volver al dictum del zorro y enseñar a ver con el corazón? ¿La empatía como solución, el no juzgar desde fuera, sino introduciéndose en la cultura del “otro”? Una cierta dosis de posición es necesaria, sin duda. Una cierta dosis de pasión también, al menos para evitar el tedio.36 Pero, de verdad, ¿sólo se ve bien con el corazón? ¿Y qué decir del caso Heinrich Beck? El suizo Heinrich Beck tuvo que abandonar Alemania en 1933, perseguido por la Gestapo por haber editado un periódico prohibido.
Enrique Banús

Tres años después de su llegada a Madrid se encuentra en la sala de espera de un médico, y para matar el tiempo toma una de las revistas que hay por allí y descubre a un autor al que permanecería vinculado toda su vida: Federico García Lorca.37 Tras su muerte, en 1936, con la mediación de Thomas Mann y Georg Kaiser, consigue lo que él llama derechos exclusivos para la traducción de García Lorca al alemán (Beck 1981: 120)38 – durante décadas las únicas traducciones publicadas en alemán van a ser las de Beck. Y la primera recepción es entusiástica; los receptores no se escandalizan por este Lorca ‘beckiano’: sus prejuicios coinciden con los de la audiencia,39 con lo que la crítica puede afirmar con entusiasmo: García Lorca es ‘la voz de España’ – así lo dice un crítico (Rischbieter: 1962: 464). Pero luego se irá abriendo paso una recepción mucho más matizada y finalmente crítica: el texto de Beck –según afirma algún crítico, con expresiones que muchos otros suscribirían- es ‘getragen’ (ceremonioso) y ‘betulich’ (afectado) (Siebenmann 1988: 17s.); uno de los autores que estudia la recepción de García Lorca en Alemania utiliza la expresión, ciertamente nada positiva, de Edelkitsch, que es como decir ‘horteradas con nivel’ (Rogmann 1981). En realidad, con sus traducciones Heinrich Beck transmite un García Lorca que es más “español”, más “andaluz” que el original, al menos de acuerdo con los estereotipos al uso: García Lorca suena –en versión Beck– muy barroco y, por lo tanto, muy español, con todos los elementos que se corresponden con ello: “pasión”, “temperamento”, “misterio”, “orientalismo”, pero también “violencia” –aquí se encuentra una buena parte de la “España negra”– y barroquismo, mucho barroquismo, que –según algunos influyentes filólogos de otros tiempos- es uno de los elementos constitutivos de la literatura española – y del carácter español (véase sobre todo Pfandl 1929). El propio Beck subraya una y otra vez que García Lorca es andaluz (1981: 13) y barroco (1981: 24). Y le engloba en la imagen que tiene de España, donde abundan la ‘irracionalidad’ y el ‘misticismo’.

indigerible para un estudiante normal’ (Martínez Reverte 1973: 10). 37 ‘Fue como si m hubiera alcanzado el rayo (. . .). Empecé a traducir, como borracho, sin pensar en otra cosa, enfermo, bombardeado, (. . .) encarcelado, hambriento (. . .), daba igual: yo traducía’ (Beck 1981: 119). 38 Francisco, el hermano del poeta, le envía un telegrama desde Nueva York, en que habla de traductor autorizado. Beck lo interpreta de aquella manera. 39 Sobre la imagen de España en Alemania véase Brüggemann 1958 (con una buena presentación de la imagen “ilustrada” y “romántica” de España) y Brüggemann 1956, Walz 1965. 40 Un indicio del déficit de encuentro con el texto se puede encontrar incluso en la estadísticas sobre los libros y la lectura que, en España, dan cuenta del desfase entre la producción –muy amplia–, la compra –bastante considerable– y la lectura de libros –más bien escasa–. En 2000 se editaron en España 62.224 libros (con lo que, en cifras absolutas, ocupa el tercer lugar en la Unión Europea), se facturaron más de 2.5 millones de euros (un 70% de hogares compran libros, aunque un 35% no más de cinco libros al año); el porcentaje de lectores de libros no profesionales está por

Nemo dat quod non habet – nadie da lo que no tiene
De nuevo, ¿cuál es la clave? Quizá un punto importante sea, simplemente, ser conscientes de la problemática y hacerla transparente, transmitirla. Además, procurar el encuentro con las fuentes, sabiendo que, por parte de los estudiantes, ¡hay miedo a las fuentes! (cf. Banús 2006).40 Por eso, tantas veces el estudiante busca por ejemplo en internet datos previos a la lectura, luego, introducciones, prólogos, carátulas . . . Con Böhler (1975: 68) se puede recordar que en la recepción de un libro influye la valoración de la cubierta y su diseño gráfico. ¿Cómo no van a influir prólogos y comentarios? Aconséjese a los estudiantes –diríamos casi en estilo moralizante de un predicador- huir de prólogos e introducciones como de tentación diabólica y enfrentarse al texto o a cualquier otra realidad sin otras armas que las de su preparación intelectual, su capacidad de raciocinio y una buena dosis de optimismo y confianza en la razón. Pero, además, atemoríceseles frente a la búsqueda de seguridades. Combátase, por ejemplo, en los estudiantes la confianza en las explicaciones
En busca de la utopía: los Estudios Ibéricos, ¿puente o frontera?


debajo del 60% (datos de: Ministerio de Educación, Cultura y Deporte (ed.) 2002).

por simples relaciones causa–efecto; es muy popular el establecer puentes entre el autor y su texto, siguiendo la máxima de Hirsch: ‘the meaning of a text is the author’s meaning’ (Hirsch 1969: 25). La web -¡he aquí otra prueba de lo dicho!- presenta múltiples ejemplos de ello. Dice así una página dedicada a Borges: ‘Conocer a un escritor es entender su universo: sus fuentes literarias, sus temas recurrentes, sus obsesiones y sus sueños’ (Hadis 2002). Eso sí: déseles libertad de disentir. Yo tuve la suerte de estudiar en el Colegio Alemán de mi ciudad, que en tiempos del franquismo no estaba reconocido, así que el último curso debíamos hacerlo en el Instituto. El paso de un pequeño y familiar colegio a un instituto anónimo atemorizaba algo. Allí nos encontrábamos con profesores desconocidos, catedráticos de Instituto – entre ellos el de Literatura, joven, pero que infundía gran respeto. Cuando nos devolvió el primer comentario de texto que hubimos de hacer en casa yo observé con terror cómo mi texto estaba lleno de llamadas a bolígrafo rojo, en mayúsculas, que decían: NO, adobado a veces con signos de admiración. Mis expectativas sobre la nota eran acordes con esas anotaciones. Al girar la hoja vi más “Noes” y, al final, un comentario que, más o menos, decía: ‘No estoy de acuerdo en muchas cosas, pero está bien argumentado.’ Y ponía un 10 como nota. Eso es honestidad, actitud quizá un poco devaluada tras la deconstrucción que Marco Antonio hace de ella en el Julio César de Shakespeare, pero actitud estrictamente necesaria si se quiere que los Estudios Ibéricos no sean sin más la traslación de unos prejuicios y estereotipos procedentes de aquí (la propia biografía) y de allá (la tradición, la historia de la disciplina). Se habla tanto de libertad de cátedra (y bueno es hablarlo, ahora que el mercado quiere imponernos los contenidos de lo que hemos de transmitir en la Universidad), ¿por qué se habla tan poco de responsabilidad de cátedra? La responsabilidad de cátedra es precisamente la que nos impulsa a ese difícil equilibrio entre pasión y distancia, entre transmisión de la complejidad y acercamiento a la realidad, entre personalidad que sabe seleccionar y ascesis que sabe tomar distancia de los propios prejuicios. El origen de toda esta problemática es la complejidad del mundo humanístico en que nos movemos. Pero la complejidad es riqueza. Y las ciencias humanas y sociales –y, por tanto, los Estudios Ibéricos- son guardianes de esa riqueza, frente a todos los intentos de simplificación de las ideologías y las modas. Works cited
Aguiar e Silva, V.M. (1986), Teoría de la literatura, Madrid: Gredos. Alfaro, A.L. (2007), ‘Ideología’, contribución en la página de Discusión de “Epsilondeauriga”, 29 de mayo 2007, Discusi%C3%B3n:Epsilondeauriga. Alfaro, A.L. (2007a), ‘Ideología’, contribución en la página de Discusión de “Epsilondeauriga”, 3 de junio 2007, Discusi%C3%B3n:Epsilondeauriga.


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Alonso, D. (1952), Poetas españoles contemporáneos. Madrid: Gredos. Alvarez Hidalgo, F., ‘Fray Luis de León’ luminarias/autores/81frayluis.html. Aub, M. (1974), Manual de Historia de la Literatura Española, Madrid: Akal. Baldick, C. (1987), The Social Mission of English Criticism 1848–1932, Oxford: Clarendon Press. Ballesta, M. (1998), ‘Tortilla española’, Banús, E. (1989), ‘El andalucismo, un tópico en la historia de la literatura’, en: Strosetzki, C; Tietz, M. (eds.): Einheit und Vielfalt der Iberoromania: Geschichte und Gegenwart; Akten des Deutschen Hispanistentages, Passau, 26.2.-1.3.1987. Hamburg: Buske. Banús, E. (2006), ‘Resistencia al texto - Resistencia del texto ¿Enseñar a leer en la Universidad?’, en: Enkvist, I.; Izquierdo, J.M. (eds.), Aprender a pensar, Simposio internacional en la Universidad de Lund 2005, Lund: Lunds Universitet, pp. 17–34. Bassand, M. (1993), Culture and Regions of Europe, Strasbourg: Council of Europe. Beck, H. (1981), Über Lorca, Küsnacht: Edition Kürz. Bernecker, W. L. (2004): ‘“Spanien ist anders”. Der Mythos vom hispanischen Sonderweg’, en: Altrichter, H.; Herbers, K.; Neuhaus, H. (eds.): Mythen in der Geschichte, Freiburg: Rombach, pp. 453–470. Bloom, H. (1975), A Map of Misreading, New York: Oxford University Press. Böhler, M.J. (1975), Soziale Rolle und ästhetische Vermittlung. Studien zur Literatursoziologie von A.G. Baumgarten bis F. Schiller, Bern-Frankfurt/M.: Lang. Bourdieu, P. and Chartier, R. (1993), ‘La lecture: une pratique culturelle (Un débat)’, en Chartier, R., Pratiques de la lecture, Paris : Payot, pp. 267–294. Bouterwek, F. (1804), Geschichte der spanischen Poesie und Beredsamkeit. Göttingen: Vandenhoeck & Ruprecht. Boyce, B. (1998), ‘The Role of Islam in Europe’s Search for a Common Cultural Identity’, en Banús, E.; Elío, B. (eds.), Actas del IV Congreso “Cultura Europea”, Pamplona: Aranzadi, pp. 305–311. Brüggemann, W. (1958): Cervantes und die Figur des Don Quijote in Kunstanschauung und Dichtung der deutschen Romantik. Münster: Aschendorff. Brüggemann, W. (1956), ‘Die Spanienberichte des 18. und 19. Jahrhunderts und ihre Bedeutung für die Formung und Wandlung des deutschen Spanienbildes’, en: Spanische Forschungen der Görresgesellschaft, Reihe I, XII, pp. 1–146. Castro, A. (1924), Lengua, enseñanza y literatura (esbozos). Madrid: Victoriano Suárez. Centro Nacional de Información y Comunicación Educativa, ‘El Barroco. La poesía’, Chandler, R. E.; Schwartz, K. (1961), A New History of Spanish Literature, Baton Rouge: Louisiana University Press. Citizendium (2006), ‘Main Page’, Curtius, E.R. (1965), Europäische Literatur und lateinisches Mittelalter, 5a ed., Bern: Francke. Davis, R. and Schleifer, R. (1991), Criticism and Culture: The Role of Critique in Modern Literary Theory, Harlow: Longman. Díaz-Plaja, G. (1966): Modernismo frente a Noventa y Ocho, Madrid: Espasa-Calpe. Díez-Echarri, E. and Roca Franquesa, J.M. (1972), Historia de la literatura española e hispanoamericana. 2a ed, Madrid: Aguilar. Donati, P. (1995), ‘Cultura y comunicación. Una perspectiva relacional’, Comunicación y sociedad, VIII, pp. 61–75.

