Suchergebnisse

"So isser, der Ossi" titelte Der Spiegel am 25.8.2019. Nur vier Tage später erschien in der New York Times ein Artikel von Anna Sauerbrey mit dem Titel "30 Years After Reunification, Germany Is Still Two Countries". Hierdurch wird beispielhaft dargestellt, dass im dreißigsten Jahr nach dem Mauerfall deutsche BürgerInnen weiterhin in Ossis und Wessis unterteilt werden und die anscheinend mangelhafte deutsche Einheit internationale Beachtung erfährt. Doch ist Deutschland wirklich noch so gespalten? Zahlreiche Studien zeigen, dass sich der Graben zwischen Ost und West verringert. Beispielsweise nähern sich die Arbeitslosenquoten einander immer weiter an und es herrscht eine positive Grundstimmung im Land. Nach wie vor scheinen sich die beiden Teile jedoch voneinander zu unterscheiden; weiterhin ist die Rede von einer "Mauer in den Köpfen". Bei Wahlumfragen wird herausgestellt, dass Ost- und Westdeutsche ein unterschiedliches Wahlverhalten zeigen und auch die Differenz der Löhne zwischen den neuen und alten Bundesländern ist weiterhin Grundlage der Debatte, wenn es um die Frage der deutschen Einigkeit geht. Die Frage, ob Divergenzen auch medial existieren, ist Grundlage des vorliegenden Forschungsprojekts. Hierbei wird versucht eine Forschungslücke in der Kommunikationswissenschaft zu schließen. Zwar wurden bereits zahlreiche Untersuchungen zur deutschen Medienlandschaft durgeführt, diese fokussieren sich jedoch meist auf die 1990er Jahre oder liegen bereits zehn Jahre oder länger zurück. Ziel ist es die deutsche Presselandschaft auf Konvergenzen und Divergenzen hin zu untersuchen, wobei einerseits betrachtet wird welche Themen behandelt und andererseits, wie diese dargestellt werden. Mit der Annahme der Existenz medialer Teilöffentlichkeiten und strukturgleich abgebildeter heterogener Kommunikationsräume in Deutschland, wurde der Medienraum auf Grundlage des arenatheoretischen Modells der Öffentlichkeit von Tobler (2010) in drei Teilöffentlichkeiten geteilt um festzustellen, wie sehr sich diese thematisch ähneln. So wurde unterschieden zwischen der medialen Teilöffentlichkeit West, bestehend aus Westdeutsche Allgemeine Zeitung, der Rheinischen Post und der Neuen Westfälischen, der medialen Teilöffentlichkeit Ost, bestehend aus der Thüringer Allgemeinen, der Sächsischen Zeitung und der Mitteldeutschen Zeitung und der medialen Teilöffentlichkeit national, aus der Frankfurter Allgemeinen Zeitung und der Süddeutschen Zeitung. Diese acht Tageszeitungen wurden mittels eines Zwei-Methoden-Designs empirisch untersucht. Zuerst wurde eine quantitative Themenfrequenzanalyse durchgeführt, im Anschluss eine qualitative Analyse von Frames. Durch das Prinzip der künstlichen Woche ist eine Cluster-Stichprobe gezogen worden. Es ergab sich ein Sample von N = 3.934 Artikeln. Die Ergebnisse wurden hypothesengeleitet ausgewertet, nach welchen davon ausgegangen wurde, dass Divergenzen zwischen den medialen Teilöffentlichkeiten messbar sind. Zwischen den drei Medienagenden konnte jedoch eine Themenkonvergenz von 71,9% festgestellt werden. Die Rangkorrelationskoeffizienten der behandelten Themen in den drei Teilöffentlichkeiten bestätigen eine Angleichung: Ost und West rs=.744 (p < .001), National und Ost rs=.603 (p < .001), National und West rs=.658 (p < .001). Es liegt demnach eine sehr ähnliche Themensetzung und Presseberichterstattung zwischen den medialen Teilöffentlichkeiten vor. Auch wurde darauf eingegangen, ob sich die Medienagenda- West der nationalen Medienagenda eher angleicht als Letztere der Medienagenda- Ost. Diese Hypothesen lassen sich nicht bestätigen, da sich die Ränge der Teilöffentlichkeiten West und National zwar eher gleichen, Ost und National sich jedoch in Hinblick auf die Häufigkeiten der behandelten Themen ähnlicher sind. In einer zweiten vertiefenden Inhaltsanalyse wurden exemplarisch ein wirtschaftliches und ein politisches Thema (der Diesel-Skandal und Rechtsextremismus, anhand des NSU-Prozesses und der Ereignisse in Chemnitz) herangezogen und auf Medienframes hin untersucht. Die Ergebnisse der Frame-Analyse weisen darauf hin, dass Aussagen zu Divergenzen und Konvergenzen in der Darstellung nur themenabhängig möglich sind und sich nicht verallgemeinern lassen. So wird deutlich, dass in Bezug auf den Dieselskandal starke Divergenzen zwischen den erhobenen Deutungsmustern zu erkennen sind. Zwischen den Teilöffentlichkeiten liegen hierbei überwiegend unterschiedliche Medienframes vor. Entgegen der Annahmen verhalten sich die Medienframes zwischen nationaler und Ost-Ebene eher konvergent, während die zwischen nationaler und West-Ebene eher divergieren. Im Gegensatz dazu kann, bei den Fallbeispielen zum Rechtsextremismus, von größtenteils konvergent existierenden Medienframes zwischen den Ebenen gesprochen werden. Insgesamt kann eine positive Bilanz zur deutschen Presseberichterstattung gezogen werden. Es können zwar einige Divergenzen zwischen den konvergent verlaufenden Medienagenden festgemacht werden, jedoch sind diese weitestgehend regional und strukturell zu begründen. Durch eine hohe inhaltliche Konvergenz zwischen den Teilöffentlichkeiten liegt eine einheitliche Presseberichterstattung in Deutschland vor und es kann nicht von ost- beziehungsweise westspezifischen Medien gesprochen werden. ; "So isser, der Ossi" was the title of the German magazine Der Spiegel on the 25th of August, meaning "So he is, the East German". Only four days later, the New York Times published an article by Anna Sauerbrey titled "30 Years After Reunification, Germany Is Still Two Countries". This example shows that in the thirtieth year after the fall of the Berlin Wall, German citizens are still divided based on whether they come from Eastern or Western Germany, and the seemingly inadequate German unity is receiving international attention. But is Germany still that divided? Various studies show, that both parts of Germany are converging constantly. For instance, the unemployment rates in both are nearly identical, and there is an optimistic mood present within the country. Nevertheless, there seem to be differences; there still is talk of an existing wall within the heads. Citizens of Eastern and Western Germany often show different electoral behaviour in the voting booths and polls. Similarly, the wage gap between the new and old states is often referred to when talking about the question of the German unification. In addition, this research project questions whether such divergences also exist in the media. In this way, the study aims to fill a gap within the literature in this field which has previously been underresearched. Although the German media has been looked at several times in previous investigations, these works are almost all more than a decade old. The ambition of the project is to find out how the German press system is shaped by convergences and divergences nowadays. On the one hand, it tries expose which issues are discussed and on the other how they are referred to. Predicated on the assumption that there are differing communication spaces in Germany that are incongruently made up of public arenas portrayed by the mass media, the study differed between three public spheres using the Arenatheoretical Model of Public Sphere by Tobler (2010). The aim was to find out to what point they resemble each other. This study distinguishes the media-agenda-west, made up of the newspapers Westdeutsche Allgemeine Zeitung, Rheinische Post and Neue Westfälische, the media-agenda-east, including the Thüringer Allgemeine, Sächsische Zeitung and Mitteldeutsche Zeitung and the national media-agenda, containing the Frankfurter Allgemeine Zeitung and the Süddeutsche Zeitung. These eight daily newspapers have been examined through the use of a multiple- method design. First a quantitative issue-frequency-analysis was conducted. Secondly, two inner-German issues were selected to analyse existing convergent and divergent media-frames in a qualitative matter. Following the principle of an artificial week a cluster-sample of N=3.934 was drawn. The results were evaluated through several hypotheses to be able to interpret the media agendas. Between all three of them a convergence of issues of 71.9% was determined. Using a rank correlation coefficient by Spearman, the issues were compared by their order of ranks, showing that they are rather similar: media agendas East and West rs=.704 (p < .001), media agendas National and East rs=.603 (p < .001), media agendas National and West rs=.658 (p < .001), the perfect convergence being one. Thus, the data indicate that there is a unified news coverage within the German press system. It has also been surveyed if the western media agenda is more similar to the national media agenda than the eastern one. This could not be confirmed since the rankings of issues between media agendas in the west and national in Germany equal one another, but a comparison of issues between east and national media agendas show that they are more similar. Following a more deepened content analysis, the framing of two topics were specifically analysed, one concerning the economy and the other politics (on the one hand far-right extremism, represented by the court case of the NSU and the incidents in Chemnitz of summer 2018, and on the other the emissions scandal). The results of the frame-analysis suggest that generalizing statements about divergences and convergences within the portrayal of issues are only possible separately. Furthermore, it is apparent that in terms of the emissions scandal, there are many clearly recognizable divergences between the interpretive patterns. As a whole, there appears to be largely juxta positional content in the media from different public spheres. Unexpectedly, the media frames of the eastern public sphere are more convergent to the national one, while the western public sphere is more divergent to it. Contrastively, the two case examples on far-right extremism show mostly convergent media frames. In conclusion, a positive picture of the German press system seems apparent. While there are some divergences within the convergent media agendas, these can to a great extend be explained through regional and structural differences. Due to a high media convergence between the three separate public spheres analysed in this project, a unified reporting within the German press system appears to exist. To differ between specifically Eastern or Western German media is not possible.

KEMAL'S INFIDELITY AND ITS INFLUENTIAL FACTOR IN ORHAN PAMUK'S THE MUSEUM OF INNOCENCE Ayu Setya Rahayu English Department, Language and Arts Faculty, State University of Surabaya cosmeticmiracle@yahoo.com Drs. Much. Khoiri M.Si. English Department, Language and Arts Faculty, State University of Surabaya much_choiri@yahoo.com Abstract Infidelity is defined as unfaithfulness of being unreliable or being attracted to someone other than one relationship partner. There are two types of infidelity, emotional and sexual infidelity. What constitutes an act of infidelity varies within cultures and depends on the type of relationship that exists between people.This study is aimed to present infidelity as experinced by Kemal as the main character in Orhan Pamuk's The Museum of Innocence, and to reveal the most influential factor of his infidelity.The study uses descriptive qualitative research with psychoanalitic approach. The object of the study is The Museum of Innocence by Orhan Pamuk, published in New York by vintage books in 2009. The data are in the form of quotation, fragments, and dialogues or monologues that indicated the thoughts and action concerning form of infidelity, and also its most influential factor. The data is analyzed by applying the theory of infidelity by Dirgosta and Barta, and also the most influential factor of it. This study also uses the theory of love and will by Rollo May to reveal his influential factor that lead to his infidelity based on the concept above and the quotation depicted in the novel.The result of this study shows thatKemal, the main character of this novel, commits both sexual and emotional infidelity. Initially, he becomes emotionally connected with someone outside of his relationship named Fusun. One way of looking at emotional infidelity is, that it is very dangerous, because it is not only takes away time and energy from his relationship, but it lead him to sexual infidelity and to the end of his engagement. Andthe main factors of Kemal's infidelity represented from this novel is he falls in love with someone else named Fusun. Actually, this novel is story of love of Kemal and Fusun, then his feeling of love that prompted him to take an action in certain direction which can realize his purpose of love. Because in love, there is definitely a will to unite with beloved people, then it gives rise a boost in his heart to betray his fiancee. Keywords: Infdelity, love, will, novel Abstrak Perselingkuhan didefinisikan sebagai ketidaksetiaan, diandalkan atau tertarik pada orang lain di luar dari pasangannya . Ada dua jenis perselingkuhan , perselingkuhan emosional dan seksual . Yang merupakan suatu tindakan perselingkuhan bervariasi dalam budaya dan tergantung pada jenis hubungan yang ada antara manusia. Penelitian ini bertujuan untuk menyajikan perselingkuhan yang di alami oleh Kemal sebagai sebagai tokoh utama dalam novel berjudul The Museum of Innocence karya Orhan Pamuk, dan untuk mengungkap faktor yang paling berpengaruh dalam perselingkuhannya.Penelitian ini menggunakan penelitian deskriptif kualitatif dengan pendekatan psikoanalisis . Objek penelitiaan ini adalah novel The Museum of Innocence karya Orhan Pamuk , yang diterbitkan di New York oleh vintage books tahun 2009 . Data tersebutdi peroleh dalam bentuk kutipan , fragmen , dan dialog atau monolog yang menunjukkan pemikiran dan tindakan mengenai bentuk perselingkuhan Kemal dan juga faktor yang paling berpengaruh. Data dianalisis dengan menerapkan teori perselingkuhan oleh Dirgosta dan Barta untuk mengungkapkan refleksi penggambaran perselingkuhan Kemal dan juga faktor yang paling berpengaruh. Penelitian ini juga menggunakan teori cinta dan keinginan oleh Rollo May untuk mengungkapkan faktor paling berpengaruh yang mengarah pada perselingkuhan yang didasarkan pada konsep di atas dan kutipan yang digambarkan dalam novel. Penelitian ini menunjukkan bahwa Kemal , tokoh utama dalam novel ini , melakukan perselingkuhan baik seksual mapun emosional . Awalnya , ia menjadi terhubung secara dengan seseorang di luar hubungannya, bernama Fusun . Salah satu cara untuk melihat perselingkuhan emosional adalah , bahwa sangat berbahaya , karena tidak hanya menghilangkan waktu dan energi dari hubungannya sebelumnya , namun membawanya ke perselingkuhan seksual, hingga merusak pertunangannya dengan Sibel. Dan faktor utama perselingkuhan oleh Kemal yang tergambar dalam novel ini adalah ia jatuh cinta dengan orang lain bernama Fusun . Sebenarnya , novel ini adalah kisah cinta Kemal dan Fusun , maka perasaannya cinta yang mendorongnya untuk mengambil tindakan dalam arah tertentu yang dapat mewujudkan tujuan cintanya . Karena di dalam cinta , pasti ada keinginan untuk bersatu dengan orang-orang yang di cintainya, kemudian memberikan dorongan dalam hatinya untuk mengkhianati tunangannya . Kata kunci: Infidelity, love, will, novel Introduction Within the context of intimate relationships, infidelity has been defined as a partner's violation of norms pertaining to the level of emotional or physical intimacy in which people engaged in outside the relationship (Drigotas & Barta, 2001:45). In the currentera,many strange phenomena appear and done by society. One of the interesting behavior in humansare donetoday is infidelity and that is very oftenaround environment. Not only household commit infidelity, but also in interpersonal relationship. The phenomenon of infidelity is dominant on the socioeconomic statu sof middle to top, especially in big cities. Moreover, the problem of infidelity is often atrigger forvarious cases of divorce or even murder. There are two kinds of infidelity that occurs in today's modern society, the emotional and sexual infidelity.Emotional infidelity in channeling emotional feeling for someone outside the relationship or marriage, whilesexual infidelity isi having sexual intercourse outside of relationship or marriage.The case of emotional infidelity begin when two beings of different sex, begin exchange of information, and the feelings that it was actually supposed to be feel just exclusive for partner. And started to be worse when there is no excitement and keep the distance with ypartner and began to yearn to talk to someone else, rather than the one romantic partners. The climax it will past the limit and begin to emerge the real problem in the relationship that shouldn't happen, that's secrets and lies. And when the lie begins,it will difficult to stop. Then, sexual infidelity is just waiting for the right moment. Talking about infidelity, nobody can remove it from the word "love", because if the lovethat isbuilt with the previous couple is strong and sturdy, then the affair could have been avoided. Love is a natural thingin human life. Love is a basic human emotion, but understanding how and why it happens is not necessarily easy. In fact, for a long time, many people suggested that love was simply something that they couldn't understand. Accoding to Erich Fromm, to love somebody is not just a strong feeling, but it is a decision, it is a judgement, and it is a promise,if love were only a feeling there would be no basis for the promise to love each other forever (McGee G. Mark, 1980:208).It means that if the love is just relying on feeling, without the underlying on bond and the sacred promise, as well as the commitment to be together forever, then that love won'tlast long. Psychologist Rollo May proposed that romantic love is made up of four elements: sex, eros, philia, and agape.In conclusion, adult personal relationships containing four forms of love, this relationship based on the sexual satisfaction, a desire for eternal unification and non egoistic concern for the welfare of others. But unfortunately, this kind of authentic love quite difficult to accomplish. At the same time, love hint of tenderness, passion, commitment, and devote themselves to the beloved personal interests, from there, love gives rise to will, the will is an impulse that comes from love, where lover have a will to unite with people they love (May, 1969: 146). In this case, if the love for partneris not strong enough to keep the relationship in order to survive and also the lack of commitment and promise, then sometime there will arise a feeling of love to others, and if the love is greater than the old partner, then the infidelity could happen. In literature like novel, many of whichraised issue of infidelity, where in novel, is related to the human's emotion and expression of feeling, Including ideas, motivation, and describe it by using language. Novel also has people or characters with their own personalities that can represent and act to carry issues that occur in the society. Morover, the dispositive of characters is described in outline only and the events described, contains a mental conflict, which resulted in a change of fortunes. A novel TheMuseum of Innocence by Orhan Pamuk has many sources in culture, love, social, combined into a variety of events and actions. The Museum of Innocence by Orhan Pamuk also depicts infidelity between a rich man and a poor shop girl, in the background of the Turkish city which at that time was experiencing modernization. These issues of infidelity in the background of love willbe discussed in more interesting and more complex from a variety of perspectives in one character. Orhan Pamuk was born in Istanbul in 1952 and grew up in a large family similar to those which he describes in his novelsCevdet Bey and His SonsandThe Black Book, in the wealthy westernised district of Nisantasi. As he writes in his autobiographical bookIstanbul, from his childhood until the age of 22 he devoted himself largely to painting and dreamed of becoming an artist. After graduating from the secular American Robert College in Istanbul, he studied architecture at Istanbul Technical University for three years, but abandoned the course when he gave up his ambition to become an architect and artist. He went on to graduate in journalism from Istanbul University, but never worked as a journalist. At the age of 23 Pamuk decided to become a novelist, and giving up everythingnelsenretreatednintonhisnflatnandnbeganntonwrite. His first novelCevdet Bey and His Sonswas published seven years later in 1982. The novel is the story of three generations of a wealthy Istanbul family living in Nisantasi, Pamuk's own home district. The novel was awarded both the Orhan Kemal and Milliyet literary prizes. The following year Pamuk published his novelThe Silent House, which in French translation won the 1991 Prix de la découverte européene.The White Castle(1985) about the frictions and friendship between a Venetian slave and an Ottoman scholar was published in English and many other languages from 1990 onwards, bringing Pamuk his first international fame. The same year Pamuk went to America, where he was a visiting scholar at Columbia University in New York from 1985 to 1988. It was there that he wrote most of his novelThe Black Book, in which the streets, past, chemistry and texture of Istanbul are described through the story of a lawyer seeking his missing wife. This novel was published in Turkey in 1990, and the French translation won the Prix France Culture.The Black Bookenlarged Pamuk's fame both in Turkey and internationally as an author at once popular and experimental, and able to write about past and present with the same intensity. In 1991 Pamuk's daughter Rüya was born. That year saw the production of a filmHidden Face, whose script by Pamuk was based on a one-page story inThe Black Book. His novelThe New Life, about young university students influenced by a mysterious book, was published in Turkey in 1994 and became one of the most widely read books in Turkish literature.My Name Is Red, about Ottoman and Persian artists and their ways of seeing and portraying the non-western world, told through a love story and family story, was published in 1998. This novel won the French Prix du meilleur livre étranger, the Italian Grinzane Cavour (2002) and the International IMPAC Dublin literary award (2003). From the mid-1990s Pamuk took a critical stance towards the Turkish state in articles about human rights and freedom of thought, although he took little interest in politics.Snow, which he describes as "my first and last political novel" was published in 2002. In this book set in the small city of Kars in northeastern Turkey he experimented with a new type of "political novel", telling the story of violence and tension between political Islamists, soldiers, secularists, and Kurdish and Turkish nationalists.Snowwas selected as one of the best 100 books of 2004 byThe New York Times. In 1999 a selection of his articles on literature and culture written for newspapers and magazines in Turkey and abroad, together with a selection of writings from his private notebooks, was published under the titleOther Colours. Pamuk's most recent book,Istanbul, is a poetical work that is hard to classify, combining the author's early memoirs up to the age of 22, and an essay about the city of Istanbul, illustrated with photographs from his own album, and pictures by western painters and Turkish photographers. Orhan Pamuk's books have been translated into 46 languages, including Georgian, Malayan, Czech, Danish, Japanese, Catalan, as well as English, German and French. Pamuk has been awarded The Peace Prize, considered the most prestigious award in Germany in the field of culture, in 2005. In the same year,Snowreceived the Le Prix Médicis étranger, the award for the best foreign novel in France. Again in 2005, Pamuk was honoured with the Richarda Huck Prize, awarded every three years since 1978 to personalities who "think independently and act bravely."In the same year, he was named among world's 100 intellectuals byProspectmagazine. In 2006,TIMEmagazine chose him as one of the 100 most influential persons of the world. In September 2006, he won the Le Prix Méditerranée étranger for his novelSnow.Pamuk is an honorary member of the American Academy of Arts and Letters, and holds an honorary doctorate from Tilburg University. He is an honorary member of the American Academy of Arts and Letters as well as the Chiese Academy for Social Sciences. Pamuk gives lectures once a year in Columbia University. Lastly, he received the 2006 Nobel Prize for Literature, becoming the second youngest person to receive the award in its history. Apart from three years in New York, Orhan Pamuk has spent all his life in the same streets and district of Istanbul, and he now lives in the building where he was raised. Pamuk has been writing novels for 30 yearsnandnneverndonenanynothernjobnexceptnwriting.(http://www.orhanpamuk.net/biography.aspx) The Museum of Innocenceis the latest Orhan Pamuk's novel, published on August, 2009.Pamuk has been working on the novel for many years and it has been hinted by himself in many interviews during this period. The story, which takes place in Istanbul between 1975 and today, is about obsessive love and the great questionof what is love. This colorful and fabulous novel will not only challenge the reader's thoughts about love, but also those about marriage, sex, passion, family, friendship, and happiness. The story begin with the apparent narrator named Kemal who is engaged to be married to Sibel. Kemal is a rich man when he by chance encounters a long-lost relation, Fusun, a young shopgirl whose beauty stirs all the passion denied him in a society where sex outside marriage is taboo. But Kemal, a young man with high passion has several times having sex with Sibel, and of course it is also more likely to do so with Fusun. Kemalwho really falls in love with Fusun,goes ahead anyway with his long-planned engagement to perfect partner Sibel, then Fusundisappears. Kemal finally breaks off with Sibel, finds Fusun, waits eight years for her to dump her husband (by going to her family's home some four times a week). In relationship, there will be many problems. The union of two different people, usually can cause contention and eventually lead to big problems. Feelings of love, affection, understanding, and accepting shortcomings of couple, is the very need in a relationship. Because according to psychologist Erich Fromm in his book The art of loving (2006:99) love is an essential of human need. That is, if theneed love is not fullfilled it will cause the problems.In this novel, Kemal who had been engaged to a woman with equal social class with him, women withwell education and from a wealthy family, it seems perfect to be his life partner. Kemal eventually leaveshis fiancée in order to pursue his dream to be unite with Fusun.The infidelity issues in the novel has the most significant cause,Kemal lack of affection to his fiancee, so that makes him fall in love with another woman. This novel begin at Istanbul in 1975. Kemal is a rich and engaged manBut when Kemal encounters Füsun, a poor beautiful shopgirl and a distant relation, he becomes enthralled. And once they violate the code of virginity, when sex before married considerd as taboo at that time.The firsttime hemetwithFusunwaswhenhe boughtjennycolon bag tohis fiancee, sibel, an upper-class beautiful girl. The city of Intanbul is captured by pamuk with a romantic touch, sturdy apartments of the rich man, once supported. The lovers met in Merhamet Apartments, in a flat abandoned by his mother. He dated his first secret meeting with Fusun to the spring of 1975. At that time, Pamuk initially planned Kemal to marry Sibel, a fashionable young woman with enlightened views of life, she goes without limits enlightened with Kemal. Love becomes the main motive, when someone can destroy virginity code. Fusun ends their relationship when she learns of Kemal's engagement with Sibel. But Kemal cannot forget her. It will take Kemal almost a year to find her again, a year of driving through every neighbourhood of the enormous city, months of heavy drinking in which he loses all interest in Sibel, even after they move in together. Sibel hopes to save him from what seems an inexplicable sadness, and learning the truth enrages her. To her, Füsun is just "a common shopgirl", a slut, even though they have each only slept with one man. Both sexual and emotional infidelity bound this novel. How kemal lie and keep his secret relationship to sibel, while he loves someone else and having sexual intercourse with Fusun. Psychologist Rollo May defines love into various types, such as sex, eros, philia, and agape. Sex is defined in category where someone loves another person just because of an underlying sexual appetite. Eros is defined as a lover which includes not only sexual intimacy, but also the feeling of love, attention, care so as to make the relationship last. Philia is defined as a sincere friendship, while gape is defined as selfless feeling or don't expecting reward (Jess Feist and Gregory J. Feist, 2009:58-59). In the case of Kemal in this novel, his love for Sibel does not meet all of four elements above, thus making their relationship is not too strong to survive. Then he finds Fusun, and feel the perfect love. In analyzing Kemal's infidelity and the most influential factor, it is used some related concept and one theory. In this thesis, the problem statement is divided into two. The first problem statement deals with how Kemal's infidelityreflected in this novel. While the second problem deals with the most influential factor of Kemal's infidelity. Those problems can be analysed by using the psychological approach as the base of the guide and theory. The first statement is how Kemal's infidelity reflected in The Museum of Innocence. This statement will use the concept of infidelity by American psycologyst, Dirgostra and Barta. This concept is united and merged with the bases of marital or extramarital relationship. There are two kinds of infidelity in this concept. The writer will analyses which kind of infidelity that Kemal uses through the quotations and monologues. Then the second statement is what is the most influential factor of Kemal's infidelity. This statement will also apply the concept of infidelity factor. Actually, the are a lot of infidelity factos, but the writer only use one factor that tha most represent based on quotation in this novel. The factor is love.So, ithe writer will use the theory of love and will that become the most influential factor of Kemal's infidelity. This concept is developed by existential psychologyst, Rollo May. It is about the unity between love and will, this circles of love and will is however affected to his infidelity. Methods Research methodolgy that used in this analysis here must be qualified as an applying in literary appreciation. The thesis is regarded as a descriptive-qualitative study and uses a library research.The data obtained to answer research question study. This study uses novel of Orhan Pamuk entitled The Museum of Innocence that published in 2009 as the data source of this study. The datas are in the form of direct and indirect speech of the characters, dialogues, epilogues and quotations which indicate and represent aspect of infidelity and love and will which is experienced by the main character. This thesis is using the library method in collecting the data. It does not use the statistic method. That is why it is not served in numbering or tables. Library research used an approach in analyzing this study. The kind of library research which is used here is intensive or closely reading to search quotations or phrases. It also used to analyze the literary elements both intrinsic and extrinsic. The references are taken from library and contributing ideas about this study from internet that support the idea of analyzing. Some steps of how the data is analyzed will be described as follows: Classification based on the statement of the problems. This classification is used to avoid the broad discussion. There are two classifications in this study. They are infidelity and The main factor that lead to his infidelity. Describing Kemal's infidelity which is stated from the quotations or statements by using theory of infidelity to be applied to the data. Describing the most influential factor of Kemal's infidelity which is stated from the quotations or statements by using theory of love and will to be applied to the data. RESULT How is the students' writing ability of SMP Muhammadiyah 5 in writing descriptive text after they being taugh by picture puzzle. Infidelity, is the main topic that will be analyzed. Many couples are under the misconception that infidelity only occurs when a man and a woman have sex together. Yet, there are other forms of infidelity such as emotional infidelity.Emotional infidelity may take on different forms, but in general it is the act of forming an emotional connection with someone outside of one's formal relationship. Kemal Brasmaci, the main character of the novel, born as a wealthy and well eucated instanbul family in Nisantasi. His fascinating live, ranging from being a socialite among A class people, and he prefers to live as a modern Turkish, in which at the time, Turkey was undergoing modernization with the influence of European culture. 30-year-old Kemal Basmaci, works as a bussinessman and lives in Merhamet Apartment which will be a silent witness to his secret love adventure with his distance relation, Fusun. Initially, Kemal is set to be engaged to a well educated and high socety girl named Sibel. Kemal first meetsFusun when he bought a Jenny Colon bag to Sibel in Sazalize boutique where Fusun works in. When he step up in Sazalize boutique, Kemal looks like very attentive to every detail in Fusun's clothes and shoes, her yellow skirt, her empty shoe over her long bare legs, her long till Dexterous fingers. Kemal begins to admire Fusun's beauty. Knowing that, because it was less than 10 years they had not met. There was a silence. I looked again into one of the pockets she had just pointed to inside the bag. Her beauty, or her skirt, which was in fact too short, or something else together, had unsettled me, and I couldn't act naturally. (Pamuk, 2009:6) Based on quotation above, Kemal gives the impression of a "darting" man by notices detail of what Fusun wear. Her skirts that look very short, her beauty, and anything else that can not be said. Actually, it does not really matter, but there is something rustled in Kemal's heart. It became the beginning of Kemal's interest feeling to Fusun. Moreover, Kemal also admittes that he can't act naturally when dealing with Fusun, he feels uneasy, but rather, look awkward in front of the opposite sex, there is definitely something special, something that raises passions and encouragement in his heart, even if it happens on the first time he meet. In this case, Kemal commits emotional infidelity by having eventual emotional connection, or a feeling of interest with someone other than one his romantic partner. Beside perform emotional infidelity, Kemal also perfor sexual infidelity has been defined as behaviour of a sexual nature carried out with someone other than one's primary partner.Usually, cheating involves people meeting face – to - face, and then engaging in physical intimacy. Beside having emotional infidelity with Fususn, he also comitted sexual infidelity, because the emotional affair can lead to phsycal affair. the intimate nature of the communication, plus the emotional investment made by the people involved, places an emotional infidelity become more intimate, and perform sexual intercourse, such as having sex kissing, touching, etc. The verry first page in this novel Tells about Kemal's happiest moment of his life. Having sexual intercourse with Fusun in his appartement. We felt the same coolness rising from the musty mattress on which we were making love, the way children play, happily forgetting everything else.