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Enrique Banús

Kreckel, R. (1994), ‘Soziale Integration und nationale Identität’, Berliner Journal für Soziologie 4, p. 13–20. Lanson, G. (1923), Histoire illustrée de la littérature française, Paris: Hachette. Lapierre, J.W. (1984), ‘L’identité collective, objet paradoxale: d’où nos vient-il?”, Recherches sociologiques, XV. La Vanguardia (ed.) (2006), ‘José Manuel Blecua Filólogo: “Internet ha dado unidad al castellano’ ”, La Vanguardia, 30 de junio de 2006. Lazarsfeld, P. F., Berelson, B. and Gaudet, H. (1968), The People’s Choice, New York: Columbia University Press. Llorens, V. (1989), El Romanticismo español, 2a ed., Madrid: Castalia. Mallan, L. (1955), Men, Rockets and Space Rats, London: Cassell. Martínez Reverte, J. (1973), La aventura de Ulises, Madrid: Doncel. Mattelart, A., Delcourt, X. and Mattelart, M. (1984), International Image Markets: In Search of an Alternative Perspective, London: Comedia. Menéndez Pelayo, M. (1941), ‘Tirso de Molina, investigaciones biográficas y bibliográficas’ (1894), en Estudios y discursos de crítica histórica y literaria, ed. Enrique Sánchez Reyes, vol. 3, Santander: Aldus, pp. 47–81. Menéndez Pelayo, M. (1876), ‘Mr. Masson redivivo. Señor D. Gumersindo Laverde Ruiz’, Revista Europea Madrid, año III, tomo VIII, número 127, 30 de julio de 1876, pp. 132–140. Mercedes (2007): ‘Re: Alfonso XII etc’, contribución en la página de Discusión de “Epsilondeauriga”, 17 de junio de 2007, Discusi%C3%B3n:Epsilondeauriga. Mesnard, J. (ed.) (1990), Précis de Littérature Française du XVIIe siècle, Paris: Presses Universitaires de France. Ministerio de Educación, Cultura y Deporte (ed.) (2002), Las cifras de la cultura en España. Estadísticas e indicadores. Edición 2002, Madrid: Secretaría General Técnica. Montesinos, J. (1970), Ensayos y estudios de literatura española, Madrid: Revista de Occidente. Müller–Seidel, W. (1969), ‘Wertung und Wissenschaft im Umgang mit Literatur’, Der Deutschunterricht, 21, pp. 5–40. Naumann, M. (1971), ‘Autor-Adressat-Leser’, Weimarer Beiträge, 17, pp. 163–169. Peers, E.A. (1962), Historia del movimiento romántico español, Madrid: Gredos. Pfandl, L. (1929), Geschichte der spanischen Nationalliteratur in ihrer Blütezeit, Freiburg: Herder. Picó, J. (2003), Los años dorados de la sociología: 1945–1975, Madrid: Alianza Editorial. Politzer, H. (1939), ‘Zigeunerromanze’, Mass und Wert 2. Possin, H.J. (1972), Reisen und Literatur, Tübingen: Niemeyer. Quino (1992), Todo Mafalda, 3a. ed., Barcelona: Lumen. Rico, F. (1980–1992), Historia y crítica de la literatura española, Barcelona: Crítica. Rischbieter, H. (1962), ‘Federico García Lorca’, en Melchinger, S. (ed.), Welttheater, Braunschweig: Westermann. Rogmann, H. (1981), García Lorca, Darmstadt: Wissenschaftliche Buchgesellschaft. Sack, J. (1952), The Butcher; The Ascent of Yerupaja, New York: Rinehart. Saint Exupéry, A. de (2007), El Principito, Buenos Aires: EMECÉ. Sánchez-Albornoz, C. (1952): España, un enigma histórico, Buenos Aires: Sudamericana.

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Schlesinger, P. (1991), Media, State and Nation, London: Sage. Siebenmann, G. (1988): ‘Lorca im deutschen Sprachraum – Geschichte einer Verzerrung’, Arcaduz, 3. Skiljan, D. (1998), ‘Language of identity and language of distinction’, en Banús, E. and Elío, B. (eds.), Actas del IV Congreso “Cultura Europea”, Pamplona: Aranzadi, pp. 825–829. Smith, A.D. (1995), Nations and Nationalism in a Global Era, Cambridge: Polity Press. ——— (1999), Myths and Memories of the Nation, Oxford: Oxford University Press, 1999. Steiner, G. (1991), Presencias reales: ¿hay algo en lo que decimos?, Barcelona: Destino. Straub, J. (2000) ‘Personal and Collective Identity. A Conceptual Analysis’, en Friese, H. (ed.), Identities. Time, Difference and Boundaries, New York-Oxford: Berghahn. Thialfi (2007), Comentario en ‘Wikipedia:Consultas de borrado/Terrorismo’, 24 agosto 2007, Terrorismo. Tylor, E.B. (1871), Primitive Culture: researches into the development of mythology, philosophy, religion, art, and custom, London: John Murray. Unamuno, M. de (1968), “Doña Ximena’, en Obras completas, Madrid: Escelicer, vol. 3, 1025–1027. ——— (1977), Gramática y glosario del Poema del Cid, ed. Barbara D. Huntley y Pilar Liria. Madrid: Espasa-Calpe. UNESCO (ed.) (1982), ‘Conferencia Mundial sobre las Políticas Culturales. México, D.F., 26 de julio-6 de agosto de 1982. Informe final’, Paris: UNESCO. Varela, J. (2007), ‘José Varela Ortega: Asignatura: Literatura de viajes, materiales gráficos y musicales: la formación de la imagen de España en el extranjero. Programas Oficiales de Posgrado de la URJC (Universidad Rey Juan Carlos): Máster Oficial en Ciencias Históricas: Investigación, Documentación y Nuevas Tecnologías’ Walz, G.H. (1965), Spanien und der spanische Mensch in der deutschen Literatur vom Barock zur Romantik, Erlangen-Nürnberg: Philosophische Fakultät. Wikipedia (ed.) (2002), ‘Wikipedia: Punto de vista neutral’, wiki/Wikipedia:Punto_de_vista_neutral. ——— (2006), ‘Citizendium”, ——— (2008), ‘Wikipedistas’, Wunberg, G. (1975), ‘Modell einer Rezeptionsanalyse kritischer Texte’, en Grimm, G. (ed.), Literatur und Leser. Theorie und Modelle zur Rezeption literarischer Werke, Stuttgart: Reclam, pp. 119–133.

Contributor details
Enrique Banús, M.A., Ph.D. (Comparative Literature, German Literature, Romance Literature, University of Aachen, Germany). Currently Director of the Centre for European Studies at the University of Navarre, where he teaches European Literature and Cultural Studies. Jean Monnet personal Chair in European Culture. Director of the Masters in Cultural Management at the Universitat Internacional de Catalunya in Barcelona. Contact: Centro de Estudios Europeos, Universidad de Navarra, E-31080 Pamplona, Spain. E-mail:


Enrique Banús

Open Forum
International Journal of Iberian Studies Volume 21 Number 1 © 2008 Intellect Ltd Open Forum. English language. doi: 10.1386/ijis.21.1.41/3

Outstanding challenges in a post-equality era: The same-sex marriage and gender identity laws in Spain
Raquel Platero Complutense University of Madrid

Spain has captured international attention with regards to equality for sexual minorities, recently approving laws that allow same-sex couples to marry under the same conditions as different-sex couples (Law 13/2005) and that allow transgender people to change their name in the register without having to go through compulsory surgery (Law 3/2007). Using intersectionality as a framework for my analysis, I explore the limitations of the notion of equality in both legal texts by adding an analysis that includes not only sexuality, but also gender, ethnicity, age, and class. Both laws aimed at satisfying the demands of social movements and were designed to overcome inequality and have a relevant symbolic impact. Despite this, it is argued, they were not framed to transform society in depth. Both laws are contributing to reproduce inequality by not taking into account multiple discriminations.

Gay, lesbian and transgender rights same-sex marriage intersectionality

The regulation of sexuality has evolved rapidly in recent years, with the creation of not only new sexual identities and social movements around sexual practices, but also new civil rights. According to Laraña and Gusfield (1994), we have been witnessing the way that complex social networks have arisen in developed capitalist societies, and seen how groups were organised around sexuality along with the incipient women’s movements, and then went on to claim a collective identity of their own and also took to the streets. Lately, sexual minorities have been normalised through several public policies in Spain: from the decriminalisation of homosexuality with the new Civil Code (1995) to the consecutive adoption of civil partnership laws in twelve autonomous communities,1 and the changes in the Civil Code which allow marriage between same-sex couples (Law 13/2005) and the Law of Registration of Rectification of Sex – the latter unfortunately known as the Gender Identity Law (3/2007) (see Platero 2007a). These changes have taken place at the same time as public services for gays and transgenders
IJIS 21 (1) 41–49 © Intellect Ltd 2008


In chronological order: Catalonia (Law 10/1998 reformed by Law 3/2005), Aragon (Law 6/1999), Navarra (Law 6/2000), Valencia (Law 1/2001), Madrid (Law 11/2001), Balear Islands (Law 18/2001), Asturias (Law 4/2002), Andalusia (Law 5/2002), Canary Islands (Law 5/2003), Extremadura (Law 5/2003), Basque Country (Law 2/2003), and


Cantabria (Law 1/2005). 2 The Regional Civil Register Offices grants certificates of birth, death, marriages and the ‘family bookl’, changes of name, recognition of children, initiating and certifying the acquisition of Spanish nationality, emancipation of minors, tutorship, modification of errors in legal documents, etc.