(Pamuk, 2009:1) Based on quoatation above, it is clearly mentioned that Kemal comittes sexual infidelity by having sexual contact with Fusun, a woman other than his one romantic partner. In the firs page of this novel, Kemal explained clearly how and the steps of having sex with Fusun, and describes the atmosphere when they were in apartment when doing so. Because having sex is actually become a necessity. They look really enjoyed with the secret relationship, the way the kids played, happy to forget everything else seemed to describe what they both feel at that moment, as if they feel in pleasure without limits and make them forget themselves, forget about all the obstacles and problems that never happened, that there was only pleasure at that time. The second analysis is about The most influential factor of Kemal's infidelity. In this novel, Kemal Brasmaci a perfect gentleman, well educated, came from a wealthy, and respectable family in the city, is set to be married to perfect Sibel, who comes from an equal family as him. Many people assume if they are a perfect match. Kemal actually love Sibel, the woman who would soon be engaged to him. They both underwent a romantic date, having a harmonious family, came into exclusive places, even they both also have made love, although in that era, having sex outside of marriage is considered as taboo. Psychologist Rollo May argues that love is a pleasure, love is a pleasure to the presence of someone, as well as a confirmation of the value and development of the beloved person, just like themselves. Love is able to make a big motivation to someone, which raises the desire to realize the dream to be unite with someone they love. While Will of its own, generating an action to self directed, so that certain goals can be achieved. Kemal actually has already realized if what he has done is the most fatal mistake in his life, even he can not imagine how the devastation that can occur, as a result of these actions. But Still his love for Fusun become a big power that able to beat all obstacle. Kemal has been trying to forget Fusun, consider if he never loved Fusun. But, it can be covered by his feelings love that he could never lose, and always encouraged him to betray his old partner. Finally, Kemal continued to repeat the days of their togetherness, having sexual intercourse in his apartement. I am certain that the fire at the heart of my tale is the desire to relive those moment of love, and my attachment to those pleasure. For years, whenever I recalled those moments, seeking to understand the bond I still felt with her, images would from before my eyes, crowding out reason; for example, Fusun would be sitting on my lap, and I would have taken her large left breast into my moth. (Pamuk, 2009:53) From the quotation above, it is illustrated that Kemal feels her turmoil, that grows more fiery, he even wants to revive the her passion of making love with Fusun, because it is considered as a pleasure for him. Kemal is very attached, and no longer awkward in doing his pleasure in his secret relationship with Fusun. His tremendous sex desire to make love with Fusun, bring it into delusion when they're together. Kemal always be remembered while they are making love, for example when Fusun sits on his lap, and he holds the Fusun's left breast, then puts into his mouth. The thing that Kemal does based on description above is sexual infidelity, because he was having sex with a woman other than his partner. Kemal pleasure in making love with Fusun, is the Will of Kemal who loves Fusun. That is, the Kemal's impulse to commit sexual infidelity influenced by his love for Fusun. It was proved that Kemal has strong emotional ties to Fusun like people who really love his partner, even for many years, Kemal still remember the time they spent together, which can not be removed from his memory. Conclusions From overalls of this study, can be conclude that Kemal comitts infidelity, by having a relationship with Fusun, and violate her engagement to Sibel. In this novel, Kemal commits two types of infidelity, they are emotional and sexual infidelity. Kemal enjoying passionate sexual intercourse and perform a deep emotional attachment with Fusun. Kemal committs both infidelities at the same time. At first, Kemal perform emotional infidelity with Fusun, starting when he met with Fusun in Sanzalize boutique, where Fusun work, he began to admire Fusun, beauty, watching his every movement, pay attention to her clothes. From there, came a strange feeling inside Kemal's heart that he had not been aware of. But over time, that feeling grow stronger. Moreover, the two lovers are getting often met. Emotional Infidelity sounds fairly simple, but it is not as simple as that. Precisely emotional infidelity more dangerous than those who experienced only sexual infidelity. Because sometimes emotional infidelity could lead to a more intimate relationship, and over time will be difficultto integral, as experinced by kemal. As already described above, that emotional infidelity can lead to sexual infidelity, because the people who are already emotionally attached, will also certainly have the desire to have sexual intercourse.In this novel, Kemal also perform sexual activities that are engaged in with someone other than one 's partner. Activities that constitute sexual infidelity include all forms of physical intimacy, from kissing to sexual intercourse. Its pretty clearly described through the evidents in this novel, that Kemal and Fusun often make an appointment to meet at the apartment and Kemal to meet, it is like two people in a drunken romance.It has been shown clearly to the quotation analysis of the first statement problem that Kemal perform his first sexual infidelity, starting by giving a kiss, till make a love. Second conclusion is, actually there must bereasonsbehindKemal's infidelity. But themost crucial factor that is found based on the novel's quotation is his love for Fusun since the beginning of his meeting in a boutique. Initially, Kemal did not have any shortage in his relationship with Sibel, his fiancee.He admitts that he loves Sibel. Even though it is not described implicitlythe describtion of his love for Sibel, but it can be inferredeksplicitly that Kemal was not really love Sibel, it is proven when Kemal seems too easy to fall in love with someone else, and since then, his attention on sibel start to reduced, and even when his relationship with Fusun grows further, he decides to break his engagement with Sibel. People who really love their partner sincerely, certainly will not to do so. Love, which is built by Kemal and Fusun is very great anf strong, exceeding Kemal's love to Sibel, probably thi is because Kemal and Sibel's relationship came from matchmaking. Kemal who love Fusun, give birth to a Will for betraying his fiancee, Sibel. It means that the Will here, is an impulse to do something, without being influenced by the values of the good or bad.Those impulse can take him into a particular direction in which the desired goal can be realized. People who loves someone, like Kemal, definitely have a desire to be happy with Fusun, or want to united with her, So that it can give rise animpulse in his heart to betray his partner, so he could be much longer having relationship with Fusun, a person he love. Refference Drigotas, S.M., & Barta, W. 2001. The cheating heart:Scientific explorations of infidelity.New York: Guildford Press Feist, Jess and Feist, Gregory J. 2009.Teori Kepribadian:Theory of Personality. Terjemahan Sjahputri Smita Prahita. Jakarta:Salemba Humanika --- . 2009. Theories of Personality. Terjemahan Santoso Yudi. Jakarta:Pustaka Belajar Friedman S., Howard, Miriam W. Schustack.(2006). Kepribadian Teori Klasik dan Riset Modern. Jakarta:Erlangga Fromm, Erich, 2006. The Art of Loving.Seoul:Choun Publishing Co. Glass, S. P., & Wright, T. L. 2004. The relationship of extramarital sex, length of marriage,and sex differences on marital satisfaction and romanticism:Athanasiou's data reanalysed. Journal of Marriage and the Family May, R. 1967. Pshycology and the Human Dillema. Princeton, NJ:Van Nostrand McGee, Mark G. 1980. Introductory Psychology Reader. St. Paul: West Publishin CO. Pamuk, Orhan.2009. The Museum of Innocence. New York: Vintage Internet Source: http://www.orhanpamuk.net/biography.aspx

Dottorato di ricerca in Storia d'Europa: Società, politica e istituzioni(XIX-XX Secolo) ; Una curiosa espressione di Jacques Delors, più volte utilizzata nel corso della sua carriera, definì le istituzioni comunitarie come un "O.P.N.I., oggetto politico non identificato". L'affermazione di Delors appare come un compromesso tra l'interesse a tutela dei diritti degli Stati e la necessità di attribuire al processo di integrazione europea istituzioni stabili e soprattutto autonome. In realtà, i caratteri di profonda instabilità mostrati dal modello di Comunità ne fecero scaturire due orientamenti interpretativi differenti. Il primo considerò il raggiungimento dell'obiettivo prefissato nella realizzazione di una unione politica; come sostiene Riccardo Perissich, "Ai limitati trasferimenti di sovranità già decisi, altri ne sarebbero seguiti, anche se sempre in modo graduale. Coerentemente con questo approccio, le istituzioni avrebbero dovuto evolvere verso un modello classico. La Commissione si sarebbe trasformata in un esecutivo federale; il Consiglio dei ministri in un "Senato degli Stati"; l'Assemblea parlamentare in un vero Parlamento federale"1. Il secondo orientamento si basò sull'idea che il principio di sovranità non potesse essere frammentato e che il conferimento di potere previsto dai Trattati fosse più di carattere tecnico che politico. Questa seconda interpretazione aumentò i dubbi e la diffidenza nei confronti della Commissione e ancor più del Parlamento. C'è da dire inoltre, che gli Stati firmatari dei Trattati si riconobbero più nella prima lettura del modello, con un necessario distinguo per la Francia che, all'epoca dell'entrata in vigore era presieduta dal generale Charles De Gaulle, fortemente contrario, come noto, all'idea di una qualsiasi minima cessione di potere a livello sovranazionale. A seguito della fusione di CECA, CEE ed EURATOM una sola Commissione unificò l'apparato amministrativo mentre al Parlamento europeo venne assegnato unicamente il compito di esercitare il potere in materia di bilancio, oltre ad una funzione meramente consultiva; l'elezione diretta del Parlamento fu contemplata nell'articolo n.138 del Trattato istitutivo della Comunità europea nel quale, oltre ad essere indicato il sistema di elezione dei parlamentari europei delegati come provvisorio, 1R. Perissich, L'Unione Europea una storia non ufficiale, Milano, Longanesi, 2008, p.54. venne previsto che il Parlamento avrebbe elaborato progetti volti alla realizzazione di una procedura di elezione uniforme per tutti gli Stati membri. Di fatto, negli anni che intercorsero tra il 1951 e il 1976, furono presentate numerose proposte orientate all'istituzione della procedura di elezione a suffragio universale diretto che, dopo molte difficoltà, trovarono soltanto nel 1979 la loro attuazione; questo risultato rappresentò l'inizio di una nuova era in cui l'importanza della comunicazione politico-istituzionale giocò un ruolo fondamentale per creare il necessario contatto con i cittadini, in previsione della loro partecipazione al voto europeo. Ricordiamo come nel 1974, al vertice francese presieduto da Valéry Giscard D'Estaing, venne adottata la decisione di istituire il Consiglio europeo e l'elezione diretta del Parlamento. L'evento avrebbe esercitato una notevole influenza nella dinamica istituzionale europea; nonostante il suo assetto di Assemblea diversa da quelle nazionali, il Parlamento europeo direttamente eletto avrebbe preteso un aumento della propria influenza politica così come del proprio peso istituzionale. Attraverso le elezioni, i cittadini europei avrebbero potuto accrescere progressivamente il loro interesse nei confronti dei temi comunitari riuscendo a percepire meglio l'esistenza di un'istituzione fino ad allora poco conosciuta. Su questo aspetto federalisti e "gradualisti" si collocarono su posizioni discordanti, in quanto i primi da sempre consideravano il Parlamento eletto come "Congresso del popolo europeo" e quindi come il potere costituente della futura Federazione europea. Personalità di spicco sui singoli piani nazionali, costantemente impegnate nella causa dell'integrazione europea (solo per citare alcuni nomi si ricordano Altiero Spinelli, Simone Veil, Helmut Kohl, Jacques Chirac), oltre ad esponenti politici ed intellettuali che interpretarono un ruolo di forte influenza all'interno dei loro partiti riguardo alla scelta europeista (per l'Italia ricordiamo Giorgio Amendola, Enrico Berlinguer, Mauro Ferri, Gaetano Arfè), si impegnarono con l'intento di legittimarne il ruolo rispetto alle altre istituzioni, in particolar modo la Commissione. I parlamentari eletti nel primo suffragio universale diretto si trovarono quindi ad affrontare temi che andavano dalla questione dei paesi comunisti ai rapporti con il Terzo mondo, alla progettazione di una televisione europea fino alla necessità di redigere una prima bozza di Costituzione europea. Il ricorso alle candidature di personalità politiche ben note all'opinione pubblica quali Enrico Berlinguer, Simone Veil, Willy Brandt, si pensò potesse offrire un maggiore potenziale all'organizzazione della propaganda. La campagna elettorale del giugno 1979, così come le altre due successive, fu tuttavia caratterizzata, soprattutto in Italia e Francia, da argomenti troppo spesso collegati alla dialettica politica della propria nazione. In ogni caso l'informazione data ai cittadini europei fu in grado di suscitare un inevitabile interessamento ai problemi comunitari, ma soprattutto alla realtà sovranazionale. L'affluenza al voto fu comunque inferiore rispetto alle elezioni nazionali. Nei motivi della scarsa partecipazione al voto, oltre l'assenza di dibattito propriamente europeo vi fu anche il fatto che le strategie dei partiti tesero ad una sorta di strumentalizzazione delle elezioni europee, puntando attraverso le campagne elettorali al perseguimento di obiettivi nazionali. Il primo scrutinio diretto fu in grado comunque di dare una ventata di novità al concetto di democrazia europea. La nuova legittimità consentì al Parlamento di consolidare nel tempo i propri poteri e di interpretare un ruolo all'interno del processo decisionale comunitario che all'epoca poteva dirsi quanto meno "nebuloso". Una volta fissato il periodo di svolgimento delle prime elezioni, le forze politiche nazionali dovettero sostenere una sfida che le avrebbe costrette a rimettersi in gioco, cercando di rinnovare gli argomenti e i temi individuati per le campagne elettorali nazionali. Una maggiore consapevolezza riguardo alla necessità di allargare l'orizzonte, senza trascurare tuttavia il contatto con i propri elettori e cercando le possibili somiglianze con gli altri partiti europei, avrebbe consentito di conciliare la propria ideologia in un contesto più ampio. Occorre tener presente come tra il 1975 e il 1979 si fossero create all'interno dell'Assemblea parlamentare non eletta, formazioni politiche rappresentative di partiti accomunati da un orientamento affine a quello nazionale. La diversità di ideologie, tuttavia rendeva queste coalizioni molto deboli, soprattutto per via della tanto difficile integrazione ostacolata dalla predominanza degli interessi nazionali anteposti a quelli comunitari. La primazia dei partiti nazionali ha sempre costituito un ostacolo all'autonomia di azione dei gruppi e delle federazioni lasciando, fino ad oggi, inattuata la costituzione di veri e propri partiti europei. All'indomani del primo suffragio universale diretto, tuttavia, il nuovo parlamentare europeo avrebbe assunto il ruolo di trait d'union tra il proprio elettorato, il proprio partito, la coalizione europea e il Parlamento stesso. I tratti caratterizzanti il percorso politico-istituzionale del Parlamento europeo sono stati oggetto di approfondimento nello studio dei casi relativi ai tre Paesi considerati rivelando le differenze che, per la natura stessa del ruolo giocato nel contesto sovranazionale, non hanno risparmiato il processo di integrazione e, nel caso specifico, la partecipazione alle elezioni dirette del Parlamento. Accomunando Italia e Francia, paesi fondatori della Comunità europea che si dimostrarono troppo intenti a trattare temi nazionali durante le campagne elettorali, nel Regno Unito l'idea di Europa si coniugò con la costante valutazione di tutti gli elementi che sarebbero risultati convenienti per partecipare, senza che tutto ciò costringesse a modificare o rinunciare a quanto già in possesso, atteggiamento che trovò nella linea di governo di Margaret Thatcher una perfetta interpretazione durata per l'intero decennio esaminato. Se per il primo suffragio universale diretto l'attività maggiore fu quella di approntare nuovi metodi organizzativi per le campagne elettorali, adatti alla ricerca di un consenso più ampio, diretto a legittimare l'istituzione sovranazionale, nella seconda e terza tornata le riflessioni delle forze politiche si resero necessarie per cercare di individuare le cause del progressivo calo partecipativo. I difetti di una comunicazione politica spesso basata su issues nazionali, soprattutto riguardo la Francia, ha di sicuro rappresentato una delle possibili cause, ma l'atteggiamento stesso dei partiti, apparso frequentemente poco incline a credere seriamente nell'importanza delle elezioni, ha lasciato percepire incertezza ai cittadini europei. Per altro verso, anche le campagne elettorali comunitarie, sebbene abbiano investito molte risorse per cercare di catturare il consenso dell'opinione pubblica, hanno mostrato la parziale efficienza dei mezzi messi in atto. Elezioni di second'ordine quindi? E' possibile parlarne ancora in questi termini? Da quanto emerso nel corso della ricerca condotta sul versante storico-politologico, il livello delle elezioni europee non risulta affatto secondario. Il dato partecipativo, anzi è inversamente proporzionale alla quantità di lavoro preparatorio sia dal punto di vista politico che amministravo-istituzionale, ben superiore a qualsiasi suffragio nazionale. Ci si chiede allora perché gli elettori non abbiano risposto con altrettanto entusiasmo. Qui le risposte trovano differenti possibilità da tenere nella giusta considerazione: la poca attenzione ai temi comunitari, la qualità della comunicazione, l'errore di propagandare l'evento troppo a ridosso delle date di svolgimento, l'eccessiva distanza tra istituzioni e cittadini, il livello culturale degli elettori, i giorni della settimana individuati per i suffragi spesso troppo vicini ad elezioni nazionali appena svolte, la classe politica poco convinta. In realtà tutti questi fattori rappresentano concause della scarsa partecipazione. Il cittadino europeo in mezzo a questo guazzabuglio è il personaggio principale di una performance in cui lui stesso determina la riuscita. Nonostante i numeri evidenzino una progressiva flessione nei dieci anni esaminati, i cittadini non sono rimasti indifferenti di fronte alle novità introdotte dal processo di integrazione europea. Spesso, soprattutto durante i sondaggi, accanto ad una percentuale di "indifferenti" o "euroscettici", molti intervistati hanno lamentato la poca autorità del Parlamento europeo nel contesto istituzionale comunitario2 confidando in ulteriori progressi strutturali. Il mancato raggiungimento di questo obiettivo, preannunciato già prima del 1979, insieme alle vicende politiche legate al proprio Paese, ha gradualmente provocato negli elettori reazioni di protesta attraverso il non voto o il voto negativo3, comportamenti capaci di delineare una partecipazione differente rispetto alla decisione di esprimere la propria scelta. Questo tipo di elettore ha mostrato di essere stato raggiunto dall'informazione diffusa durante le campagne elettorali e, sulla base di quanto appreso, ha deciso consapevolmente di non votare o di esercitare un voto diverso annullando o votando scheda bianca; quindi si è recato ai seggi, 2 Si vedano a questo proposito i risultati emersi nella pubblicazione della Commissione delle Comunità europee, Eurobarometro – L'opinione pubblica nella Comunità europea, Vol.1, 32/89, Direzione generale Informazione, comunicazione e cultura, Bruxelles, 1989. 