have been created in Madrid, Vitoria and Euskadi, to name but a few, and some intersectional gender and sexuality policies adopted in Coslada and Barcelona; and some specific programs developed, such as the Program for Gays, Lesbians and Transgenders (2005) and the Catalonia Interdepartmental Plan of 2006 (Platero 2007c). However, Figure 1. Approval of same sex transgender people’s organisations marriage in Parliament, Madrid, June had made clear requests for compre2005. hensive treatment, inclusion in the Source: Courtesy of United Left Party Social Security benefits, attention to (Izquierda Unida Federal). the case of transgender people in jail and other demands such as the right of asylum, labour and social inclusion. The Socialist Government’s approach was to compartmentalise each one. Only when the draft law was finally published, did it show that only one of the demands deeply linked to the quality of life and working opportunities of LGTB people was covered, namely the acknowledgement of the right to register a rectification of a person’s name (Interview with Rebeca Rullán, July 20th, 2007) (see Figure 1). In this article, I will focus on two of the most popular policies: the samesex marriage law and the law that allows transgender people to change their names at the Civil Register Offices.2 I will argue that these laws, whilst extending intimate citizenship in Spain, also simultaneously contribute to the reproduction of inequalities. In arguing this, I will use the concept of intersectionality to describe the mutual relationships which establish different structural inequalities that generate not only specific vulnerabilities to exclusion, but also lead to specific modes of resistance (see Crenshaw 1989). The term ‘intersectionality’ is becoming more frequent in gender studies and sociology, and it refers to multiple inequalities and possible relationships and hierarchies between gender, race, ethnicity, sexuality, disabilities, class, and so forth (Verloo 2005). In political terms, it has to do with the expressions ‘multiple discriminations’ or ‘multiple inequalities’, in the sense that these are easier and most frequently used in Spanish than the term ‘intersectionality’ (interseccionalidad). Moreover, expressions like multiple inequalities or discrimination leave out the many interactions between these inequalities. For instance, the experiences that lesbians go through are not limited to a double ‘lesbian’ and ‘woman’ identity – it is the interaction between both of these and the extension, or duplication, of inequality that has the more complex impact and requires a deeper analysis. Is it possible that the laws designed to contribute to equality among people who are traditionally excluded due to their non-normative sexualities, are at the same time discriminating against such people? Who and how? Is there any specific gender discrimination within these policies?
Raquel Platero

The right to get married
In Spain same-sex marriage did not emerge ‘out of the blue’: it was the culmination of a series of demands based on a long struggle for partnership rights from social movements on the left (including political parties and policymakers) who spotted a window of political opportunity (Platero 2007b: 331–2). Left-wing parties have been constructing a vision of citizenship that requires a greater commitment to social movements (Calvo 2005: 33). And during the period of the ‘social legislature’ of 2004–2008 with the Socialist Party in government, the left wing party – Izquierda Unida, I.U. – has been crucial in introducing the most progressive proposals, which has contributed to the emergence of L.G.B.T. policy issues on the political stage. But the main role has been played by the Socialist Party (Partido Socialista Obrero Español, PSOE) as it was able to draft and achieve parliamentary approval for Law 13/2005 reforming the Civil Code and allowing same-sex marriage. Law3 13/2005 captured international attention because it allowed samesex couples to marry under the same conditions as different sex couples. Previous to the approval of same sex marriage, most social debates focused on the concept of ‘marriage’ and its wording, pointing out how language is used to construct social reality. For most conservative commentators, the term ‘marriage’ symbolised (and still symbolises) natural ‘reality’. Opposed to this essentialist standpoint, left wing commentators have argued that both the term and the institution are open to change on the basis of shifts in social norms. Within the political debate, the Socialist Government argued that marriage is neither natural nor divine. The President, Jose Luis Zapatero, stated that ‘marriage will be what each government wants’ and ‘it (Law 13/2005) has to do with giving back respect through the acknowledgement of rights, restoring dignity, affirming the identity and freedom of a minority’ (Zapatero 2005). For the leftist coalition IU-IC-V,4 marriage is a symbol of formal equality, and they claim that ‘yet another step forward is being taken for the freedom of every man and woman to be citizens, to reach the Europe of rights and liberties, and for all of us to become first-class citizens’ (Navarro Casillas 2005). In spite of this, the absence of a gender perspective within the debate around same sex marriage, and within Law 13/2005, maintains the discrimination against lesbians by not articulating any special actions to compensate for structural discrimination or anticipating the needs of lesbians as mothers. For example, lesbian marriages with children who were conceived with the aid of in-vitro fertilisation techniques found that both women were not automatically recognised as parents, thus requiring the non-biological mother to start an adoption process. The current legislation recognises the right of fathers in married heterosexual couples to benefit from artificial insemination with anonymous or known donors, without having to start any adoption procedure. The only requirement is for fathers to sign a consent form previous to the insemination. This way, laws that are apparently beneficial to sexual minorities can actually have discriminatory effects (Platero 2007b).
Outstanding challenges in a post-equality era: The same-sex marriage and . . .


Spanish Law no. 13/2005 1st July 2005, in which the Civil Code is amended regarding the right [of lesbians and gay men] to the institution of marriage (Ley 13/2005, de 1 de julio, por la que se modifica el Código Civil en materia de derecho a contraer matrimonio, BOE de 2 de Julio de 2005, n° 157). IU-IC-V stands for ‘Izquierda Unida-Iniciativa per Catalunya Verds’, a Leftist coalition that brings together the United Left Party and the leftist Catalonian Green Party.



The Government has since modified Law 13/2005 through a provision inserted into the Gender Identity Law (Art. 7) which states that ‘when the woman is married to another woman, and not legally or de facto separated, the latter can state in the Registry that she consents to the relationship with the baby when her partner gives birth’ (BOE 65, March 16, 2007. P.11253). This provision states that the wife of a woman who gives birth to a child during their marriage implicitly consents to being recognised as the legal parent of that child. Therefore, this concrete type of discrimination is resolved, but others remain, as we will see. In fact, this law did not alter other potentially discriminatory provisions such as the Law of Assisted Reproduction Techniques (45/2003, November 21st). This law not only renders anonymous the donation of gametes, but it also contains a provision that allows men in heterosexual couples the choice of having their sperm used to inseminate their female partner. This choice is not extended to lesbian couples, who cannot donate eggs to each other but instead must obtain eggs from external sources (anonymous donors) – a de facto discrimination based on a biological difference. Moreover, the first moments of the application of Law 13/2005 were not easy, as some civil servants objected to carrying it out and questions were raised about whether it extended to non-Spanish nationals. Both same sex and heterosexual marriages between non-Spanish nationals are often suspected and even presumed to be fraudulent marriages of convenience. That is, the fact that there are a lot of same sex couples in which one member has neither Spanish nationality nor a resident permit and is in a special migratory situation, is not taken into account in Law 13/2005, which did not benefit from an ex ante evaluation of this potential situation. Questions were also raised about the legal status of marriage to people of different countries, in cases in which same-sex marriage was not recognised in the other countries. Two cases had a key impact: the marriage application of a Spanish and an Indian man in Barcelona, which was denied because India does not allow this kind of marriage, and the marriage between a Spanish and an Argentinean woman in Catalonia, on 22nd July 2005, which was authorised because the judge gave preference to the right to marry over the fact that Argentina does not allow this kind of marriage. The debate was over a few days later when the Assembly of Prosecutors released a notification on 27th July, 2005, allowing marriage to people whose countries did not recognise samesex marriage. The small amount of data available about same-sex marriage illustrates the extent to which gender and nationality issues are relevant. For instance, looking at marriages that took place between July and December 2005, we find that there were 1,275 same-sex marriages, just 1 per cent
Raquel Platero

of the total number of marriages; and less than a third of these were between women (28%); so not only were there few same-sex marriages compared to heterosexual marriages (1% vs. 99%), but lesbians were also less likely to marry than gay men. According to the National Statistics Institute data, in 2006, 4,313 same-sex marriages took place, making them around 2 per cent of all marriages, which is still very low compared to heterosexual marriages. 2006 displayed a similar gay/lesbian gender distribution ratio as the previous year, more or less 1: 2, 30 per cent lesbian marriages and 70 per cent gay marriages. In regard to nationality, the data available for 2005 shows that marriages in which at least one spouse is foreign came to a total of 349. This means that there were twice as many same-sex as different-sex marriages with a foreign spouse. In 2006 among same-sex marriages with a foreign spouse, gay weddings were more likely to have a foreign spouse (29% marriages had one foreign spouse and in 6% of cases both were foreign spouses) than lesbian marriages were (only 15% had one foreign spouse and 4% were between two foreign spouses). Interestingly, heterosexual marriages were less likely to marry a foreign spouse than lesbian and gay marriages: only 12 per cent of marriages had one foreign spouse and 4 per cent were between two foreign spouses in 2006 (Pichardo 2008: 153). These data means that it is also important to pay attention not only to same-sex marriage, but to its impact on other inequalities such as gender and migration, among others, on which we do not have a lot of information. The way same-sex marriage has been presented as a solution for gays and lesbians – formal equality and the end of discrimination – implies that other requests such as allowing partnership legislation at the national level, currently only claimed by some minority LGTB groups and leftist parties such as Izquierda Unida, have been sidelined. This situation maintains the exclusion of non-married families and unions, and particularly affects samesex families. Indeed, lesbian families and unions are likely to experience a differential impact, as they are the ones who view maternity as a political act, and are therefore less likely to marry (Fernández-Rasines 1999, 2007).


Law 3/2007 of March 15th, regulating the rectification of the register with regard to a person’s sex (Ley 3/2007, de 15 de marzo, reguladora de la rectificación registral de la mención relativa al sexo de las personas). BOE 65, March 16th 2007 p. 11251.

Registration of a rectification of sex
I would like to refer briefly to Law 3/20075 about registering a rectification of sex on certificates held at the Civil Register Offices. First of all, it has to be stated that it is in fact a progressive law, which many commentators consider to be uniquely advanced. For a person to be able to change the details on their identity card is highly symbolic. The National Identity Card (Documento Nacional de Identidad – DNI) is a compulsory document that has to be carried by Spaniards at all times. It was created by the Franco dictatorship in March 1944 with the spirit of controlling citizens in the post civil war period, as in other totalitarian countries. It was firstly imposed on inmates of prisons, later on businessmen and thirdly on male residents in cities larger than 100,000 habitants. Citizens were classified by sex, social and economic status up to 1981, but the sex identification
Outstanding challenges in a post-equality era: The same-sex marriage and . . .



Rebeca Rullán remarked that the choice of an ambiguous expression such as “medical treatment” (tratamiento médico) was intentional. Personal interview, July 20th, 2007.

remained after that (Caballero and Izedding 2004). Now, the new law allows a person to change their name without having to undergo surgery (hence the term ‘rectification’ is different from ‘reclassification’ of sex). The most immediate consequence is granting access to a new card with the chosen sex inscribed on it. This right to have an identity card that represents who one actually is was a long-standing demand of the transgender organisations, since the DNI is currently required for common procedures such as paying with a credit card or opening a bank account, signing contracts, registering with any institution, and is also equivalent to a passport on European flights. Having a different appearance, name or signature to what is shown in your DNI is a source of painful daily problems. Therefore the law introduces relevant changes, as it does not require sterility or being married, as happens in other countries. It also recognises people who, due to their weak health or their age, are not able to go through the two years of medical treatment6 before being able to rectify their Identity card. In spite of this positive achievement, however, Law 3/2007 does not offer a comprehensive treatment of transgender people, as it only addresses one out of twelve demands put forward by transgender organisations. The XVI National LGTB Conference held in Salamanca (1–2 May 2004) included a national transgender organisations meeting. They created a list of 12 common demands, including: the right to sexual and gender identity regulated by an Integral Law on Gender Identity; the regulation of all transgender people’s access to the rectification of their name and sex in the Civil Register through an administrative procedure; the lack of compulsory requirement of sex reassignment surgery; inclusion in the public health system of the clinical treatment of sex reassignment (psychotherapy, hormonal treatment, plastic surgery, etc); and positive actions by the Public Administrations and social agents to fight discrimination in the labour market. The platform also demanded the regulation of sex workers, separate from the measures for integration in the labour market; measures for creating social awareness, such as education about transgenderism. On the legal side, the organisations agreed on the need for: political asylum rights for transgender individuals persecuted in their country of origin; the criminalisation of ‘transphobia’ in the Penal Code; rehabilitation and compensation for victims of the repression and imprisonment under the old Francoist Laws on Vagrants and Idle Persons and on Persons Representing a Social Danger and their Social Rehabilitation; and finally they asked for support for transgender organisations (Rullán 2004). In this context, it was a blow to the movement that the new law ignores transgender people’s needs for hormonal treatment and the services of psychologists, doctors, and so on. Such services need to be offered all over the country, or at least in cities, given the distribution of the transgender population. The extent of the needs has not been established. There are differences of coverage across the Autonomous Communities: some do and some do not provide any services of this kind as part of Social Security. The first service was offered at the La Haya Hospital in Malaga (Andalusia), approved by the Andalusian Parliament in 1998. More recently, Asturias,
Raquel Platero