3 Cfr. A. Gianturco Gulisano, La fenomenologia del non voto, in R. De Mucci (a cura di), Election day. Votare tutti e tutto assieme fa bene alla democrazia?, cit. non è rimasto inerte disinteressandosi di quanto stava accadendo. L'auspicio di un consolidamento istituzionale del Parlamento e di una maggiore coesione politica della Comunità europea non ancora raggiunti, anche per responsabilità delle politiche nazionali, ha posto l'elettore in condizione di negare il proprio contributo o protestare verso il mancato conseguimento dei risultati. L'accrescimento della conoscenza e del coinvolgimento, sebbene presenti, non sono andati di pari passo con la partecipazione. Elementi di insoddisfazione hanno caratterizzato il comportamento dell'elettore realmente europeista. I cittadini europei possono in realtà collocarsi in tre macro aree nelle quali si ritrovano gli europeisti, gli euro avversi e gli euroscettici. Se le aspettative degli europeisti sono rimaste deluse, gli euroavversi hanno parzialmente esercitato il diritto di voto alimentando quelle liste comunque presenti nella competizione europea. Gli euroscettici, invece hanno rappresentato il punto nevralgico dell'elettorato. Trovandosi in quella parte di popolazione attenta ad osservare quali e quanti cambiamenti sarebbero avvenuti a partire dal 1979 hanno avuto modo di consolidare la loro posizione continuando a percepire la Comunità ancora lontana e prevalentemente scomoda se non inutile. A differenza dell'europeista deluso che comunque ha continuato a partecipare, magari protestando, e dell'euroavverso che ha espresso il suo disappunto preferendo i partiti antieuropeisti, l'euroscettico ha proseguito nell'osservazione, affiancandosi agli incerti che sono rimasti a casa. A questo punto sono apparse inevitabili ulteriori valutazioni verso quegli elementi che caratterizzano le elezioni in genere. Ciò che attrae il cittadino ai seggi elettorali è prevalentemente il peso che le elezioni possono esercitare sui cambiamenti del governo nel proprio Paese. Il "less at stake" delle elezioni europee ha rappresentato sicuramente uno dei motivi scatenanti i sentimenti appena descritti; lo scenario si profila diverso, In such 'marker-setting' elections, voters have an incentive to behave tactically, but in a sense of the word 'tactical' that is quite different from what we see in National elections, where large parties are advantaged by their size. In a markersetting election the tactical situation is instead characterized by an apparent lack of consequences for the allocation of power, on the one hand, and by the attentiveness of politicians and media, on the other4. La mancanza di conseguenze sul livello nazionale garantita dalle elezioni europee ha "alleggerito" l'elettore della responsabilità di orientare con la propria scelta il corso della politica nazionale. Sebbene nel 1979 vi fu un'attività partitica a livello transnazionale, consentita anche dalla disponibilità di fondi in quel periodo, l'attenzione dell'elettorato fu minima. In termini di risultati transnazionali la percezione fu praticamente irrilevante; circa il cinquanta per cento dei votanti ammise di non aver idea di quali gruppi avessero ottenuto maggiori consensi. Altro aspetto da non sottovalutare si collega allo sproporzionato successo ottenuto dai partiti più piccoli rispetto ai grandi; è in questo caso che si può parlare di voto punitivo nei confronti della politica del governo nazionale. Molte le sfaccettature e tutte fondamentali per riuscire a capire il perché delle differenze comportamentali dell'elettorato, differenze che nei tre Paesi oggetto di studio si sono rivelate estremamente rappresentate. In linea con la tradizione, gli elettori dell'Italia e della Francia hanno mostrato una partecipazione considerevole, evidentemente legata alle vicende che hanno caratterizzato il dibattito politico nazionale negli anni 1979 – 1989. Il voto "pseudo-obbligatorio" dell'Italia ha mantenuto alta la percentuale dei votanti, ma i risultati hanno mostrato orientamenti variabili nelle tre tornate esaminate. Il caso francese ha mostrato una escalation della destra attraverso i consensi ottenuti dal Front National in risposta ad un importante declino del Partito comunista, anche in considerazione di una progressiva dispersione di voti dovuta alla presenza di numerose liste, in particolar modo nel 1989. Il caso anglosassone si colloca in una posizione particolare rispetto agli altri due Paesi, ma sarebbe più giusto dire rispetto a tutti gli altri. A fronte di un orientamento nazionale tendenzialmente contrario alla Comunità europea, fra le ideologie maggiormente rappresentative si è distinto un Partito conservatore desideroso di giocare un ruolo importante nel contesto europeo, consapevole quindi del significato che la competizione europea 4 C. Van der Eijk, M. Franklin, M. Marsh, What voters teach us about Europe-Wide Elections: what Europe-Wide Elections teach us about voters, in "Electoral Studies", vol. 15, n. 2, p. 157. avrebbe potuto assumere per la riuscita dell'intento. L'importanza del suffragio sovranazionale non fu invece immediatamente compresa dai Laburisti, che di fatto ottennero una pesante sconfitta nel corso del primo appuntamento con lo scrutinio europeo, ravvedendosi in seguito e riuscendo a superare i Conservatori anche grazie all'inizio del declino del governo Thatcher. Un elemento che ha accomunato tutti i Paesi della Comunità è stato rappresentato dalla progressiva affermazione dei Verdi. Lo studio effettuato attraverso una costante attenzione al dibattito politico di ciascun Paese, insieme alle strategie attuate dagli attori, consapevoli fin dall'inizio che la sfida europea li avrebbe impegnati non più o meno di quella nazionale, ma sicuramente in modo diverso, ha condotto ad un approfondimento verso il singolo cittadino che assumendo in sé il ruolo di attore principale ne ha determinato gli esiti. Le risultanze dei dati emersi dalle consultazioni avvenute negli anni 1979 – 1989 non possono considerarsi soltanto per il puro dato numerico. La molteplicità dei fattori che hanno influito sulla scelta di votare o meno ha mostrato un elettore che, pur appartenendo a paesi diversi e con differenti livelli culturali, è stato in grado di decidere basandosi su considerazioni affatto superficiali, operando un'attenta scelta dei numerosi elementi che avrebbero potuto favorire il rafforzamento politico-istituzionale europeo: una tacita selezione dell'elettorato, che inevitabilmente ha lasciato fuori tutti coloro che non hanno ritenuto importante impegnarsi per una consultazione ritenuta priva di un qualsiasi tornaconto. Classe politica poco convinta, informazione discutibile, scarsa conoscenza da parte dei cittadini riguardo al ruolo del Parlamento europeo, inefficacia della comunicazione, hanno contribuito a costruire un elettore diverso dal solito, più attento, in possesso di maggiore senso critico nei confronti di uno scenario nuovo e molto più complesso rispetto a quello nazionale5. Dalla pluralità di elementi emersi durante la ricerca attraverso il ricorso all'interdisciplinarietà per cercare di comprenderne maggiormente i significati, sono emersi dettagli che hanno stimolato ad ulteriori approfondimenti. 5 Cfr. Commissione delle Comunità europee, Eurobarometro – L'opinione pubblica e l'Europa, 9/89, Direzione generale Informazione, comunicazione e cultura, Bruxelles, 1989. Successivamente alle considerazioni storico – politiche , ciò che si è voluto sottolineare, attraverso l'analisi sociologica, riguardo alle elezioni europee nel loro complesso e nella loro perpetua considerazione di elezioni secondarie, è che tutti i fattori esaminati ne mostrano un'immagine differente, che non vuole assolutamente porsi in contrasto con l'interpretazione dei dati puri, ma vuole indurre a considerare maggiormente i numerosi fattori, che per la qualità e la quantità riscontrata permettono di ottenere un quadro più completo dei fatti, andando oltre al mero dato partecipativo sul quale, indubbiamente, la differenza con la partecipazione nazionale è di tutta evidenza. L'esame approfondito è apparso ancor più necessario alla luce del tortuoso processo di costruzione europea e del macchinoso assetto istituzionale comunitario, al fine di poter tenere nella giusta considerazione il maggior numero di elementi possibile, non tanto per giustificare i risultati, ma quanto, piuttosto, per riflettere su di essi cercando di distribuire una responsabilità policentrica a partire dalle forze politiche per finire al cittadino stesso. ; Jacques Delors used to talk about European institutions as an O.P.N.I Object Politique Non Identifié. His opinion appears a compromise between his interest to protect National rights and the need to give lasting and autonomous governance to the European integration process. Actually from the European Community model, two different ways of thinking the governance derived both influenced by the instability of the model itself. The first one aimed at a political union; as Riccardo Perissich says: "Ai limitati trasferimenti di sovranità già decisi, altri ne sarebbero seguiti, anche se sempre in modo graduale. Coerentemente con questo approccio, le istituzioni avrebbero dovuto evolvere verso un modello classico. La Commissione si sarebbe trasformata in un esecutivo federale; il Consiglio dei ministri in un "Senato degli Stati"; l'Assemblea parlamentare in un vero Parlamento federale"6. The second one tried not to neglect the sovereignty principle by transferring technical and political power according to the Treaties. This second view increased doubts and mistrust towards the European Parliament and Commission as well. European Member States agreed above all with the first view, except for the France of Charles De Gaulle who was still convinced of his idea of not giving power to supranational level. Following the unification between ECSC, EEC and EAEC there was a single Commission for the whole administrative system while the Parliament had competence on the European budget; direct election to European Parliament was referred to as "temporary" in Article 138 of the European Community Treaty; then the Parliament would plan the way for a single procedure election regarding all Member States. Between 1951 and 1976 there were many proposals to define a direct universal suffrage, but only in 1979 this target was achieved. This result meant a significant change also for the polical and institutional 6R. Perissich, L'Unione Europea una storia non ufficiale, Milano, Longanesi, 2008, p.54. communication that became fundamental to reach citizenship during the election campaign. In 1974, during the French summit chaired by Valéry Giscard d'Estaing, were both established the European Council and the direct election of the European Parliament. The European Parliament finally elected by European citizens would require an increase in both political and institutional influence. The direct elections would enhance popular interest in European affairs as well as raise people's awareness of the Parliament itself. This last aspect emphasized the differences between the federalist and the "gradualist" trend. The first one considered the direct elected Parliament as a "Congress of European People", that is to say the constituent power of the future European Federation. Many famous people were constantly engaged in the European integration cause as politicians and intellectuals did by committing themselves to legitimizing the role of the European Parliament in relation to other institutions, particularly the European Commission. Reference can be made to Altiero Spinelli, Enrico Berlinguer, Simone Veil, Helmut Kohl, Jacques Chirac, just to mention some of them. Members of the European Parliament (MEP's) began their job by addressing many issues such as the question of communist nations or planning for a European TV or preparing a draft for the European Constitution. Appointing political celebrities such as Enrico Berlinguer, Simone Veil, Willy Brandt was a way to make the propaganda more effective. The 1979 election campaign as well as the other two following ones was, however, characterized by arguments too often associated with the national political discourse. All the information given to European citizens succeeded in generating interest in supranational reality above all. The turnout was lower than in national elections and the reason has to be found in the behaviour of political parties in discussing mostly national issues aiming at national targets. In spite of this, the first direct election to the European Parliament gave a breath of fresh air to the meaning of European democracy. The newly acquired legitimacy gave the European Parliament the opportunity to consolidate its power by acting a definite role inside the European decisional process that was, at that time, nebulous to say the least. Once the electoral date was scheduled all the national political parties had to face a challenge that forced them to renew their themes and topics previously chosen in national campaign. There was greater awareness of the necessity to broaden the horizon without loosing contact with voters by looking for similarities in other European political parties. This is what would allow single ideologies to merge in a wider context. We must to consider that between 1975 – 1979 inside the European Parliament there were representatives of parties sharing outlooks similar to the national ones, but different ways of thinking made these coalitions too weak, above all because of the predominant national interests. The primacy of national parties has always been an obstacle to the autonomy of groups and federations, neglecting the implementation of European parties. After the first direct European elections the new MEP's were a kind of "trait d'union" with their own electorates, their own party, the European coalition and the Parliament as well. The peculiar features of the political-institutional path of the European Parliament concerning the three countries studied showed differences that have characterized their participation in European elections. While Italy and France, founding members of EC, were too busy to deal with national issues during electoral campaign, the UK was more attentive to evaluate the benefits of participation and Margaret Thatcher, who was Prime Minister from 1979 to 1990 was particularly suited for such an attitude. While during the first direct election there was a need to bring some new element in organizing the electoral campaign in order to reach a wider consensus, the following two elections made political forces more reflective about the decline in turnout. Too many national issues made the communication weak, particularly for the French campaign. What citizens perceived was the little confidence of political parties and that was the reason for such a large incertitude among the people. On the other hand, the Community campaign too showed a partial efficiency. So what kind of elections are we talking about? Still "second order" elections? This is not the picture that emerged from my research conducted on the historical and political fields. Participation is inversely proportional to the preparatory work, both from a political point of view and from an administrative-institutional one, which was far superior to any national suffrage. So, why didn't voters participate so enthusiastically? Many answers are possible because many are the causes of such an odd behaviour: little attention to European issues, quality of communication, propaganda too close to the election date, distance between citizens and istitution, the cultural level of voters, election dates too close to those of national elections, lack of confidence of the political class were all contributing factors in low participation. In the middle of this mess the European citizen becomes the protagonist for the success of such a performance. Despite numbers reveal a gradual decline in the ten years examined, European citizens have not remained indifferent to the changes introduced by the European integration process. Many surveys showed that in addition to a percentage of "indifferent" or "eurosceptical" people, there were citizens who asked for a stronger Parliament hoping that this result would be reached sooner or later. The failure to achieve this goal as well as the political events of each nation have gradually caused an outcry against the vote expressed either in nonvoting or in negative-vote; these different behaviours show a different way of participating . The voter who, though informed by the electoral campaign, decided not to vote or to give a different vote by cancelling his vote or returning blank−voting ballot, went nevertheless to the polling station and didn't stay at home ignoring what was happening. The unfullfilled hope for an institutional strengthening of the Parliament and for greater political cohesion of the European Community, due to political responsibilities, didn't allow the voter to contribute or protest against the non-achievement of results. Citizens' increased knowledge and involvement did not keep pace with the participation; some elements of dissatisfaction have characterized the behaviour of the pro-Europe voter. The three main groups in which European voters may be included are pro- Europe, anti-Europe and eurosceptics. Whereas the pro-Europe voters' expectations have been disappointed, the anti-Europe voters have partially exercised the right to vote feeding this kind of lists in the European competition. Eurosceptics, on the other hand were the centerpiece of the electorate. Being careful observers of which and how many changes have occurred since 1979, citizens have been able to consolidate their position by continuing to perceive the Community as still too distant and mostly uncomfortable if not useless. They have continued their observation by standing together with those uncertain people who stayed at home. At this point it appeared inevitable to assess also those elements that characterized the elections in general. What attracts people to the polling station is mainly the weight that elections may have on the governmental changes in their own countries. The "less at stake" of European elections surely showed one of the reasons just described. We are therefore facing a different context, In such 'marker-setting' elections, voters have an incentive to behave tactically, but in a sense of the word 'tactical' that is quite different from what we see in National elections, where large parties are advantaged by their size. In a markersetting election the tactical situation is instead characterized by an apparent lack of consequences for the allocation of power, on the one hand, and by the attentiveness of politicians and media, on the other7. The lack of consequences on the national level where European elections are concerned lightened voters by taking away their responsibility in directing the national political course. Although in 1979 there was a political activity at the transnational level, the electorate's attention was very scarce. The result showed 50% of voters admitting to their disinformation about the groups that achieved greater consensus. 7 C. Van der Eijk, M. Franklin, M. Marsh, What voters teach us about Europe-Wide Elections: what Europe-Wide Elections teach us about voters, in "Electoral Studies", vol. 15, n. 2, p. 157. Another issue is the large success gained by smaller parties; in this case it is possible to talk about a "punishment vote" against the policy of the national government. The three cases studied showed different ways of participating. Italian and French voters showed a considerable participation according to their tradition also because in the 1979 – 1989 period there was an interesting political debate. The Italian "pseudo-compulsory" vote kept the percentage of voters high, but the outcome showed changing directions during the above mentioned period. Looking at the outcomes got by the Front National the French case showed an escalation of the Right next to to a significant decline of the Communist Party. There was also a substantial dispersion of voting because of so many rolls, particularly during the 1989 elections. The British case is a special one for the particular behaviour towards the European integration process. The Conservative Party wanted to play an important role in the European context and for this reason European elections were considered as a way to succeed in it. On the contrary the Labour Party did not immediately understand the importance of such a crucial opportunity; the outcome of the 1979 European elections was disastrous and they met an evident defeat that therefore was useful to understand many things for future elections. All three countries have seen the progressive growth of the Green Party. The present study has paid constant attention to to the political debate in each country, and to the strategies implemented by the actors, who were aware from the beginning that the European challenge would engage them in different ways. It was, moreover, focused on the individual citizen's ability to determine the election outcome. Considering the outcome through the mere numerical data gives a partial view of the whole context. There are so many aspects that influenced the decision to vote or not. There was a selection among voters that showed citizens who desired a more political union operating a political and institutional strengthening in opposition to those who did not want to engage themselves in an election without any gain. An unconvinced political class, questionable information, lack of knowledge among citizens about the role of the European Parliament have built a different voter, a more attentive one, with a greater critical sense towards a newer context different from the national one. The diverse elements which have emerged from this interdiciplinary study have led to further insights. After historical considerations, a sociological analysis has been carried out on European elections as a whole and their "second order" perception. From these considerations a new picture has emerged, which is not in absolute contrast with the interpretation of the raw data. The quality and the quantity of so many factors allow a more complete picture of the facts, going beyond the mere participation on which, undoubtedly, the difference with the national presence is quite evident. Detailed examination appeared necessary in the light of the tortuous European building process, in order to take into account as many elements as possible, not only to justify the results, but rather because, to reflect on them trying to deploy a polycentric responsibility from the political forces to the citizens themselves.

The American Civil War is one of the defining events in American history. Abundant studies cover every aspect of the conflict, from strategic analysis to the material culture of uniforms. Even with thousands of academic studies, each adding a new interpretation, there remains still unexplored territory. This study's objective is to expand upon and connect these previous interpretations to produce another tier in understanding a specific chapter of the war. The question posed centers on not the Confederate strengths but the Federal weaknesses. Research shows how the failure and limitations of Union strategy, policy, and the inability to logistically sustain massive offensives opened the way for the Confederacy to capitalize on, and turn the tide of the war. Furthermore, how did the Confederate strategies both militarily and politically have the greatest success and influence on the Kentucky and Maryland Campaigns and the overall outcome of the war? ; Master of Arts in Military History ; Capstone Autumn 1862 The High Tide of the Confederacy Colin E. Zimmerman A paper submitted in partial fulfillment of the requirements for the Master of Arts in Military History Norwich University MH562 Capstone Paper Dr. Wesley Moody 23-August-2020. 2 Thesis: The American Civil War is one of the defining events in American history. Abundant studies cover every aspect of the conflict, from strategic analysis to the material culture of uniforms. Even with thousands of academic studies, each adding a new interpretation, there remains still unexplored territory. This study's objective is to expand upon and connect these previous interpretations to produce another tier in understanding a specific chapter of the war. The question posed centers on not the Confederate strengths but the Federal weaknesses. Research shows how the failure and limitations of Union strategy, policy, and the inability to logistically sustain massive offensives opened the way for the Confederacy to capitalize on, and turn the tide of the war. Furthermore, how did the Confederate strategies both militarily and politically have the greatest success and influence on the Kentucky and Maryland Campaigns and the overall outcome of the war? It will be necessary to answer this question through a multilayered approach. Instead of viewing the Kentucky and Maryland campaigns on the tactical level, which has already consumed most of the historiography on the topic, this study will instead find an explanation to this question through political, logistical, organizational, leadership personalities, and economic components and how they dictated the overall strategic picture and framework. When synthesizing all these components together, one potential answer generates: the grand Confederate offensive in the autumn of 1862, a direct result of botched Federal strategic measures and limitations, divided political policies, and the Union's struggling logistical capabilities; indicated the high tide of the Confederacy. Through battlefield victories and seizing the initiative in direct and indirect courses, Confederate leadership allowed the Southern field armies to exploit the Federal weaknesses culminating in the Kentucky and Maryland campaigns. 3 These campaigns offered the Confederacy its only realistic chance of ending the war on political and strategic terms that favored the South. An examination of each specific component and its relation to the Confederate high tide's theory is therefore essential to back this new interpretation. Political Factors of the North, South, and Europe; and its Benefit to the Confederacy in 1862: All wars, especially civil wars, are political in their foundation, influence, and execution. In "On War," Carl von Clausewitz states that "the political object, as the original motive of the War, will be the standard for determining both the aim of the military force and the amount of effort to be made." 1 This axiom applies to events in the autumn of 1862 since political factors dominated the motivation of strategy. The Confederacy's legitimacy resided within its field armies continued existence. Their ability to gain military victories that supported both the strategic and political realms was the essential component that needed to be sustained if the South was to remain independent. The North was in a completely different predicament, as the rival political factions, Republican's and Democrat's, each with its own opinion on the objective goals and the conduct of the war, could not in the early phase of the war come to common ground as to what the specific nature, cause, plan, and purpose of the Civil War was. The North was a nation at war without complete unification of mind, and purpose, which presented a weakness that could ultimately undo its efforts. Complicating matters for President Abraham Lincoln, and his party's agenda, was the fact the Northern Democratic party held just over 45% of the popular vote of free and border states in the 1860 election. 2 In short, the President and his administration existed only in a 1 Carl von Clausewitz, On War, Translated by Colonel J.J. Graham. New York, NY: Barnes & Noble, 2004. 10. 2 James McPherson, Battle Cry of Freedom: The Civil War Era, Oxford: Oxford University Press, 1988. 506. 4 narrow margin and needed to conduct the war in a way suitable to keep the two very different mindsets exhibited by both the Republicans and Democrats in agreement. The Kentucky and Maryland campaigns occurred while changing Republican ideas on the persecution of the war and mid-term congressional elections, which proved to be a significant juncture in Northern and foreign politics. To be sure, the summer and fall of 1862 were extremely delicate times for Lincoln and the Republicans, and they could not afford any negative setbacks. Lacking any precedent to draw on, the Lincoln Administration delicately approached the rebellion by seeking the destruction of Confederate armies and exempting the Southern population from the burdens of war by respecting the civilians' constitutional rights and property. Historian Mark Grimsley captured the conviction of the policy by pointing out that the Lincoln administration renounced any intention of attacking slavery; and the government's assumption that most white Southerners were lukewarm about secession, and if handled with forbearance, would withdraw their allegiance from the Confederacy once Union armies entered their midst. 3 This policy known as conciliation, therefore, served as the beat to which Union forces marched off to war. Not all Northern generals and radical Republicans embraced this; however, the policy served as the first step in an evolutionary process that would eventually culminate in "hard-war." The effects of conciliation created favorable conditions for the Confederacy from which they were able to exploit the "limited war" shortcomings of the Union and surge forward into the fall offensive and their high tide. These shortcomings manifest in several different forms: leadership, strategic limitation, and foreign and domestic political pressure. Unfortunately for the 3 Mark Grimsley, The Hard Hand of War: Union Military Policy toward Southern Civilians, 1861-1865. Cambridge: Cambridge University Press, 2013. 3. 5 Union, the combination of these factors exposed themselves in a negative light nearly all simultaneously, creating a perfect opportunity for the Confederates to take advantage of the drawbacks and pursue victory. Fueling the fire was the Lincoln Administration's policy regarding the appointment of military governors in captured territory. The issue arose when these cities, such as Nashville, were turned into massive supply centers for Union armies, resulting in intense rivalries between city and country, neighboring communities, and whites and blacks as they competed for jobs and dominance. 4 Henry Halleck, George McClellan, Don Carlos Buell, the key leaders of the Federal armies in 1862, generated the most immediate consequences stemming from the shortcomings of conciliation from as these three adherents to firm Democratic principles and military strategy are most responsible for creating the opportunity for a Confederate offensive. Generals Halleck, McClellan, and Buell are often portrayed by historians as lacking the "killer instinct," especially when compared to Ulysses S. Grant, William T. Sherman, and Phil Sheridan. However, a more accurate analysis finds them as men who followed the conciliation policy almost to the letter for political, personal, or logistical reasons. Halleck himself wrote the Elements of Military Art and Science, where he harped on the capture of strategic points, incurring the least number of casualties and damage as possible as the primary strategy of winning a war. Ironically, Halleck, the most influential Union general in 1862, believed that warfare was unjustifiable in most cases and should only be conducted with the utmost caution. 5 As General in Chief, Halleck had a significant influence on the conduct of operations of the Union forces. Each of these three 4 Grimsley, The Hard Hand of War, 35-36; Scott Nelson and Carol Sheriff, A People of War: Civilians and Soldiers in America's Civil War, New York: Oxford University Press, 2007. 88. The reference to negative leadership refers to the actions of Nathaniel Lyon and Francis Blair; who introduced "harsh" measures in 1861 prematurely which led to a brutal guerilla war and other political ramifications. 5 Henry Wagner Halleck, Elements of Military Art and Science: Course of Instruction in Strategy, Fortification, Tactics of Battle, Embracing the Duties of Staff, Infantry, Cavalry, Artillery, and Engineers, Adapted to the Use of Volunteers and Militia, Third Edition, New York: D. Appleton & Company, 1862. 7-9. 6 commanders prescribed to similar variants of Halleck's theory, whose universal core value of caution above all else acted as the catalyst to create the conditions for the Confederacy to crest in the fall of 1862. While the reigns of military success were in McClellan's and Buell's hands during the Maryland and Kentucky campaigns; Halleck made two major errors in 1862 that are directly responsible for igniting the Confederate offensives. The first was his overabundance of caution in taking Corinth, allowing the Confederates to slip away and then failing to retain the initiative by pushing to Vicksburg while simultaneously failing to capture Chattanooga. The second major failure was his inability to harness his granted power and force McClellan to speedily and effectively send his army to the aid of John Pope, eliminating any opportunity for a combined assault on Lee's smaller army. 6 The Democratic principles these generals prescribed to differed in many respects from Lincoln and the Republican agenda on the idea of the war. Each strongly believed in the preservation of the Union yet favored winning the war by the least drastic measures, the least number of casualties, and on a platform acceptable to their Democratic party beliefs. 7 For instance, McClellan wrote Buell, upon the latter's elevation to command of the Army of the Ohio: "bear in mind that we are fighting only to preserve the integrity of the Union and to uphold the power of General Government….be careful so to treat the unarmed inhabitants as to contract, not widen, the breach existing between us & the rebels." 8 Additionally, Generals Pope, Grant, and Rosecrans, who likely weren't as politically polarized as the former three, contributed to the growing political dissension in 1862 in their own right. Therefore, by their actions, federal military leadership did more to subvert the Union military from ending the war quickly and 6 Russel F. Weigley, A Great Civil War: A Military and Political History, 1861-1865, Indianapolis: Indiana University Press, 2000. 