Aragón, Catalonia, Extremadura have created Gender Reassignment Units; nonetheless, those do not cover surgery and the patients are sent to the Hospital in Andalusia. In addition to the Andalusian service, the Madrid Assembly (regional Parliament) approved the creation of psychotherapy and hormonal treatment services (Ramón y Cajal Hospital) and surgery (La Paz Hospital) on 1 June 2006. Other regions like the Basque Country are discussing the creation of similar services in the Basque Parliament. Thus, the right services are currently only fully accessible in Andalusia and in Madrid, while the Autonomous Communities of Asturias, Aragón, Catalonia, Extremadura and Baleares send their patients to Andalusia. This uneven spread of services drives the transgender person to pay privately for receiving a comprehensive treatment, which costs a very large sum of money for somebody who is potentially in a situation of social and labour market exclusion. It is difficult to assess the total cost of the transgender process. According to Rullán (2007) genital surgery alone currently costs between 10,000 and 30,000 euros in Spain. Performing a faloplasty costs around 30,000 euros, a vaginoplasty between 10,000 and 14,000 euros and a metaidoioplasty may cost around 18,000 euros. In addition there is a demand for other permanent changes such as breast removal/augmentation, facial feminisation surgery, voice feminisation surgery, tracheal shaves, buttock augmentation, liposuction, which would involve extra cost. Furthermore the law does not recognise either residents without Spanish nationality, nor minors, among others. The law requires people to have not only a gender dysphoria diagnosis by a professional and two years of hormonal treatment, but also to have reached the age of majority and to have Spanish nationality. In practice, it also requires clients, in case of desiring a comprehensive treatment, to live in certain autonomous regions and to be able to afford the cost of care. In addition, the requirement of two years of ‘medical treatment’ most often translates into hormonal treatments and minor surgeries mentioned above, which lead to permanent changes in people’s bodies, something that contradicts the open spirit of a law that does not require surgery in order to allow the registration of a rectification of sex or name. The law is based on a notion of permanence and stability of the dissonance between morphological or physiological sex and felt gender identity (see article 4). Also, there is a requirement that clients should be free of other personality disorders that may influence their gender/sex dissonance. In fact, there where it refers to modification of the Civil Register, the old article 54 is to be replaced with a wording that is not wholly satisfactory as it introduces ‘The prohibition of those names that objectively may harm the person, confuse their identification and induce errors in regard to their sex’.7 So, by prohibiting sexual ambiguity and obliging citizens to clarify whether they are male or female, this law does not challenge the sexual binary construction of sexuality. Instead, it merely implies improvements in the living conditions of transgender individuals that may affect their personal and citizen rights. As we have briefly seen, sexuality is an aspect that has received a lot of legislative attention in Spain. Yet many are the voices currently claiming a
Outstanding challenges in a post-equality era: The same-sex marriage and . . .


“Quedan prohibidos los nombres que objetivamente perjudiquen a la persona, los que hagan confusa la identificación y los que induzcan a error en cuanto al sexo” (BOE, 65: 11253).


new definition of transgender rights in order to overcome what is called the ‘pathological perspective’, together with the provision of services in each region that cover their psychological, social and transitional needs on an individual basis. Close to the national elections of March 2008, marches and manifestos appeared across main cities, promoted by small groups like the Bloque Alternativo, Guerrilla Travolaka, Towanda, Errequeterre, and so on.

Some ideas as conclusions
The passing of the 13/2005 and 3/2007 laws aimed to satisfy the requests of a social movement that has finally achieved national attention and agenda status for its specific goals. These laws have the explicit aim of overcoming inequality, and giving previously unknown rights to citizens. These laws attempt to be not only neutral but also egalitarian, as well as compensating for a historical situation of exclusion of gays, lesbians and transgender citizens. And they are designed to include disenfranchised individuals within mainstream citizenship. Yet they are not designed to transform society in depth. Therefore, to some extent they end up contributing to the reproduction of inequality because they lack a sufficient gender perspective, and do not observe the issues of nationality, age, place of residency, social class and access to economic resources of the people to whom they are directed – in other words they do not guarantee substantive equality. Not only do these laws lack a multiple discrimination perspective but they are also designed within a frame that could be labelled ‘assimilationist’, intended to include those citizens previously discriminated on the basis of belonging to a sexual minority, rather than attempting to transform the social construction of sexuality itself. This is not to deny that laws allowing same-sex marriage and transgender rights are symbolically transformative, yet the specific design of these two laws (13/2005 and 3/2007) constrains the scope of their impact. Such a perspective reminds us that public policies are not neutral; they are situated in a context of existing norms and understandings – those of heterosexuality. Therefore the issue for researchers is to deploy an intersectional perspective precisely to understand the intersections between the various structural inequalities that citizens suffer. Acknowledgement
I would like to thank Silvia López Rodríguez for the discussion and comments about sexual rights and their impact as symbolic politics, also Emily Grabham for her thoughtful and inspiring insights about the impact of new sexual rights and Gloria Fortún Menor for her generous work with the translation.

Works cited
Caballero, Javier and Izeddin Daniel (2004), DNI: Franco tiene el 1; el Rey, el 10. El Mundo. Crónica. March 7, 438. Calvo, Kerman (2005), Matrimoino homosexual y ciudadanía, Claves de la razón práctica, 154: pp. 32–40. Crenshaw, Kimberley (1989), Demarginalizing the Intersection of Race and Sex: A Black Feminist Critique of Antidiscrimination Doctrine, Feminist Theory and Antiracist Politics, Chicago: University of Chicago Legal forum, pp. 139–167.
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Fernández-Rasines, Paloma (2007), ‘Homoerotismo entre mujeres y la búsqueda del reconocimiento’, in dentro de Simonis, A. (ed.), Cultura, homosexualidad y homofobia, Vol. II, Amazonia: retos de visibilidad lesbiana, Barcelona: Laertes, pp. 41–54. ——— (1999), Diáspora Africana en América Latina. Discontinuidad racial y maternidad política en Ecuador, Bilbao, Servicio Editorial de la Universidad del País Vasco. Gusfield, Joseph R. (1980) [1963], Symbolic crusade: status politics and the American Temperance Movement, Wesport (Connecticut): Greenwood Press. Laraña, Enrique y Gusfield J.R. (1994), Los nuevos movimientos sociales: De la ideología a la identidad, Madrid: CIS. Navarro Casillas, Isaura (2005), Diario de sesiones del Congreso de los Diputados, 30 de Junio 2005, 103: pp. 5221–5222. Pichardo Galán, José Ignacio (2008), Opciones sexuales y nuevos modelos familiars, Doctoral Thesis, Social Anthropology and Spanish Philosophical Thought Department, Universidad Autónoma de Madrid. Platero Méndez, Raquel (2007a), ‘Overcoming brides and grooms. The representation of Lesbian and gay rights in Spain’, in Verloo, M. (ed.), Multiple Meanings of Gender Equality. A Critical Frame Analysis of Gender Policies in Europe, CEU, Central European University Press: Budapest, pp. 207–232. ——— (2007b), Love and the State: Gay marriage in Spain, Feminist Legal Studies 15: 3. ——— (2007c), Intersecting gender and sexual orientation. An analysis of sexuality and citizenship in gender equality policies in Spain. ‘Contesting Citizenship: Comparative Analyses’, Critical Review of International Social and Political Philosophy, CRISPP 10: 4, pp. 575–597. Rodríguez Zapatero, José Luis (2005), Diario de sesiones del Congreso de los Diputados, 30 Junio 2005, 103: p. 5228. Rullán, Rebeca (2004), Derechos civiles y sociales en material de identidad de género. Asociación Española de Transexuales, AET Transexualia, XVI Congreso Estatal de la Federación Española de Lesbianas, Gays, Transexuales y Bisexuales, Salamanca, May 1–2, 2004. Verloo, Mieke (2005), Displacement and empowerment: reflections on the concept and practice of the Council of Europe Approach to Gender Mainstreaming and Gender Equality, Social Politics. International Studies in Gender, State and Society 12: 3, pp. 334–365.

Contributor details
Raquel Platero Méndez is a political activist, teacher and researcher at the Universidad de Complutense in Madrid, Spain. She has been a member of the research team of two EU-funded research projects: Policy frames and implementation problems: The case of gender mainstreaming-MAGEEQ (see and Quality in Gender Equality Policies – QUING (see Her work relates to policy frames and intimate citizenship, with a special focus on the placing of LGBT issues on the Spanish political agenda, along with the public representations of these problems. Her current research focuses on the inclusion/exclusion of sexual orientation and transgender issues in gender equality and sexualityrelated public policies; the creation of public services for LGBT people, and the impact of lesbian-feminist discourses on gender equality policies. Contact: Raquel Platero, QUING European Research Project, Departamento de Ciencia Política y Administración II, Facultad de CC. Políticas y Sociología, Universidad Complutense de Madrid, Pozuelo de Alarcón, Madrid 28223, Spain. E-mail:

Outstanding challenges in a post-equality era: The same-sex marriage and . . .


International Journal of Iberian Studies Volume 21 Number 1 © 2008 Intellect Ltd Open Forum. Spanish language. doi: 10.1386/ijis.21.1.51/3

Comparando los inicios de la historiografía social española y francesa
Roberto Ceamanos Llorens University of Zaragoza1 Abstract
Comparing the beginnings of Spanish and French Social Historiography. This commentary examines the origins of Spanish and French social historiography showing how they had common features despite evolving at different rates and intensities, and embodying two different approaches to the labour world. The first approach was that of liberal professionals who examined the working class motivated by their concern for what was called ‘the social question’. The second, fundamental approach until well into the twentieth century was that of the militant authors –in other words, authors who were linked to the labour movement itself. For a long time this militant legacy could be seen in a type of history that was marked by an epic view of events, whose interpretation contained strong political implications. The advent of the Spanish Civil War checked this evolution and had markedly different effects on the development of the two lines of labour history research in each country.

Spanish social historiography La question sociale labour history

Entre mediados del siglo XIX y el primer tercio del XX surgieron y se desarrollaron las dos grandes líneas sobre las que se asienta la actual historiografía social española y francesa que, aunque con diferente ritmo e intensidad, recorrieron un camino común hasta el estallido de la Guerra Civil y la Segunda Guerra Mundial, respectivamente. Fue una historia básicamente obrera que se denominó social, bien por el convencimiento de que la clase obrera era el motor de la sociedad o bien por la necesidad de utilizar un eufemismo que evitara la censura. La primera de estas líneas de investigación nació del trabajo de los intelectuales y profesionales liberales que, impresionados por los efectos negativos de la industrialización, se interesaron por la resolución de la llamada “cuestión social” e incorporaron la temática obrera a sus investigaciones. Estudiaron las condiciones de trabajo y de vida de los obreros y de sus familias, al tiempo que presentaron propuestas basadas en criterios de solidaridad y justa distribución de los bienes para resolver los principales problemas que tenían planteados los trabajadores. De aquí surgió el socialismo utópico y se desarrolló el reformismo, la economía social, el catolicismo y el protestantismo social, idearios que surgieron en Francia y Gran Bretaña y que calaron hondo entre pensadores españoles como Joaquín Abreu, Ramón de la Sagra, Fernando Garrido y Sixto de la Cámara.
IJIS 21 (1) 51–57 © Intellect Ltd 2008


Este texto resume las conclusiones del trabajo desarrollado en una estancia postdoctoral en Paris IV-Sorbonne que, en el caso francés, continuaba las investigaciones que dieron lugar al libro: Ceamanos, R. (2005), Militancia y Universidad. La construcción de la historia obrera en Francia, Valencia: Fundación Instituto de Historia Social-UNED.


Para el progreso de estas investigaciones fue muy importante la fundación de instituciones. El Musée Social de Paris (1895) fue su principal centro de reflexión que se organizó en varias secciones de estudios con el objetivo de reunir toda la documentación posible sobre la sociedad. Entre éstas, se encontraba la Section des associations ouvrières et coopératives dirigida por Léon de Seilhac, que enviaba observadores a las huelgas y a los congresos cooperativistas, mutualistas y socialistas franceses e internacionales. Fruto de sus observaciones se publicaron numerosas obras sobre la condición obrera entre las que hay que subrayar las del citado Seilhac y las de Etienne Martin de Saint-Léon, interesado especialmente por las asociaciones de oficios. La Academia de Ciencias Morales y Políticas fue otra de las principales instituciones que, tanto en Francia como en España, se interesó por la situación de la clase obrera. Al tener encomendada la realización de los dictámenes sobre los problemas sociales y las soluciones a los mismos, promovió diversos estudios sobre la organización del trabajo y las condiciones de vida de los asalariados. De ella surgieron, en el caso español, los escritos de Gumersindo de Azcárate, José Lorenzo Figueroa, Adolfo Álvarez Buylla y Práxedes Zancada sobre el reformismo social, la cuestión obrera y las doctrinas anarquista y socialista, obras a las que se sumaron las aportaciones realizadas desde el catolicismo social por Severino Aznar sobre la situación de los obreros. El Estado comenzó a asumir principios interventores que impulsaron la creación de las primeras instituciones públicas con el fin de fundamentar las reformas legislativas en materia social. Las principales fueron la Comisión de Reformas Sociales (1883) y el Instituto de Reformas Sociales (1903), en España; y la Office du Travail (1890), en Francia. Sobre esta incipiente historia social ejerció una gran influencia Frédéric Le Play, pionero de la sociología francesa y uno de los principales pensadores del reformismo social europeo, que estudió por toda Europa las condiciones de vida de las familias de las clases populares por entender que eran el centro de la sociedad y las que conservaban su pureza original. La importancia de su método de trabajo radica en que, mientras que otros autores se habían limitado a ofrecer meros datos cuantitativos, Le Play fue más allá de las simples observaciones. No sólo observó y comparó los hechos, sino que también se preocupó de interrogarlos y reflexionar sobre ellos. Concluyó que la solución a los problemas sociales no era ni el liberalismo ni el socialismo. Ambos desestabilizaban el núcleo familiar, el primero por exaltar al individuo y el segundo por confiar exclusivamente en la colectividad. Para evitar el desarraigo y la pobreza era fundamental mantener la estructura familiar, baluarte principal de la sociedad. Sin embargo, estos estudios no entraban en el pasado obrero, de ahí la importancia de la obra de Émile Levasseur quien está considerado como un notable precursor de la historia social por su monumental trilogía en la que reconstruyó la historia de las clases obreras. Al sur de los Pirineos, la influencia del pensamiento europeo y sobre todo de la renovación krausista, impulsó también destacadas investigaciones que, abordadas desde las ciencias sociales-especialmente desde el derecho, la sociología, la antropología y la psicología- y promovidas por la
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prevención que vino en denominarse eufemísticamente interés terapéutico, se preocuparon por los obreros y sus familias. Es en este marco en donde se encuadran las obras de Adolfo Posada, Constancio Bernaldo de Quirós y, especialmente, la del notario cordobés Juan Díaz del Moral sobre las agitaciones campesinas andaluzas, trabajo de psicología social que ofreció una de las primeras interpretaciones sobre los orígenes del anarquismo español. Punto de conexión entre el ámbito español y el francés fueron los trabajos de Angel Marvaud, quien visitó España enviado por Le Musée Social para obtener información sobre las condiciones de vida de las capas más pobres de la sociedad. Conocedor de primera mano de la realidad española, en su obra La question sociale en Espagne Marvaud dio cabida al movimiento obrero, la situación del proletariado industrial y agrícola, el asociacionismo, las iniciativas patronales y la actuación estatal en materia obrera. Marvaud aplicó la metodología de la incipiente sociología francesa al estudio de la realidad social española. En concreto, su modelo se basó en el método de observación directa de Le Play. A su juicio, la problemática social tenía unos mismos orígenes en todos los países-el desarrollo del maquinismo y la concentración industrial-pero, más allá de estas causas generales, debía explicarse atendiendo a la historia de cada país, su situación política y económica, las condiciones en que vivía el proletariado y los rasgos más sobresalientes de su carácter. La segunda línea de investigación surgió entre los sectores demócratas y republicanos de la burguesía y se caracterizó por su manifiesta simpatía hacia su objeto de estudio centrado principalmente en el movimiento obrero. Autores como Jacques-Georges Weill, Maxime Leroy o los hermanos Daniel y Élie Halévy debatieron sobre las reformas sociales y se interesaron por el incipiente movimiento obrero. En España encontramos interesantes trabajos de similar procedencia. Durante el Sexenio Revolucionario se publicaron los estudios del demócrata Rafael Pérez del Álamo y del republicano Eugenio García Ruiz, pero de todas, la obra más relevante fue la del intelectual republicano y socialista Fernando Garrido, representante de una historia radical popular que concedía un especial protagonismo al mundo obrero, no con pretensiones sociológicas o terapéuticas como habían hecho los investigadores de la “cuestión social”, sino como un sector popular que luchaba y avanzaba hacia la emancipación. Pronto se consolidaron partidos y sindicatos que defendían exclusivamente los intereses de la clase obrera. La historia pasó a ser escrita por los propios militantes de estas organizaciones que, interesados en dejar testimonio de su experiencia y en favorecer sus planteamientos ideológicos, relataron la historia de los episodios que habían vivido. A ambos lados de los Pirineos el movimiento obrero experimentó importantes tensiones entre sus diferentes corrientes, conflictos que tuvieron el efecto de multiplicar las obras sobre su historia para ser utilizadas en el combate político. Se escribieron memorias, biografías e historias de las diferentes tendencias que intentaban legitimarse y afianzarse como las auténticas representantes del proletariado. Entre sus principales autores encontramos los nombres
Comparando los inicios de la historiografía social española y francesa


de líderes como Jean Allemane, Benoît Malon, Prosper Olivier Lissagaray y, sobre todo, Jean Jaurès, autor de la Histoire Socialiste de la Révolution Française, punto de partida de la interpretación social de la historia de la Revolución Francesa. Los trabajos publicados en España respondieron también a la lucha ideológica entre las grandes corrientes del movimiento obrero. En el seno del socialismo destacaron las obras de Francisco Mora y Juan José Morato, considerado este último como el historiador oficial del primer socialismo y autor de La cuna de un gigante, un clásico de la historiografía del movimiento obrero español. Respecto al anarquismo, Anselmo Lorenzo escribió El proletario militante, obra en la que, junto a la pasión en la narración de los acontecimientos, intentó que su información fuera lo más fidedigna posible, circunstancia que hizo de este trabajo una fuente básica de estudio. La importancia que cobró el anarquismo español le convirtió en un tema privilegiado que interesó más allá de las fronteras nacionales con trabajos como los del austriaco Max Nettlau. Pese a realizar itinerarios similares, la historiografía francesa tuvo una producción más notable que la española gracias a la aparición de colecciones (Histoire Socialiste, 1789–1900 (1901–1908), Bibliothèque Socialiste (1900–1906) y Bibliothèque du Mouvement socialiste (1908)) que reunieron a las obras más relevantes, y a la publicación de enciclopedias (Encyclopédie Socialiste y Encyclopédie Anarchiste) que buscaron recuperar la memoria del movimiento obrero. Estos proyectos colectivos apenas los encontramos en España donde surgieron sin embargo la Biblioteca de El Socialista y la Biblioteca de Ciencias Sociales. Una tercera característica de la historiografía francesa que la destacó respecto a la española reside en la dedicación a la investigación de numerosos profesores franceses de enseñanza primaria y secundaria, mucho antes de que esta historiografía penetrara en el ámbito universitario. El sindicalismo de la enseñanza contaba con una sólida presencia entre los docentes franceses y de ellos surgieron importantes historiadores como Maurice Dommanget. Su trabajo supuso un primer paso hacia la profesionalización, al proporcionar una mayor preocupación por las fuentes, la erudición y la redacción. En cambio, en España, la implantación de los sindicatos de profesores fue débil y, tras la Guerra Civil, los profesionales de la enseñanza fueron duramente represaliados, perdiéndose un caudal humano de una inestimable riqueza intelectual. En los primeros años treinta se consolidaron los institutos de formación de cuadros políticos y sindicales que fueron otra importante vía para el desarrollo de la historia obrera. Georges Lefranc impartó varios cursos en el Centre confédéral d’études ouvrières de la CGT de los que proceden algunos de sus libros más importantes. Fue entonces cuando se produjo el triunfo del Frente Popular en Francia que impulsó el estudio del movimiento obrero, momento en el que se publicó la célebre Histoire du mouvement ouvrier français de Édouard Dolléans, síntesis que se convirtió en un referente para toda una generación de historiadores y cuyo valor ideológico radica en haber defendido la autonomía del socialismo francés frente a la injerencia del bolchevismo soviético. En España, la Segunda República fue
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igualmente un período de auge para la historiografía social en su vertiente más militante. Sin embargo, ésta permanecía fuera de la academia. Ni la clase obrera ni su movimiento organizado recibían un tratamiento específico por parte de los historiadores oficiales. No eran objeto de estudio en sus monografías y apenas se vislumbraba en las historias generales en las que la clase obrera era abordada como un problema de orden público o, como mucho, se incluía en los análisis sociales y culturales a la hora de hablar de las clases populares. Sólo se advierten ciertas excepciones que nos hablan de un incipiente despegue de la profesionalización pero que se verá cortado de raíz por el estallido y las consecuencias de la Guerra Civil. En Els moviments socials à Barcelona Manuel Reventós relató las vicisitudes de la clase obrera, atendiendo a los aspectos ideológicos de su movimiento organizado e intentando insertar éste en la historia política, y proporcionó un enfoque profesional en cuanto que introdujo unas pautas de trabajo que ya no encontraremos hasta bien avanzada la posguerra cuando el enfoque de su obra fue recuperado por Vicens Vives y sus discípulos se interesaron por estudiar de nuevo el mundo obrero decimonónico. Notable fue también el caso de Manuel Núñez de Arenas que defendió su tesis doctoral sobre el reformista Ramón de la Sagra y se esforzó también por profesionalizar la historia obrera. Tradujo la obra de Georges Renard Sindicatos, Trade Unions y Corporaciones, a la que sumó el apéndice ‘Notas sobre el movimiento obrero español’, texto que durante décadas fue un punto de referencia. Tras la Guerra Civil se afincó en Francia donde desarrolló el resto de su trayectoria investigadora. Su obra está considerada como ‘un eslabón entre la historiografía de partido – Juan José Morato, Francisco Mora o Anselmo Lorenzo – y la de autores como F.G. Bruguera, Antonio Ramos Oliveira y Manuel Tuñón de Lara quienes sentaron las bases para el posterior desarrollo de la historiografía social española. Esta, durante la transición a la democracia, realizó los pasos precisos para consolidarse en el ámbito universitario español, tal y como había hecho la francesa unas décadas antes. Works cited
-Obras del reformismo social español: Álvarez Buylla, A. (1910), La problemática del obrero, Madrid: [s.n.]; y (1917), La reforma social en España, Madrid: [s.n.]. Aznar, S. (1906), El catolicismo social en España, Zaragoza: [s.n.]. De Azcárate, G.: pdf. De la Cámara, S. (1849), La cuestión social, Madrid: [s.n.]. De la Sagra, R. (1840), Lecciones de economía social, Madrid: Imprenta Ferrer. De Quirós, B. (1919), El espartaquismo agrario andaluz, Madrid: Reus. Díaz del Moral, J. (1929), Historia de las agitaciones campesinas andaluzas, Madrid: Gráfica Universal. García, E. (1872), Historia de la Internacional y del federalismo en España, Madrid: [s.n.]. Garrido, F. (1870), Historia de las clases trabajadoras, de sus progresos y transformaciones económicas, sociales y políticas, Madrid: Imp. T. Núñez.