135-136. It is arguable whether or not the Army of the Potomac could have arrived in its entirety rapidly enough to join with Pope. However, personal and in-house political agendas did not move the efficiency along any faster. 7 Weigley, A Great Civil War, xix-xxi. 8 Grimsley, 64. 7 dividing political tension based on faction theology more than any other public figures in 1862. One of the more notable incidents that fit into the framework of subversion was Grant's debacle at Shiloh, which brought strong opposition from anti-war Democrats, causing cautious leaders such as Halleck and McClellan to tighten their grip and fear repeat attacks. Most detrimental in this respect was the administration's and Halleck's decision to temporarily bench Grant during the Corinth episode, then subsequently leaving him in a position where he could not act with his usual aggressiveness against Stirling Price and Earl Van Dorn. Before his removal as General in Chief, George McClellan wrote Halleck then in charge of western forces, "The future success of our cause demands that proceedings such as Grant's should at once be checked. Generals must observe discipline as well as private soldiers. Do not hesitate to arrest him at once if the good of service requires it, & place CF Smith in command." 9 Grant's "recklessness" at Shiloh created quite the stir on the home front, which as a result, political rivals of the Lincoln Administration, sought to break down Grant as a way to spread discontent and fit the anti-war platform. They harped on the high number of casualties, the surprise of the Confederate attack, and the black eye to the seemingly unstoppable Union war machine. The backlash reached Washington, prompting a response from the Administration. In a telegram to Halleck, Secretary of War Stanton wrote, "The President desires to know why you have made no official report to this department respecting the late battles of Pittsburg landing. And whether any neglect or misconduct of General Grant or any other officer contributed to the sad casualties that befell our forces on Sunday." 10 The battle of Shiloh became the first political debacle that militarily opened the door for the Confederacy to take the offensive in the fall of 1862. 9 Nancy Scott Anderson and Dwight Anderson, The Generals: Ulysses. S. Grant and Robert E. Lee, Avenel: New Jersey, 1987. 230. 10 Anderson, The Generals, 241. 8 The most immediate politically charged consequence materialized in Halleck's handling of the advance on Corinth, which exemplified his standard cautiousness with added paranoia of avoiding another repeat of Shiloh. 11 The delicate politically charged caution continued even after the successful capture of Corinth in Halleck's decision to send Buell, over Pope or Grant to seize Chattanooga. Halleck's snail-like cautious advance on Corinth, and the decision to send Buell to Chattanooga, allowed the disorganized Confederate army to withdraw from Corinth, establish a new commander in the form of Braxton Bragg, who in turn brought reorganization, discipline, and professionalization to the Army of Mississippi; which proved to be the genesis of Bragg and Smith having the ability to advance into Tennessee and Kentucky. 12 Military shortcomings turned political disasters in the Eastern Theater during the summer of 1862, soon overshadowed Shiloh, and added dramatic momentum and opportunity to the rise of the Confederate high tide in the war's primary theater. McClellan and his Army of the Potomac, having suffered political harassment in late 1861 into the spring of 1862, began their downward political spiral with the Army of the Potomac's loss of initiative and strategic defeat during the Seven Days Battles on the Peninsula. The setbacks along the James River coupled with the black eye at Shiloh, and the defeat of Federal forces in the Shenandoah Valley in the spring of 1862 had devastating political effects, which left the North and European powers believing that all hope for the Union resided with McClellan and his Army of the Potomac. The proximity of the Union and Confederate capitals made the Eastern theater a hot spot for journalists and policymakers on both sides, who saw the region as the deciding factor in the Civil War's outcome. This army's setback at the gates of Richmond did more to influence how events 11 Larry J. Daniel, Days of Glory: The Army of the Cumberland, 1861-1865, Baton Rouge: Louisiana State University Press, 2006. 85. 12 Thomas Lawrence Connelly, Army of the Heartland: The Army of Tennessee, 1861-1862, Baton Rouge: Louisiana State University Press, 2001. 188-194. 9 unfolded in the east in 1862 in both the strategic and political sense, both foreign and domestic. 13 The shortcomings on the Peninsula stymied the Union's hope to quickly end the war while making the voices of "Peace Democrats" louder and the political situation even more delicate. As if the Lincoln Administration did not already have enough burdens, both England and France, whose neutrality was necessary for the Union war effort, began to openly question the North's ability to subdue the South and end the rebellion. 14 Stonewall Jackson's brilliant campaign in the Valley, coupled with the Army of Northern Virginia's ferocious performance on the Peninsula elevated Southern patriotism, and simultaneously dampened Northern morale, convincing many on both sides that Southern victory was achievable. 15 Colonel Charles Marshall, Lee's Assistant Adjutant General believed that Robert E. Lee's emergence onto the scene was the greatest benefit to the Southern cause. He equated Lee's leadership on the Peninsula to that of a color bearer bravely advancing his banner towards the enemy. On political matters Marshall correctly believed that the Northern people were impatient for a speedy victory and that the Federal Government expressed this sentiment in its policy on conducting the war. However, this policy was forcefully and forever altered with the aggressive Lee's emergence onto the scene, whose plan called for carrying on the war indefinitely until the Confederacy achieved victory. Marshall outlined this plan as designed to, "frustrate the enemy's designs; to break up campaigns undertaken with vast expense and with confident assurance of success; to impress upon the minds of Northern people the conviction that they must prepare for a protracted struggle, great sacrifices of life and treasure, with the possibility that all might at last be of no 13 Stephen W. Sears, To the Gates of Richmond: The Peninsula Campaign, New York: Houghton Mifflin Company, 1992. 355. 14 McPherson, Battle Cry of Freedom, 554-555. 15 Peter Cozzens, Shenandoah 1862: Stonewall Jackson's Valley Campaign, Chapel Hill: University of North Carolina Press, 2008. 507-508. 10 avail; and to accomplish this at the smallest cost to the Confederacy." 16 This leadership change at such a critical moment proved to be the dawn of turning Confederate fortunes in the east. Public opinion and political reactions to the Union failure on the Peninsula were mixed; however, strong opposition towards McClellan emerged and created discord among the rival Democrats and Republicans, each of whom found outlets to accuse the other of the responsibility of the campaign's failure. 17 Amid this political turmoil, Lincoln, in an effort to offset the discord introduced Major General John Pope, who only managed to escalate political dissension to a fever pitch with his disastrous Northern Virginia campaign. 18 In the Western Theater, the emergence of Braxton Bragg also came at a critical juncture in juxtaposition with the events occurring in the east. Bragg took command of the Army of Mississippi at one of its darkest hours, and through exemplary organizational skills, reshaped the Army of Mississippi into a professional, disciplined force capable of delivering a lethal blow. With such a force, Bragg was able to look to more risky opportunities that would offset the Union strategic gains in the west and regain Tennessee and perhaps set the stage for Kentucky.19 Private Sam Watkins of the 1st Tennessee recorded the positive change in morale from the melancholy atmosphere at Corinth to when new lifeblood in the army emerged. "We were in an ecstasy akin to heaven. We were happy; the troops were jubilant; our manhood blood pulsated more warmly; our patriotism was awakened; our pride was renewed and stood ready for any emergency; we felt that one Southern man could whip twenty Yankees. All was lovely and 16 Charles Marshall, Lees Aide-De-Camp: Being the Papers of Colonel Charles Marshall Sometime Aide-De-Camp, Military Secretary, and Assistant Adjutant General on the Staff of Robert E. Lee, 1862-1865, Edited by Gary W. Gallagher, and Frederick Maurice, Lincoln: University of Nebraska Press, 2000. 74. 17 Sears, To the Gates of Richmond, 346-347. 18 John J. Hennessy, Return to Bull Run: The Battle and Campaign of Second Manassas. Norman: University of Oklahoma Press, 1999. 468-472. 19 Earl J. Hess, Banners to the Breeze: the Kentucky Campaign, Corinth, and Stones River, Lincoln, Neb.: University of Nebraska Press, 2010. 19-22. 11 the goose hung high." 20 Although the Confederates had suffered initial setbacks early in 1862, the advantages afforded by conciliation, cautious Federal leadership, and the emergence of Lee and Bragg allowed for a reversal of fortunes. In 1862 Southern patriotism was running high; the idea of independence and the Confederate soldier's superiority was at its wartime peak. 21 Lee's decision to invade Maryland was political in nature. Maryland Campaign historians, Joseph Harsh, Scot Hartwig, Stephen Sears, James Murfin, and Ezra Carman while differing on strategic matters, all agree that Lee's primary purpose was to secure a decisive victory which would gain the South the political victory; either in the form of Northern domestic politics or international recognition and or intervention. The application of political pressure to Lee's offensive outweighs all the deficiencies faced by his army in the logistical realm, and further illustrated his grasp on the delicacy of Northern political division. Clearly, he understood this division and had faith that his smaller, ill-supplied force had a chance to deliver a blow that would fracture the Northern populace and produce an outcome that favored the South. General Lee suggested his understanding of such matters in a letter to President Jefferson Davis while in Dranesville on September 3. "The present seems to be the most propitious time since the commencement of the war for the Confederate Army to enter Maryland.….if it is ever desired to give material aid to Maryland and afford her and opportunity of throwing off the oppression to which she is now subject, this would seem the most favorable." 22 The domestic and foreign political objectives acting as primary motives for the "invasion," were in that instant equal to the strategic goals which accompanied them when 20 Samuel R. Watkins, Company Aytch or A Side Show of the Big Show: A Memoir of the Civil War. Edited by Ruth Hill Fulton McAllister. Nashville, TN: Turner, 2011. 45. 21 Joseph T. Glatthaar, General Lee's Army: From Victory to Collapse, New York: Free Press, 2008. 207; James Longstreet, Battles and Leaders of the Civil War, Edited by Ned Bradford. New York: The Fairfax Press, 1979. 263. 22 United States War Department, The War of the Rebellion: A Compilation of the Official Records of the Union and Confederate Armies. Vol. 19. Washington: Govt. Print. Off., 1880. 590. 12 defining the military value of the campaign; this is a unique feature to the Maryland Campaign and its condition for victory, while only a secondary task in Kentucky. In contrast historian Edwin Coddington paints a different picture for Lee's purposes in the Pennsylvania Campaign of 1863. Coddington outlined that Lee, in this part of the war, contended with the new Federal doctrine of "hard war" and emancipation, eliminating the decisive battle matched with the political advantage that existed in 1862. Therefore, Lee's only real option was to defeat the Army of the Potomac in detail, earning a strategic victory rather than a political one. 23 Such a task required adequate logistics, and a complete and total battlefield victory, two factors that eluded the Confederacy during the war. Such victory conditions presented to Lee in 1862 were unique and would never materialize again in any substantial form. Political division in the North was at fever pitch in the late summer of 1862; evidence of the discord's depth is apparent in everything from personal letters through Northern news outlets. Robert E. Lee, an avid reader of Northern papers, understood this notion and sought to exploit it. Domestically, Northern Democrats maintained a loud voice in critical regions and states, which only grew more robust and more resilient with each military shortcoming and failure. August and early September saw a heightened level of panic and discouragement in the North, with Pope's defeat and Lee's invasion of Maryland, while at the same time Kirby Smith's Confederate Army of Kentucky demonstrated against Cincinnati. Pennsylvania was understandably the most unnerved due to its proximity to Maryland and vital war infrastructure, and its Republican governor Andrew Curtin's demand for 80,000 troops to defend his state embodied it. Additionally, the mayors of the influential northern cities of Harrisburg, Philadelphia, and 23 Edwin B. Coddington, The Gettysburg Campaign: A Study in Command, New York: Simon and Schuster. 1968. 6-7. 13 Baltimore were alarmed, fearing their respective city was the target of Lee's advancing legions.24 In Cincinnati, the situation turned somewhat drastic. After destroying the Union forces at Richmond, Kentucky on August 30, Kirby Smith as a result had a clear road to the Ohio River. Understandably Illinois, Indiana, and Ohio all worried what Smith's next move would be while they scrambled to organize bodies of troops. General Lew Wallace arrived in Cincinnati, declared martial law and quickly set about organizing a defense. 25 With panic to the extremity of declaring martial law, the Northern population began to question their ability to win the war openly. Prominent figures such as George Templeton Strong, Samuel Galloway, Reverend Robert Laird Collier, and Senator Garrett Davis, spoke not only for themselves but also for the majority of the people by openly challenging President Lincoln and his administration on their ability to conduct the war. The accusations included Lincoln's unfitness for the Presidency, the constant change of military leadership in the east, which showed instability and was severely hurting morale in the North. Demands also arose that there be a complete reorganization of the Administration. 26 The Lincoln Administration's threat of a draft, unless an additional 300,000 volunteers could be raised created further tension. The idea of a draft disgusted many Northerners; however, with "patriotic" spirit enticed by bounties, nine-month service, and the threat of draft, the ranks of new regiments began to fill in late summer of 1862, only hitting forty-five percent of the intended quota. 27 The Union soldiers themselves cast a gloomy mood over the situation and expressed their views with varying levels of disgust. Lieutenant Elisha Hunt Rhodes of the 2nd 24 David H. Donald, Lincoln, New York, NY: Touchstone, 1996. 373. 25 Vernon L. Volpe, "Dispute Every Inch of Ground": Major General Lew Wallace Commands Cincinnati, September 1862." Indiana Magazine of History 85, no. 2 (1989): 139. 26 Donald, Lincoln, 373. 27 McPherson, Battle Cry of Freedom, 492. 14 Rhode Island expressed in his diary that: "I fear we are no nearer the end of the war than we were when we first landed at Fortress Monroe five months ago." 28 Captain Francis Donaldson of the 118th Pennsylvania captured the mood in Washington: "We are constant witness of the sad plight of the Army of the Potomac, as thousands of Genl. Pope's troops in great demoralization are ever passing the Fort in retreat to Washington. The poor old Army of the Potomac, how I pity it." 29 Captain Henry Pearson of the 6th New Hampshire also expressed his views in the aftermath of Second Manassas: "You need not be surprised if success falls to the rebels with astonishing rapidity." 30 Brigadier General Marsena Patrick's opinion bordered on insurrection: "There is a general feeling that the Southern Confederacy will be recognized & that they deserve recognition." 31 Lieutenant Charles Seton Fleming of the 2nd Florida Infantry, in a letter home to his mother describing the aftermath of the Second Manassas campaign, echoed Patrick's views when he wrote: "Our victory is complete, even the Yankee prisoners acknowledge it." 32 Lieutenant Colonel Henry Hubbell of the 3rd New York wrote in August 1862: "I am not sure that it would not be a good thing to have the rebels get possession of Washington however, as it might waken up the north to the fact that we are having a war in earnest, and not merely playing soldier…. We have got men & means enough in the north to put an end to this war in 90 days, if they would only go at it in earnest and let politics & the nigger alone." 33 28 Elisha Hunt Rhodes, All for the Union: A History of the 2nd Rhode Island Volunteer Infantry in the War of the Great Rebellion. Edited by Robert Hunt Rhodes. Lincoln, RI: A. Mowbray, 1985. 69. 29 Francis Adams Donaldson, Inside the Army of the Potomac: The Civil War Experience of Captain Francis Adams Donaldson. Edited by J. Gregory Acken. Mechanicsburg, PA: Stackpole Books, 1998. 104. 30 D. Scott Hartwig, To Antietam Creek: the Maryland Campaign of September 1862. Baltimore: Johns Hopkins University Press, 2019. 134-135. 31 Ibid., 134-135. 32 Francis P. Fleming, A Memoir of Captain C. Seton Fleming: of the Second Florida Infantry, C.S.A., Reprint 1985: Jacksonville: Times-Union Publishing House, 1884. 66. 33 Simon P. Newman, "A Democrat in Lincoln's Army: The Civil War Letters of Henry P. Hubbell." The Princeton University Library Chronicle 50, no. 2 (1989): 155-68. 157. 15 Hubbell eluded to the growing discord of racial issues that many Democrats saw as an unnecessary and politically charged motive to a war that was supposed to be strictly for preserving the Union. Nevertheless, this issue began to transform the cause of the war in the summer of 1862, adding only more weight to a very delicate political situation. Hubbell's feelings weren't isolated; instead, the sense that the war was taking on a new front to end slavery infuriated many Northerners. Hubbell's views on racial matters and slavery were not limited to himself, in fact, the stiffest opposition to war that had anything to do with freeing slaves came from the Midwest states; where racism was an epidemic culturally, especially in the Army of the Ohio. The talk of national emancipation led hundreds of men to desert and, in some cases, join the Confederacy. 34 Sentiments similar to these echoed across the Union armies and, undoubtedly, were shared by family and friends on the home front. Some individuals turned bitter, and perhaps extreme, which reflected political, ideological, and sectional differences in the North, which under the pressure of a seemingly collapsing system reared its ugly head. The term "invasion" has been used several times thus far, especially by the Union's most publicized general, George McClellan. This term and others related to it divided the minds of many of those who had significant power to dictate the war. Abraham Lincoln, at no point, recognized the Confederacy as a legitimate entity. He always maintained that the Southern States were in rebellion and needed to be brought back into the Union. Interestingly, his senior generals in 1862, mostly Democrats, saw the Confederate offensives as invasions, insinuating their conscious or subconscious recognition that Confederate armies were "foreign invaders" intent on doing harm, which helped fuel the panic, frustration, and seemingly lost Union cause ideology. 35 34 Daniel, Days of Glory, 101. 35 Andrew Pooley, "Shoo-ing the Geese: Lincoln and the Army of the Potomac, 1862-1863." Australian Journal of American Studies 21, no.2 (2002): 86-100. 86-87. 16 Jefferson Davis, the Confederate cabinet, Robert E. Lee, Braxton Bragg, and all the other high-ranking Confederate officers comprehended the growing Northern political disunion. This is evident in the decision to approve a Confederate offensive and the string of strategic goals associated with it. The Army of Northern Virginia, for example, fulfilled its duty of defeating the Federals time and again, completely reversing the tide of the war in the east. As Robert E. Lee sat at his headquarters in the aftermath of Chantilly, it had become abundantly clear that he now possessed the opportunity to strike the decisive blow against whatever Union army would oppose him in Maryland or Pennsylvania, which would likely result in some sort of peace talks. 36 Lieutenant Colonel Edward Porter Alexander Chief of Ordnance in the Army of Northern Virginia saw the picture as clear as Lee. Referring to the army, we wrote: "His [Lee's] army had, that magnificent morale which made them equal to twice their numbers, & which they never lost even to the surrender at Appomattox. And his confidence in them, & theirs in him, were so equal that no man can yet say which was greatest. And no old soldier need ask a prouder record than is implied in that fact. By going into Maryland Gen. Lee could at least subsist his army for a while upon the enemy, & he doubtless hoped, too, for a chance to force the Federal army to come out & fight him under favorable conditions." 37 Confederate officer William Allan, reverberated Alexander's sentiments when he wrote of the Army of Northern Virginia: "its spirit at this time was high. A series of brilliant successes had given it unbounded confidence in itself and its leaders, and the ragged dirty soldiers hailed with joy the advance across the Potomac." 38 The comparison of the Federal and Confederate views as indicated from primary sources, on 36 Hartwig, To Antietam Creek, 52-53. 37 Edward Porter Alexander, Fighting for the Confederacy: The Personal Recollections of General Edward Porter Alexander. Edited by Gary W. Gallagher, United States: The University of North Carolina Press, 2000. 139. 38 William Allan, The Army of Northern Virginia in 1862, Reprint: Middletown: DE, 2020. 273. 17 leadership and the progress of the war at the beginning of the Maryland Campaign were clearly in favor of the South. The leadership of Don Carlos Buell is a prime example of political dissatisfaction, both on the home front and in the army. While McClellan was unpopular with the Administration, he still held favor with most of his officers, and certainly the rank and file of the army and the nation. Buell, however, faced contention on three similar fronts – The Indiana bloc, the general and field officers of the First Division, and the supporters of Alexander McCook, one of his corps commanders. Much of the disgust with Buell occurred during the Kentucky Campaign. This break in unified efforts favored the Confederate cause, particularly in swaying popular opinion in Kentucky. Republican Indiana newspapers ripped into Buell's leadership, declaring that he was completely mishandling the pursuit of two Confederate armies that were ripping up Kentucky and potentially heading towards Indiana, Ohio, or Illinois. Some newspapers called for his immediate dismissal, and a few even demanded he be shot. 39 When comparing Lee and his army to Buell and his, there formulates a fascinating dissection of the polar extremes in popular and political opinion. Lee and his men were on the top of their game, while Buell's forces were at a low ebb. Using these two examples as the basis of measurement, it becomes apparent that overall, the Confederate forces enjoyed a much higher sense of public support and favorability then their Union counterparts did at that particular moment in the war. Scholars have hotly debated the prospect of European powers, particularly England and France intervening and mediating an end to the conflict. The idea of such a prospect was undoubtedly the primary goal for the Confederate strategy in the autumn of 1862. It is essential to view the idea of European intervention in the simplest of forms. The Southern strategy partly 39 Daniel, 128-129. 18 hinged on it, as can be observed via strategic decisions and public opinion, the North, however, feared the prospect. Intervention and mediation on any level would, in the end, be more beneficial to the South, and the Lincoln Administration would appear as incapable; in short, it would be a disaster for the North and Republicans. 40 The onset of a "cotton famine" and the scandal of the Trent affair occurred amid all the politically charged events in 1862, resulting in the British sending an additional 11,000 men to Canada and forcing Lincoln to tread lightly in foreign political matters. 41 Historian Max Beloff believed that the possibility of British intervention was extremely likely in 1862, mainly due to the North's refusal to make anti-slavery sentiments the basis of their cause, instead still focusing on the preservation of the Union, which only supported the pro-Southern faction in Parliament. 42 An examination of Southern newspapers and other editorials, shows public opinion in the South at the beginning of the war was universal in the belief that Great Britain would be forced, through the power of cotton, to intervene either by raising the blockade or by recognizing the Confederate States as an independent nation or perhaps both. 43 Regardless of the likelihood of actual intervention or recognition, the idea of it greatly influenced Confederate leaders, particularly Lee, who notated such objective goals in his correspondence with Davis. Davis agreed outlining his desires in a communication to Lee on September 7. He reminded Lee that the Confederacy was waging war solely for self-defense. Through the eight points he outlined as the guiding principles for the field armies to abide by, Davis continually revolved his doctrine around political objectives whose chief purpose were to achieve peace with the United States. If the South maintained a self- 40 McPherson, 444. 41 Nelson, A People at War, 166. 42 Max Beloff, "Historical Revision No. CXVIII: Great Britain and the American Civil War." History, New Series, 37, no. 129, (1952): 40-48. 42. 43 Schuyler Dean Hoslett, "The Richmond Daily Press on British Intervention in the Civil War: A Brief Summary." The William and Mary Quarterly 20, no. 1 (1940): 79-83. 80. 19 defense posture, with the objective of peace through battlefield victory; then the likelihood of positive European intervention on their behalf had a much higher probability, which in turn could possibly bring a speedy end to the war with terms that favored the Confederacy. 44 Logistical Concerns and Organizational Components: While the South always lagged behind the North in terms of finance, economy, manufacturing, manpower, and many other logistical concerns, the disparity was narrower in 1862 than in the coming years. As a point of contention, several trends and circumstances in the Union war effort benefited the South more than it aided the Union on the grand stage. Concerning logistics, Clausewitz's maxim states: "The dependence on the base increases in intensity and extent with the size of the Army, which is easy to understand. An Army is like a tree. From the ground out of which it grows it draws it's nourishment; if it is small it can easily be transplanted, but this becomes more difficult as it increases in size….When therefore, we talk of the influence of the base on the operations of an Army, the dimensions of the Army must always serve as the scale by which to measure the magnitude of that influence." 45 This axiom is precisely the predicament of the Northern war effort in the first two years of the war. The logistical portion of this study will examine the condition and availability of uniforms and equipment, quality of weaponry then in circulation, training and experience of soldiers, and finally the ability of each government to produce and supply its troops effectively. A logistical understanding is crucial for understanding the obstacles and conditions faced by the armies and how it dictated their effectiveness on campaign and immediate tactical ability on the battlefield in 1862. The South, as previously stated from the very beginning of the war, was behind its 44 OR, vol 19, 1: 598-599. 45 Clausewitz, On War, 353-354. 20 opponent in logistical matters; however, the North in 1862 was not at the climax in its ability of production and supply, and therefore lacked significantly in certain areas. However, it is essential to note that the limitations of the Federal logistical system by the fall of 1862 were only a few months shy of efficiently supplying the vast number of troops in the field. The first evidence of a marked change in the Union's logistical ability emerged in the Chancellorsville Campaign's genesis, after the winter of 1862-63. 46 Accepting the notion that the Confederate armies were in rough shape logistically; it is important to note that the primary leadership in the field was acutely aware of the shortages. However, the unfolding opportunity demanded a military strike that outweighed logistical concerns. Therefore, an examination into the Federal system's shortcomings is necessary to show the benefits it offered toward the Confederacy. The United States Army in the Antebellum period contained roughly 15,000 men of all arms. Compared with an army of 600,000 men in 1862, it is understandable that there would be significant shortcomings and hurdles to overcome in a nation that, as a rule, did not trust professional armies nor want to foot the bill for one. Nevertheless, the North had a clear advantage when it came to industrialization and manufacturing. Over one million Northerners worked in industrial jobs, ten times more than their Southern counterparts. Furthermore, the North contained roughly 100,000 factories compared to the South's 20,000. 47 Yet, as already pointed out, the prewar army was tiny and supplied with uniforms and equipment solely from the Schuylkill Arsenal in Philadelphia. Additionally, the arsenals producing firearms were limited, with all those existing in the South subsequently seized upon secession, having fewer firearms available to Northern regiments. 48 The North, therefore, would have to raise and equip an army 46 Stephen Sears, Chancellorsville, New York: Houghton Mifflin Company, 1996. 71-75 47 Matthew S. Muehlbauer and David J. Ulbrich, Ways of War: American Military History from the Colonial Era to the Twenty-First Century. New York: Routledge, 2018. 174-175. 48 Joseph E. Chance, The Second Texas Infantry, From Shiloh to Vicksburg, Austin: Eakin Press, 1984. 16, 24. 21 primarily with outdated weapons and with an industrial system that wasn't geared toward war manufacturing. The North's only saving grace was its economic might. 49 Economically it is crucial to understand that the Union that won the war in 1865, was not the same financial institution nor economy in 1861 and 1862. It was in major part due to the Legal Tender Act of 1862 and the National Currency Act of 1863, that the North was able to pay for the sustainment of the war; yet it took time for these acts to take effect. Therefore, in 1862 financially, the North was undoubtedly at its weakest; many of the state and municipal banks, especially those in border states, had closed their doors, while millions of businesses and private civilians hoarded gold. 50 The Union was only able to field the armies it did in 1861-1862 because of its ability to pay for the conversion and development of machinery needed for equipment, weaponry, and uniforms while relying initially on its prewar militia. Faced with arming a massive army overnight, the United States was forced to arm many of its regiments with outdated firearms, such as the M-1842 Smoothbore musket, and the M-1816 Flintlocks that were converted to percussion, in addition to supplementing itself with foreign weapons, from Britain, Belgium, France, Austria, and others. These weapons except those from Britain, proved to be severely outdated compared to the technology available in the 1860s. The importance of recognizing the sub-standard firearms is their effectiveness on the battlefield and the potentiality of changing the outcome in a crucial moment in a battle. In an era of the rifled musket that was accurate from 250-300 yards, a typical smoothbore musket ranged from 80-100 yards. A significant portion of Federal troops were armed with outdated weapons in the Maryland and Kentucky Campaigns. A focus on any of the principal engagements in that time frame will show that regiments armed 49 McPherson, 442-445. 50 Nelson, 132-133. 22 with such weapons were in certain circumstances ineffective on the immediate tactical plane, and perhaps beneficial to their adversary. The disparity of weapons had begun to improve for the North in 1862; however, the infusion of nearly 300,000 volunteers during the summer of 1862 created a logistical gap once again. Many of the existing regiments in the army still shouldered outdated weapons, and now with legions of new men forming, these troops found themselves supplied with weapons that were unequal to the rigors of Civil War combat. Of this second wave of new recruits, the 12th New Jersey Volunteers serve as an excellent microcosm to examine the Union's logistical deficiencies in the rush to arm new recruits in 1862. Initially, the Jerseymen expected to receive the celebrated Enfield rifle; instead, they ended up with the inferior Austrian Lorenz, which was later exchanged in Washington for the equally outdated 1842 Springfield musket, although they saw this as an improvement over the detested Austrian rifle. 51 While every regiment's experience is different, the new wave and veterans alike in 1862 experienced some level of logistical deficiency that impacted their abelites on campaign or in battle. Aside from weapons, much of the equipment in the Army of the Potomac and the Army of the Ohio at the beginning of the Confederate offensives were at the end of its serviceable life span, due to months of active campaigning, and the inability to properly re-muster the army on a large scale because of the continuity of Confederate aggressiveness, which certainly affected their performance as a cohesive fighting force. Brigadier General Abner Doubleday who commanded a brigade at Second Manassas submitted requisitions to replace equipment and clothing just before the onset of the Maryland Campaign, noted in disgust: "owing to the great number [of other officers] making requisitions, mine were not filled and we were soon obliged to 51 Edward G. Longacre, To Gettysburg and Beyond: The Twelfth New Jersey Volunteer Infantry, II Corps, Army of the Potomac, 1862-1865, Hightstown: Longstreet House, 1988. 24. 23 take the field deficient in everything." 52 This sentiment was backed up by Captain James Wren of the IX Corps, who wrote that the men in his division "looked very bad, being Lousey, Dirty & Almost naked & worn out." 53 The soldiers in the Army of the Ohio were in equally if not worse shape. The vast distances covered by the Western Theater's armies created long supply lines, which fell victim to frequent raids from rebel cavalry. T.J. Wright of the 8th Kentucky Infantry noted in his diary that the Army of the Ohio was: "the hungriest, raggedest, tiredest, dirtiest, lousiest and sleepiest set of men the hardships of this or any other war ever produced." 