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Lorenzo, J. (1869), Discurso de ingreso leído en la Real Academia de Ciencias Morales y Políticas en la recepción pública del Ilmo. Sr. D. José Lorenzo Figueroa: La sociedad y el socialismo, 30 de mayo de 1869, Madrid: Imp. Colegio Nacional Sordo-Mudos y Ciegos. Marvaud, A. (1910), La question sociale en Espagne, Paris: F. Alcan. Traducción: (1975), La cuestión social en España, Madrid: Ediciones de la Revista de Trabajo, prólogo de J.J. Castillo y J.M. Borrás; y (1913), L’Espagne au XX siècle, Paris: A. Colin. Pérez del Álamo, R. (1872), Apuntes Históricos sobre dos revoluciones, Sevilla: [s.n.]. Posada, A. (1904), Socialismo y Reforma Social, Madrid: F. Fe. Zancada, P. (1902), El obrero en España, Barcelona: Maucci; y (1902), Antecedentes históricos y estado actual y estado actual del problema obrero en España, Madrid: I. Moreno. -Historiografía militante del movimiento obrero español: Lorenzo, A. (1974), El proletariado militante, edición J. Álvarez Junco, Madrid: Alianza. Mora, F. (1902), Historia del Socialismo Obrero Español, Madrid: Imp. I. Calleja. Morato, J.J. (1897), Notas para la historia de los modos de producción en España, Madrid. Parra, L. y M. Torres (1918), El Partido Socialista Obrero: génesis, doctrina, hombres, desarrollo, acción, estado actual, Madrid: Biblioteca Nueva; y (1925), La cuna de un gigante: Historia de la Asociación General del Arte de Imprimir, Madrid: J. Molina. Nettlau, M. (1925), Miguel Bakunin: La internacional y la Alianza en España: 1868–1873, Buenos Aires: La Protesta. Núñez de Arenas, M. (1924), Don Ramón de la Sagra, reformador social, New Cork: [s.n.]. Renard, G. (1916), Sindicatos, Trade-Unions y Corporaciones, Madrid: D. Jorro. Reventós, M. (1925), Assaig sobre alguns episodis historics dels moviments socials à Barcelona durant el segle XIX, Barcelona: La Revista. Diccionarios: Pasamar, G. y Peiró, I. (2002), Diccionario Akal de Historiadores españoles contemporáneos (1840–1980), Madrid: Akal, p. 446. FRANCIA -Obras del reformismo social francés: Halévy, D. (1901), Essais sur le mouvement ouvrier en France, Paris: Société Nouvelle de Librairie. Halévy, E. (1948), Histoire du socialisme européen, Paris: Gallimard. Le Play, F. (1855), Les Ouvriers Européens, Paris: Impr. impériale; (1870) Organisation du travail, Tours: A. Mame et fils; (1872), La Réforme sociale en France déduite de l’observation comparée des peuples européens, Tours: Mame; y (1989), La methode sociale, Paris: Méridiens-Klincksieck. Leroy, M. (1913), La coutume ouvrière, Paris: Giard et Brière; y (1946–1954), Histoire des idées Sociales en France, Paris: Gallimard. Levasseur, E., Histoire des classes ouvrières et de l’industrie en France: (1859), Histoire des classes ouvrières et de l’industrie en France depuis la conquête de Jules César jusqu’à la révolution, Paris: Guillaumin; (1867), Histoire des classes ouvrières et de l’industrie en France depuis la révolution jusqu’à nos jours, Paris: Hachette; y (1907), Questions ouvrières et industrielles en France sous la Troisième République, Paris: Rousseau. Weill, G. (1905), Histoire du mouvement social en France, 1852–1902, Paris: F. Alcan. Léon de Seilhac y Etienne Martin de Saint-Léon.


Roberto Ceamanos Llorens

-Sobre el Musée Social: Chambelland C. (dir.) (1998), Le Musée social en son temps, Paris : ENS; y Horne, J. (2004), Le Musée social aux origines de l’État providence, Paris: Belin. -Historiografía militante del movimiento obrero francés: Dolléans, E. (1936), Histoire du Mouvement ouvrier français, Paris: A. Colin. Jaurès, J. (1968), Histoire Socialiste de la Révolution Française, Paris: Éditions Sociales. Lissagaray, P.O. (1876), Histoire de la Commune, Bruxelles: [s.n.]. Maurice Dommanget y Georges Lefranc. Enciclopedias sobre historia del movimiento obrero francés: Compère-Morel, A.C.A. (dir.) (1912–1921), Enciclopédie socialiste, syndicale et coopérative de l’Internationale ouvrière, Paris: A. Quillet. Faure, S. (dir.) [1934], Enciclopédie Anarchiste, Paris: Librairie Internationale.

Contributor details
Roberto Ceamanos received a Doctorate in Contemporary History from Zaragoza and Bourgogne Universities, and won the Spanish National Prize for Graduates in 1998–1999 and the Premio Extraordinario de Doctorado (outstanding doctorate prize) for 2003–2004. He received a postdoctoral fellowship from the Spanish Ministry of Science and Education, which he spent doing research at the Université Paris IV-Sorbonne. He is currently working in the modern and contemporary history department of Zaragoza university. He is the author of De la historia del movimiento obrero a la historia social, and of Militancia y Universidad. La construcción de la historia obrera en Francia. His articles have appeared in academic journals such as: Hispania, Historia Social, The International Review, Storia della Storiografia. Contact: Departamento de Historia Moderna y Contemporánea, Universidad de Zaragoza, C/Pedro Cerbuna, 12, 50009-Zaragoza (Spain). E-mail:

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International Journal of Iberian Studies Volume 21 Number 1 © 2008 Intellect Ltd Reviews. English language. doi: 10.1386/ijis.21.1.59/5

Book Reviews
Spanish Cinema: A Student’s Guide, Barry Jordan and Mark Allinson (2005) London: Hodder Arnold, 229 pp., ISBN 0-340-80745-8 (pbk), £17.99
As Jordan and Allinson readily acknowledge, there is no shortage of publications dealing with the study of Spanish cinema. However, the particular strength of Spanish Cinema: A Student’s Guide is that it combines two areas frequently presented in separate volumes, bringing together the fields of Spanish culture and film studies, in particular for the benefit of those students who may have focused on only one of these areas. To that end this innovative and thought-provoking volume sets out to explore a variety of themes often identified with Spanish cinema and national identity. The initial chapter reviewing the history of the industry gives an extensive overview of Spanish film production from its earliest beginnings, clearly noting the industry’s enduring dependency on imported films, as well as the detrimental effects of the Civil War and the influence of Franco’s regime on Spanish cinema. Further sections examine the various regulatory reforms and technological developments the industry has undergone from Spain’s return to democracy to the present day, tracing the intellectual and cultural trends that have resulted in, as the authors suggest, a new era of politicised film making. Chapter 2 addresses the basic methodology of film studies – technique, narrative and style – to enable those embarking on a study of Spanish cinema to gain a deeper understanding of how to analyse a film and to compare Spanish films with those produced in other countries. This chapter avoids the risks inherent in presenting dry theory, with various cinematic and analytical techniques described in context, using key Spanish films to illustrate the points made. Given the invaluable historical and practical content found in the final chapter which is devoted to ‘Film Studies and Film Theory’, it might perhaps have been better positioned here, since it provides further vital background material on Spanish cinema and the industry. The concepts of auterism in general and the auteurist tradition in Spain are explored in the book’s third chapter, including an examination of three of the most influential Spanish directors – Pedro Almodóvar, Luis Buñuel, and Victor Erice. A provocative discussion on whether or not the
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success of one film can justify the auteur status ascribed to Erice completes this section. The ‘Genre’ chapter adopts a similar format first by looking at conventions in general, before focusing on three specific genres – musical, thriller, and gross-out – which although not unique to Spain, have developed into a form that reflects their national provenance. No study of a national cinema would be complete without an appraisal of home-grown actors who have achieved star status. Thus, after considering what constitutes a ‘star system’ and whether Spanish cinema can boast such a convention, Jordan and Allinson go on to analyse the work of two Spanish actors who have achieved such status within the national industry. By opting to focus on such distinct figures as Alfredo Landa and Carmen Maura, however, the authors have avoided falling into the trap of serving up the ‘usual suspects’, the former being included as an example of an actor who has made a significant contribution to the industry within a particular genre, the latter featured by reason of her celebrity status as both film and television star. Further there is a welcome cautionary note at the conclusion of this section, suggesting that existing norms should perhaps be revisited with a view to accommodating other, alternative manifestations of stardom. The chapter on ‘Representation’ considers a broad range of pivotal films, spanning the very early days of the Spanish film industry, to the present. However, some aspects of the section on ‘Gender’ raise an element of concern, with the use of a few somewhat patronising sub-headings (‘Films for/about/by women’), and the mention of only two films by female directors, against the background of a burgeoning body of work by female directors, particularly during the 1990s. Notwithstanding this minor criticism, Spanish Cinema: A Student’s Guide is justified in claiming to be an indispensable source for both students and teachers of Spanish cinema. In keeping with the applied focus of the publication, it is encouraging to see at the conclusion of the book a series of short, practical chapters offering a glossary of film terms and bibliographies in English and Spanish, as well as an extensive selection of relevant websites. Overall, this essential text will undoubtedly provide students with a solid base from which to study Spanish cinema, and better equip them to pursue further research in the field. Reviewed by Jacky Collins, Northumbria University

Spain, Portugal and the Great Powers, 1931–1941, Glyn A. Stone (2005) Basingstoke and New York: Palgrave Macmillan, xv + 316 pp., ISBN 0-333-49560-8 (pbk), £19.99
Few events of twentieth-century history engaged the interest of the Great Powers more vigorously than the Spanish Civil War, and the international dimension of the war has been amply studied by historians. This important book widens the area of investigation to include the policies of the Great Powers towards the Spanish Republic, and extends the chronological
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span beyond the end of the Civil War until the entry of the United States into the Second World War in 1941. More significantly, however, it provides a thorough and detailed account of the relations between the Great Powers and Portugal, thereby offering, for the first time, a pan-Iberian perspective on both the relations between the two neighbouring states and the relations of each with other European countries and the United States. Four out of the ten chapters are devoted to the Civil War, which is throughout considered from the perspective of geopolitics and military and economic strategy. Thus, for example, the independent decisions of Germany and Italy to intervene in the Civil War produced a rapprochement between these countries, with consequent detriment of Italy’s relations with Britain and France (39). Conversely, the search for collective security in Europe was one of the main motivations for Britain’s refusal to intervene in support of the Republic, for the Civil War occurred precisely at the time when Chamberlain was seeking to appease both Hitler and Mussolini. Furthermore, with the increasing danger of a major European conflict, it was imperative to British interests that Spain remain neutral, whatever the outcome of the Civil War, a consideration which strengthened the case for non-intervention (55). This led the United Kingdom into the equivocal position of, on the one hand, expressing sympathy to the German government over an attack on the battleship Deutschland, which was part of the non-intervention patrol in the Mediterranean, and, on the other, ignoring the retaliatory bombardment of Almería by the Admiral Scheer, and the destruction of Guernica by the Luftwaffe (81). The principal originality of the book lies in the chapters on Portugal. Although Portuguese military involvement on the insurgent side in the Civil War was substantial (114), and although Salazar’s instinctive sympathies were anti-communist and pro-Axis, he was more robust than Franco in preserving his country’s neutrality during the Second World War, despite the economic pressures exerted by Germany. Whereas Spain offered logistic and military support to Germany (128–129; 144), Portugal managed to steer clear of being drawn into the Axis orbit (121). Professor Stone highlights the hitherto under explored connection between the Anschluss and the determination of Salazar to resist the imposition by a victorious Franco of the long-standing nationalist ideal of a united Iberia (122). Professor Stone’s account is amply documented from a huge corpus of primary sources, both published and unpublished, as well as a large bibliography of secondary studies. It might seem churlish to enter a quibble about this excellent work, but the word ‘disinterested’ is used frequently when ‘uninterested’ is meant. This, though a common habit among contemporary English speakers, is confusing in a context in which disinterested motivation was rare if not non-existent. Where the interests of belligerents in a major conflict are involved, small countries are vulnerable to being treated with contempt: witness, for example, Chamberlain’s willingness to sacrifice Portugal’s African empire during the phase of appeasement (125). Reviewed by Eamonn Rodgers, University of Strathclyde
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Spanish Political Parties, David Hanley and John Loughlin (eds.) (2006) Cardiff: University of Wales Press, 179 pp., ISBN 0708319319 (pbk), £18.99; 0708318312 (hbk), £55.00
David Hanley and John Loughlin write the introduction and organise the edited volume with two initial chapters focusing on the principal national Spanish parties, the Popular Party (PP) and the Socialist Party (PSOE). They argue that Spain has a two-party system; however, AC (Autonomous Community) party systems differ. The PP’s centralised political stance has continuity in all the ACs and is reflected throughout the book. Consecutive chapters focus on the three historical nationalities: Catalonia, the Basque Country, and Galicia. Each chapter begins by describing historical circumstances behind the parties’ establishment and divisions. The authors reveal each party’s internal structure, their electorate, and perspectives towards Europe. All the chapters illustrate regime changes in Spain’s history, mainly focusing on the twentieth century, which assists in identifying the primary issues that still have resonance. Spain’s territorial divisions and the ‘leftright divide’ have been sources of party coalition and division. Gilmour’s chapter on the PP explains its right-wing origins, stemming from Manuel Fraga’s leadership. Fraga was the founder of Popular Alliance (AP), and Franco’s former minister of for information and tourism. Fraga, with Oreja of the Democratic Centre Union (UCD), re-established the AP as the PP, and in effect, brought a Francoist party to the centre-right. The PP has remained a centralised and stable party, due to Fraga, and later José María Aznar (1990-–2003), in its upper echelons. Kennedy’s chapter, analysing the PSOE, recounts how it was forced into exile, like various others, during the Francoist dictatorship. Thereafter, with Felipe González, it brought Spain out of economic turmoil, and allowed its entry in the European Community, which were primary modernising elements in Spain’s political system. The PSOE gained a stable hold on office in Madrid from 1982-–1996, which ended due to corruption charges and scandals, nevertheless, the Socialists managed to regain office in 2004. Etherinton and Fernández, in the subsequent chapter, focus on Catalonia’s principal political parties: Convergència i Unió (CiU), Esquerra Republicana de Catalunya (ERC), Iniciativa per Catalunya-Verds – Esquerra Unida i Alternativa (IC-V), the PP, and the Socialist Party of Catalonia (PSC-PSOE). They assert that socio-economic development and the national question are important for Catalonian party success, and highlight Jordi Pujol’s preeminencepre-eminence in Catalonian politics as well as the political stability Catalonia enjoys. They reveal the PSC’s unique independency from the central line of the PSOE, and ERC’s leftist nationalist independentist line that now has a less radical and more socio-democratic stance. Letamendia focuses on the Basque Nationalist Party (PNV) justifying his decision to do so in the light of its power in the Basque government
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from 1980 until today. The Basque foral laws, Spain’s territorial structure, and ETA’s terrorism have all been contentious aspects of the political scene. Various agreements, such as the Lizarra Declaration, the Ajuria-Enea Pact, and the Ibarretxe Plan, have also caused conflict between political forces. He also explores Basque Solidarity (EA), whoich split from the PNV, the Socialist Party of Euskadi (PSE-EE), IU-Ezker Batasuna, and the PP. Regarding the left-wing nationalist parties, he focuses his attention on the now illegal, Herri Batasuna-Eukal Herritarok (HB-EH). Keating examines Galician political parties. There, nationalist parties have been traditionally fragmented,; however, Bloque Nacionalista Galego (BNG) is a federation of nationalist parties, and has recently acquired an intelligible front. Thus, the chapter’s structure is not the same as those on the Basque Country and Catalonia due to Fraga’s political dominance and the presence of ‘extensive clientelistic networks’, causing a ‘PP baron’ to run politics in the Galician provinces. Nonetheless, future is favourable for nationalist parties and there is a growing identification with autonomous institutions, rather than a reliance on Madrid to represent Galician interests. Hanley concludes briefly discussing Spanish political parties in the transnational political arena. He focuses on Aznar’s importance in the Christian Democrat International (CDI), as well as on the European People’s Party (EPP), the Socialist International (SI), and the European Free Alliance (EFA). An essential point is that Spanish political parties accept the EU due to the agreed fact that Europe signifies modernity since the transition to democracy. Well-known scholars have contributed to this edited volume illustrating their fields of expertise. They provide a clear and concise historical background to the Spanish parties’ ideological origins. Its analysis is straightforward, and it is an excellent introduction to contemporary Spanish politics. Reviewed by Eric Bienefeld, University of Bath

Television in Spain. From Franco to Almodóvar, Paul Julian Smith (2006) Woodbridge: Tamesis, 176 pp., ISBN 1-85566-136-5 (hbk), £45
Communication studies in Spain developed from an essentially sociological tradition, a factor which explains why textual analysis of television products has remained in a very secondary position, or is indeed almost nonexistent, while institutional, political and economic analysis has prevailed. This book by Paul Julian Smith is an important contribution in redressing this imbalance. It offers an approach to Spanish television based on close reading of key audiovisual texts and their relationship with broader sociopolitical questions. Among the programmes analysed are Cuéntame cómo pasó (2001), which for Smith is an ideologically deeply ambiguous pedagogical text
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caught between the anti-Franco didacticism of its creator and a search for nostalgia through its period settings and the showing of old television programmes. The author also looks at classic serials such as Fortunata y Jacinta (1980) or La Regenta (1995), which are viewed as quality ‘middle brow’ products. Smith argues that both creators and critics became too obsessed with the faithfulness of these programmes to the works of Galdós and Clarín, and thereby neglected their specifically televisual aspects. Smith likewise analyses Crónicas de un pueblo (1971), a fictional series of the Franco era, which he compares with a series of films also produced and released during the dictatorship and shown again in Cine de barrio (1995). Rather than seeing such productions as simply the product of Franco’s propaganda apparatus, the author prefers to theorise them as those ‘cracks’ or ‘grooves’ through which a society yearning for freedom could breathe. The fourth chapter focuses on the urban sit-com, specifically Aquí no hay quien viva (2003), which for Smith offers a social map of Spain. The sit-com has been a shot in the arm for Spanish television, replacing the antiquated operetta style of ‘traditional Spanish comedy’ with an urban product based on witty dialogues and a certain theatricality, but less patronising and more up-to-date in its issues. This book also tackles the issue of telebasura and discusses Crónicas marcianas (1997), a programme which revolutionised the late night slot in Spain. Smith disagrees with the extremely common criticisms of telebasura in academic, journalistic, and professional circles, and cites this programme as an example of television where quality and good audience ratings are not mutually exclusive. The author closes the book with a consideration of the work of Pedro Almodóvar and its relationship with the world of television. One of the central ideas of this book is that television programmes, whether made in-house or by independent producers, are relatively autonomous vis-à-vis the institutional dynamics within which they are produced. To support this idea Smith points out how, at different times, ideological representations on television have differed considerably from the ideological direction of the party in power in Spain. In general, Smith offers a refreshing and well-argued alternative to the arguments long used by leftist intellectual progress to denounce the political manipulation and low quality of television programmes in Spain. As part of this argument, Smith suggests that the impact of Francoism on Spanish television was less than is often thought, and interrogates the concept of ‘quality public-service television’. Although many of these ideas are insightful and welcome, there are some with which I am unable to agree. In particular I cannot share his view of El Mundo as an ‘independent’, ‘centrist’ and less partisan publication with a more open view of television in contrast to an El País, which is seen as leftist and more partisan – close to the socialist party – and somehow against television. Although it is also clear to me that the positions taken up by the press in relation to television are often driven by commercial or political imperatives, we should nonetheless recognise the professionalism which often characterises the
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work of television and cinema critics. Moreover, it would not be too far-fetched to view El Mundo itself as a newspaper which is close to the right-wing Partido Popular. None the less, this is an innovative book whose treatment of television content and insistence on questioning the anti-television arguments often ingrained among critics and in the academy is very much to be welcomed. Far from seeing the television of the nineties as ‘abominable’, Smith suggests that those years were a second golden era for Spanish television (the first being in the sixties) basing his argument on both the quantity and quality of drama production, as well as on the success of entertainment programmes in general. Reviewed by Enric Castelló, Universitat Rovira i Virgili, Tarragona

The Spanish Civil War. Reaction, Revolution and Revenge, Paul Preston (2006) London: Harper Perennial, 381 pp., ISBN 978-0-00-723207-9 (pbk), £8.99
Paul Preston could not write a bad book even if he tried. The Spanish Civil War. Reaction, Revolution and Revenge is the third, revised edition of A Concise History of the Spanish Civil War, published in 1986 and first revised and updated in 1996 as The Spanish Civil War 1936–1939. The new volume is half as long again as its predecessor, taking into account the wealth of new research on the Civil War both by international scholars and Paul Preston himself. Although the book is nearly four hundred pages long, it is a gripping read, helped by the fact that it is unhampered by footnotes. The latter should not be taken as an indication of any lack of scholarly rigour. On the contrary, the book exudes authority on every page. For the specialist, there is new insight, information and interpretation. For the non-specialist, there is a glossary of key concepts, a list of the abbreviations of political movements, a roll-call of the principal characters, a map of Spain at the outbreak of the War, and a superb choice of illustrations which bring a vivid text even more alive. Of most interest to British readers, perhaps, will be the Bibliographical Essay, present in the earlier edition, but greatly expanded. Here Preston reviews, in a critical but even-handed way, the major works in English on the Civil War over the past sixty years or more. Interestingly, one development which emerges, though Preston, with commendable modesty, never calls particular attention to it, is the major contribution made by the graduates and collaborators of the Cañada Blanch Centre at the London School of Economics. This book is not essentially about the course of the War, though the coup and its immediate aftermath are recounted early on and its final stages are traced in the penultimate chapter. Chapters devoted to the analysis of wider issues combine this with accounts of key phases in the campaign. The key to the book’s focus, however, is in the subtitle, ‘Reaction, Revolution
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and Revenge’. Although this study is not particularly polemical, neither is it neutral. Preston’s sympathies are clear (and will, no doubt be shared by the majority of his readers), as he contrasts the modernising reforms and democratic purpose, despite the failures, of the short-lived Republic with the stultifying reaction and sheer brutality of nearly forty long years of Francoism. Preston shows how, after the official ending of the War, the ‘war of words’ has continued unabated. The bibliography on the Civil War has grown to a point where it is virtually unmanageable. Although the ‘pacto del olvido’ was not adhered to by Spanish historians, especially in the regions, Preston’s new edition has to acknowledge, more than its predecessors, the change of mood in Spain in the new century, manifest in the more widespread interest in the ‘recuperación de la memoria histórica’, whether this be from a position of commitment or of anxiety. For many outside Spain, the Civil War was the great conflict of the twentieth century, between Right and Left, Fascism and Communism, reform and reaction. It was also the testing ground for new military tactics, especially the use of air power. Preston’s book naturally highlights the War’s international dimension and is particularly good on foreign intervention and non-intervention and on the international volunteers. Nevertheless, he fascinatingly demonstrates the origins of the War in Spain’s past (there were Civil Wars throughout the nineteenth century) and shows how the fact that Spain’s political and economic development were almost invariably out of line underpins the growth of the forces whose antagonism led to the cataclysmic conflict. His account, in fact, briefly goes back to the Restoration (a period to which historians seem to have devoted less attention than would appear warranted) and then into the early twentieth century, as he shows how in essence society was divided into ‘haves’ and ‘have-nots’. By the time of the generals’ revolt, the battle lines were clearly drawn. Threats to privilege and vested interests meant that the Right coalesced around the oligarchy, the military and the Church. Fear of communism, and the Republic’s treatment of the Church, led many not naturally anti-democratic to support the coup for fear of something worse. On the other side were the democratic Left, united in the opposition to the old regime, but divided on much else on the political agenda. Preston’s account of the Republic demonstrates not only the idealism of many of its leading lights, but also political ineptitude, provocation and misjudgement. His analyses of the politics and personalities of the period, particularly on the Republican side, are outstanding. Preston also offers judgements where the evidence is less clear – on well-known controversies like Santiago Carrillo’s role in the massacres at Paracuellos, or the siege of the Alcázar, or the sending of Spanish gold to Moscow – and overall he takes a more balanced, even sympathetic, view of the Communist position and contribution than has often been the case. Following the chronological account of the road to war, Preston writes more thematic chapters. His account of the role of the Great Powers is well-documented and his two chapters on the politics on the Nationalist
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and Republican sides are fascinating and detailed. Although our broad picture of the Civil War may not be altered by this book – many of us have had our picture painted by Preston anyway, perhaps – there is much that is new. Much time is devoted to assessing the numbers killed on both sides, based on recent research. He works systematically through the roles of the major powers demonstrating the complexity of Stalin’s position and weighing up Hitler’s motives. We learn more about Mussolini’s role, his inflated view of himself as the leader of world fascism and, interestingly, the way in which British, at best, acquiescence in the coup encouraged him to go further than he might otherwise have. Paul Preston’s book inevitably invites comparison with Hugh Thomas’s The Spanish Civil War and Anthony Beevor’s The Battle for Spain: The Spanish Civil War 1936–1939. Both, justifiably, place much emphasis on the military dimension. Thomas’s has long been the standard work, though Beevor’s more recent contribution has enjoyed great success and admiration. All three works are outstanding, yet Preston’s has a kind of immediacy and engagement that powerfully draws the reader in. His use of the telling quotation, from leading participants, journalists, diplomats, together with deeply moving eye-witness accounts, suffuse real life into scholarly analysis. Above all, The Spanish Civil War. Reaction, Revolution and Revenge does not back away from taking a position. Although full of fact and detail, it is replete with interpretation and, for this non-specialist at least, is by far the most readable and stimulating account of the twentieth century’s most iconic war. Reviewed by John Macklin, University of Strathclyde

Gunpowder and Incense: The Catholic Church and the Spanish Civil War, Hilari Raguer (2007), Translated from the Spanish by Gerald Howson London and New York: Routledge, 418 pp., ISBN 978-0-415-31889-1 (hbk), £70.00
This important study, first published in Spanish in 2001 (La pólvora y el incienso. La Iglesia y la Guerra Civil Española [1936–1939], Barcelona: Ediciones Península), and now made available to English-speaking readers, is the culmination of more than thirty years’ meticulous research by its author, a Benedictine monk of the Abbey of Montserrat. Dom Hilari has benefited from the gradual opening-up of archives which were previously inaccessible, as well as from the plethora of secondary studies published in the last three decades, all of which he has sifted and assimilated with impressive scholarly dedication. The result is a more comprehensive and nuanced picture of relations between the Church and the contending parties than has been available hitherto. For example, he traces, with exemplary care, the complex process which led to the issuing of the Collective Letter of the Spanish bishops in July 1937, showing that the project passed
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through three phases, beginning when Pius XI declined to accede to Franco’s request to condemn the Basques for supporting the Republic, but instead suggested that the Spanish bishops issue a statement advising Basque Catholics not to collaborate with Communists. Cardinal Gomá proposed as an alternative that the bishops address a letter to all Spaniards, but this was never written. The appearance of the definitive letter addressed to world Catholic opinion was the result of a direct complaint to Gomá by Franco on May 10 about the hostility of the foreign press (109–110). Although the Spanish Church, therefore, saw Franco as the best protector of its interests, Franco’s alliance with the Church owed less to religious fervour than to military and political considerations, and these in turn influenced to a considerable extent the nature of the Spanish hierarchy’s stance. Moreover, while embracing enthusiastically the description of the insurgency by most of the bishops as a ‘Crusade’, the new regime was not above castigating the Church to which it professed vociferous loyalty. This is borne out by Dom Hilari’s detailed account of the frequent complaints by the Nationalist ambassador to the Vatican, José Yanguas Messía, about what was perceived as the lukewarm tenor of the Papacy’s pronouncements on the conflict (124). In certain circumstances, Franco could show that he was prepared to snub the Church when it urged moderation, even silencing conservative clerics who had offered him uncritical support: witness, for example, the banning of Gomá’s pastoral letter of August 1939 (323), and the rejection of tentative overtures concerning mediation emanating from the Vatican (245). One of the principal voices urging restraint was that of the Archbishop of Tarragona, Cardinal Vidal i Barraquer, who refused to sign the Collective Letter, seeing it as a propaganda exercise driven mainly by the political and military authorities in the Nationalist zone, a view arguably shared by the Vatican, which ignored the existence of the letter for nine months (123). Vidal i Barraquer’s main concern was pastoral, and stemmed from anxiety that the letter would place clerics living in Republican territory at even greater risk (112). For this and also for his alleged ‘separatist’ attitude (consisting mainly in allowing the use of Catalan in preaching and worship) the Archbishop was denied permission to return to Spain after the war, and died in exile in 1943. Dom Hilari does not conceal his pro-Catalan sympathies, albeit without this impairing the objectivity of his account (though one wonders why he found it necessary to reproduce verbatim some thirty per cent of Joan Maragall’s 1909 essay ‘La iglésia cremada’, since this has been available in Spanish and Catalan since 1986 [Elogio de la palabra, Barcelona: Ediciones del Mall]). On the contrary, his careful analysis of the Catalan dimension enables him to show clearly how different strands in this complex situation were interwoven: the Vatican diplomatic attempts to wrest control from the state over the appointment of bishops, the readiness of the Republican government, from July 1937, to reach an accommodation with the Church (see especially chapter 11), and the refusal of the Franco regime to accept that priests who remained in the Republican zone might have been
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motivated by commitment to their pastoral ministry, rather than by ‘Red’ partisanship. This is such a significant study that it is regrettable to have to record that the author has been badly served both by his translator and his copy-editor. Frequent recourse to literalism not only impairs readability but also occasionally produces renderings that are culturally and contextually inappropriate. When Dr. Albert Bonet escaped from Barcelona and made his way to the nationalist zone, ‘there rained upon him such menaces’ (119) (llovieron sobre él tales amenazas). To his credit, Howson has also done some research of his own, and at the end of chapter 4, has added some material based on the first volume of the Gomá archive, which had not been published when Dom Hilari’s book was being printed. Nevertheless, he rather spoils the effect by writing ‘the collection for the Irish Catholics’ (76), when it is clear from the context that this was the collection by Irish Catholics for the support of the insurgency. Some renderings are not only over-literal, but in some cases misleading, or downright wrong. Particularly confusing is the reference to ‘the secular Spain’ (242), in a context in which traditional, eternal Spain (la España secular) is being contrasted with secular, anti-clerical Spain. Some of the mistranslations betray an insufficient knowledge of cultural context and appropriate terminology. Carmelitas descalzas are, by definition, ‘barefoot Carmelites’ (31), but the Order is normally referred to as the Discalced Carmelites. Exposición solemne del Santísimo Sacramento is not a ‘solemn exhibition’ (67), as in a museum, but the exposition of the Sacrament for adoration by the faithful. Un acto de desagravio is more than ‘an apology’ (69): it is a solemn act of atonement. A sumario is not a ‘summary’ but a judicial investigation (128). Twice, the Holy See is referred to as ‘he’, as if it were an individual rather than an institution (194, 231). Templo is a common synonym in Spanish for iglesia, but ‘temple’ (210, 255) evokes inappropriate cultural connotations. In addition to the shortcomings of the translation, copy-editing should have been more thorough.. The author’s name appears correctly on the front and back cover, but as ‘Hilary’ on the title-page. L’Osservatore Romano appears as ‘L’Osservatoria Romano’ (94) and ‘L’Osservatorio Romano’ (101). The periodical Temps présent is truncated to ‘Tempsrésent’ (221). In Professor Paul Preston’s preface, several lines from p. xvi have been repeated in the second-last paragraph, breaking up the flow of the argument. One sentence in the original has been split into two, leaving the first without a main verb: ‘After the victory of the Popular Front . . .’ (31). At something like eleven places, carelessness about indenting has produced confusion between block quotations and the main narrative, most glaringly at p. 148, where in the middle of a quotation, we read, ‘Anyone who compares this with the original text will see that . . .’. To do justice to the importance and quality of Dom Hilari’s work, Routledge would be well advised to provide a thoroughly revised second edition without delay. Reviewed by Eamonn Rodgers, University of Strathclyde
IJIS 21 (1) Reviews © Intellect Ltd 2008