54 While it is certain that the Confederates were in equally bad situations logistically, they had the benefit victory behind them in the east, and in Bragg's army's case, high morale. Another major struggle for the Federals in 1862 was the ability to get the supplies to its armies. The reason is not one specific aspect, but rather a compilation of bureaucracy, corruption, and lack of precedent to draw off. McClellan's army on the Peninsula had to be supplied from the sea, Pope in command of the Army of Virginia never took the time to ensure his troops had everything they needed, and Buell's army along with the rest of the western forces contended with long supply lines originating in Cairo Illinois, that were frequently raided by Confederate cavalry. The 16th Maine Infantry is a classic example of the suffering that occurred in a system that was outside its capabilities in 1862. The regiment's adjutant and historian Abner Small wrote: "How those men suffered! Hunger, daily felt, was nothing compared with it. Men of education, of refinement, and wealth, who willingly and cheerfully gave up home, with all its love and comfort, for country, made to feel degraded for want of clothing!" Small then describes 52 Hartwig, 137. 53 Ibid., 137. 54 Kenneth W. Noe, Perryville: This Grand Havoc of Battle. Lexington: University Press of Kentucky, 2011. 89. 24 the horrendous conditions: "…without shelter, without overcoats, shoeless, hatless, and hundreds without blankets; and through all that long, sad, and weary tramp, we were jeered at, insulted, and called the "Blanket Brigade!" 55 While examples like this are on the extreme, the narrative fits when assessing the entire logistical picture of the Army of the Potomac in September 1862. The term logistics also dovetails into organizational tables. Aside from sharing similar shortcomings in the area of supply and outdated weaponry, Lee's Army of Northern Virginia was by far the superior force in leadership, experience, and organization when compared with McClellan's force. By September 2, 1862, nearly 61 percent of Lee's infantry had fought in three or more major battles, and 81 percent fought in two or more. All of his 184 infantry regiments were veterans of at least one battle. Not only were Lee's regiments superior in this regard, but his brigade commanders were highly efficient as well. Twenty-seven of Lee's forty brigades were veterans of two or more major battles, while the remaining thirteen had fought in either the Seven Days or Second Manassas. On the divisional level, the highest official level of organization at that point for the A.N.V.; all of the eleven divisions had seen at least one battle. 56 The Union leadership backed this notion up as well. It was widely accepted, and a point still argued amongst historians, that the Southern fighting man was superior. This mythology has far back as the American Revolution corroboration has its roots in early Confederate victories, particularly at First and Second Manassas, the Shenandoah Valley, and the Seven Days battles. These victories generated an aura of invincibility around the Army of Northern Virginia that transcended into the minds of the Federal troops. 57 In fact Lee, true to form was in the first days of September 1862, the living epithet of Baron De Jomini's maxims, "the general should do 55 Abner Ralph Small, The Sixteenth Maine Regiment in the War of the Rebellion, 1861-1865. London: Forgotten Books, 2015. 38. 56 Joseph L. Harsh, Taken at the Flood Robert E. Lee and Confederate Strategy in the Maryland Campaign of 1862. Ashland: The Kent State University Press, 2013. 39-40 57 Pooley, "Shoo-ing the Geese", 88. 25 everything to electrify his own soldiers, and to impart to them the same enthusiasm which he endeavors to repress his adversaries….in general, a cherished cause, and a general who inspires the confidence by previous success, are powerful means of electrifying an army and conducing to victory." 58 In contrast, McClellan's forces reformed into the Army of the Potomac, could not boast anything near the statistics of the Army of Northern Virginia could. September 1862 was the most disorganized and weakest the Army of the Potomac would find itself in the duration of the war. This school of thought canceled out, at least temporarily, any deficiencies faced by Lee's forces. When George B. McClellan rode out of Washington to take command, he found three very different organizations, each with its own command, divisional, brigade, artillery, cavalry, transportation, and quartermaster structures. Additionally, the newly formed regiments, many of whom were only a few weeks old, were rushed to the front and infused into the disorganized mess. Organizing these separate organizations into one effective command would weeks if not months, McClellan would be forced to do it in a matter of days, while in motion, in addition to planning a short-term strategy to deal with Lee. 59 The chaos of the reorganization is apparent in the 5th New York Volunteers' experience. Historian Brian Pohanka related an instance of the 5th as they passed McClellan on the march toward western Maryland: "As they marched, General McClellan reined up beside the troops of Warren's brigade. 'Well, and how is the Old Fifth this evening?' he asked. 'First rate, General, but we'd be better off if we weren't living so much on supposition." 60 Even though he had the bigger force, the disorganization and confusion associated with the rapidity of the Maryland Campaign denied the general his army's full might 58 Baron De Jomini, The Art of War, Translated by Capt. G.H. Mendell, and Lieut. W.P. Craighill, Radford: Wilder Publications, 2008. 30-31. 59 Hartwig, 133-136. 60 Brian C. Pohanka, Vortex of Hell: History of the 5th New York Volunteer Infantry. Lynchburg, VA: Schroeder Publications, 2012. 369. 26 on the battlefield. In different circumstances these obstacles may have been overcome had McClellan had time to prepare. Robert E. Lee sensed his enemy's weakness and used it as part of his foundation to seek permission from President Davis to invade Maryland. "The two grand armies of the United States that have been operating in Virginia, though now united, are much weakened and demoralized. Their new levies, of which I understand 60,000 men have already been posted in Washington, are not yet organized, and will take some time to prepare for the field." 61 Lee identified that his logistical situation was terrible, however, he recognized the unfolding opportunity in front of him. "The army is not properly equipped for an invasion of an enemy's territory. It lacks much of the material of war, is feeble in transportation, the animals being much reduced, and the men are poorly provided with clothes, and in thousands of instances are destitute of shoes. Still, we cannot not afford to be idle, and though weaker than our opponents in men and military equipment's, must endeavor to harass if we cannot destroy them. I am aware that the movement is attended with much risk, yet I do not consider success impossible, and shall endeavor to guard it from loss." 62 The amount of stock Lee put into the Federals logistical organization is apparent. In fact, if taken as a whole, his reliance on the overall Federal weakness is one of his only justifications for his ill-supplied and smaller force to go on the offensive. Additionally, these logistical matters, both of his own and the Federal weakness, coincide directly with Lee's desire to deliver a decisive blow to the Federals quickly. There was not a better opportunity to do it and expect fruitful results, then while the Army of Potomac was at its weakest moment, structurally, organizationally, numerically, and logistically. 61 OR, vol 19, 1: 590-591. 62 Ibid., 590-591. 27 Lee's conclusion of the ill-preparedness of the new Union regiments applies not only to the troops in his sector but also to those in the Western Theater. Much like Lee's army within reach of Washington, Kirby Smith's small army in Kentucky created a panic and proved Lee's theory on the reliability of new soldiers. Kirby Smith successfully and thoroughly destroyed an equally sized Federal force of raw recruits at Richmond, Kentucky, on August 30, 1862, eliminating them from the military equation. Historian Kenneth Noe termed the battle of Richmond as "the most lopsided Confederate victory of the war, as Kirby Smith's men inflicted casualties so staggering that entire Union brigades ceased to exist." 63 With Smith's incursion into Kentucky, a vacuum of chaos erupted in the region, in particular, Ohio. The microcosm of Cincinnati infuses both the political and the serious logistical problems faced by the North in 1862. Historian Vernon Volpe pointed out, "Although the influx of [Union] volunteers was inspiring, with it came a shortage of arms, ammunition, and other equipment needed to outfit the troops properly." 64 This example was echoed across the entire Kentucky region in 1862. Although McClellan's army outnumbered Lee with a total of roughly 87,000 men, twenty percent of his infantry were raw, having been in the army just a handful of weeks and had not even come close to mastering the level of proficiency needed in drill and tactics to be effective on a Civil War battlefield. 65 Even though the Federals were able to put fresh regiments into the field, it became an issue of quantity versus quality. The unfortunate story of the 118th Pennsylvania Volunteers is a classic case in point of these raw troops' ineffectiveness. Arriving to the Army of the Potomac just a few days before the battle of Antietam, the men prepared to enter their first engagement on September 19 at Shepherdstown. Their regimental historian 63 Noe, Perryville, 39. 64 Volpe, "Dispute Every Inch of Ground", 146. 65 Hartwig, 139. 28 wrote: "The teachings of the battalion-drill near Sharpsburg on the previous day [September 18] now had practical application." The 118th's Colonel stated in his official report that: "We returned their fire as fast as possible, but soon found that our Enfield rifles were so defective that quite one-fourth of them would not explode the caps." 66 The 118th's story, while extreme is not unique, another raw Federal regiment the 128th Pennsylvania found itself in an even worse circumstance, owing to its lack of training. The 128th Pennsylvania arrived at the army just days before as well and were assigned to the newly organized XII Corps, which itself contained some of the highest proportions of raw troops. During the battle of Antietam, the new regiment found itself in Miller's Cornfield and due lack of basic drill unable to maneuver itself back onto its brigade in the face of onrushing Confederates. Officers and sergeants from experienced neighboring outfits were sent to try and move the bewildered regiment all to no avail. In the end, the 128th was left to its fate and was nearly destroyed, having no effect on the enemy and only weakening their own brigades' position. 67 Stories similar in nature can be found across the Army of the Potomac on every sector of each battlefield during the Maryland Campaign, each in the midst of their own mishaps allowing the Confederates a level of superiority while hindering their supporting elements an opportunity to exploit any gains. Don Carlos Buell's Army of the Ohio experienced similar circumstances with green regiments as its eastern counterpart. In a letter to Kirby Smith, Bragg detailed his understanding that Buell's men were in rough shape and utterly demoralized. These circumstances, Bragg believed, offered the South a greater benefit of success. 68 The raw, ill-trained, ill-equipped, and completely unprepared 105th Ohio, 123rd Illinois, and 21st Wisconsin infantry regiments were 66 Survivors' Association 118th (Corn Exchange) Regt., P.V., History of the Corn Exchange Regiment 118th Pennsylvania Volunteers,62. 67 Stephen W. Sears, Landscape Turned Red. New York: Ticknor & Fields, 1994. 206. 68 United States War Department, The War of the Rebellion: A Compilation of the Official Records of the Union and Confederate Armies. Vol. 16: Part 2. Correspondence, Washington: Govt. Print. Off., 1880. 754. 29 all glaring examples of this shortcoming. The 123rd Illinois found itself in a similar predicament as the 128th Pennsylvania at Antietam, exposed and on its own, and fell victim to veteran Confederate troops bearing down on them. The 105th Ohio, equally as green, found itself thrown into the breach in the midst of the 123rd Illinois collapse. Private Ayre of the 105th remarked: "…could not form into a proper line and after going through several maneuvers in order to do so we became mixed and confused." In similar fashion to the 123rd Illinois, the 105th Ohio was quickly stampeded by their Confederate attackers. 69 Much like the inferiority of outdated weapons, untrained, raw troops could not perform to a tactically sufficient level to keep par with the rapid pace and constantly changing conditions of a Civil War battlefield. While plenty of experienced units did exist in the Union armies, it is clear the inexperienced ones created more problems, affording the Confederate forces golden opportunities to exploit immediate tactical advantages they likely would not have had, had they been fighting experienced, or even trained troops. On the other side of the coin, the copious amounts of raw units severely hampered any notion gaining a decisive victory or rapidly following up a pursuit. This is evident in the in the results of Antietam and Perryville, both of which were Confederate tactical victories, and the speed at which Lee and Bragg's armies were pursued. The armies' organization is important when looking to understand the advantages and disadvantages and how this affected a particular side's likelihood of victory. The experience level and the amount of subpar weaponry in both the armies of the Potomac and Ohio was only one issue, their organizational structure in both leadership and how its units were grouped confounded their problems and offered the Confederates another edge over their opponent pushing the scale further in favor in the equation of obtaining a victory. As previously stated, the 69 Stuart W. Sanders, Maney's Confederate Brigade at the Battle of Perryville, Charleston: The History Press, 2014. 53-54. 30 Army of the Potomac during the Maryland Campaign was a conglomeration of several different organizations. It contained the II, V, and VI Corps the original Army of the Potomac, the re-designated I and XII Corps, the Army of Virginia, and the newly dubbed IX that had served on the North Carolina coast. Although there were certainly experienced troops and leaders in each of these components, they each spoke a different organizational "language." 70 George McClellan certainly had the most difficult task of any field commander regarding the organization of his army. Not only did he have three different organizations to mold together as a cohesive fighting force, but he also had the additional struggle of doing it on the fly in a military and national emergency. Therefore, although the Army of the Potomac was a potent fighting force, and managed to engage the Confederates, its capabilities in terms of operational effectiveness were severely limited. Buell's circumstances were much more appealing. His Army of the Ohio had remained intact as a cohesive fighting force since its formation; however, he received additional reinforcements from Grant, and a host of new regiments, diluting its effectiveness as an organization. The Army of the Ohio's real organizational issues manifested in the senior leadership's quirks, rivalries, and lack of cohesion. 71 The use of cavalry in both McClellan and Buell's forces paled in comparison to the South. This issue stemmed from the Federal government's inability to recognize the importance of that specific branch early in the conflict. Overwhelmingly, the cavalry found its commands broken apart and scattered across the army, acting in various guard and staff related duties. Those commands retained to perform the primary tasks of nineteenth-century, reconnaissance, screening, and raids were too few and spread out to have any significant impact on the outcome 70 Hartwig, 133-135. 71 Steven E. Woodworth, Nothing but Victory: The Army of the Tennessee, 1861-1865. New York: Vintage, 2005. 216. 31 of the Maryland and Kentucky Campaigns. 72 Although they lacked in cavalry ability the Federals were unquestionably superior in artillery. Union guns, although far superior to that of the South were severely flawed organizationally in 1862. Circling back to the theme of different organizational structures in McClellan's force, the arrangement of this branch varied, causing communication issues, and leadership vacuums. In common with the cavalry, the prominent artillery structure in 1862 in both the Army of the Potomac and Army of the Ohio, lacked a unified system of command; instead, most batteries were the responsibility of brigade commanders or divisional commanders. Therefore, at critical moments batteries could only take orders from infantry commanders and were presented with the difficult task of coordinating mass firing on specific targets. 73 While it may seem trivial, such inefficiency in employment and "bureaucratic red tape" of military organization prevented the cavalry and artillery from performing at its maximum potential which no doubt contributed to the shortcomings of the Union armies in 1862. The Confederate military organization also had its flaws; however, as previously noted, the experience level of Confederate forces as a whole were much higher and able to adapt to a situation more efficiently. Partly this had to do with the smaller size of the forces overall, and the Confederate authorities' choice to disperse recruits and conscripts across seasoned units rather than raise new organizations. The cavalry of J.E.B. Stuart, John Hunt Morgan, and Nathan Bedford Forrest for instance were vastly superior to their Federal counterparts in every respect. These commands were led well, centralized, and overall contained extremely efficient horsemen, which had proven themselves time and again on the battlefield. 74 Confederate artillery was 72 Hartwig, 155-158. 73 Curt Johnson and Richard C. Anderson, Jr., Artillery Hell: The Employment of Artillery at Antietam, College Station: Texas A&M University Press, 1995. 53; Daniel, 146, 148-150. 74 Hartwig, 88-90; Hess, Banners to the Breeze, 24. 32 generally inferior in respect to quality of mechanics, yet, the branch retained a slight advantage over its foes in its organization. Lee's artillery was organized on the divisional level, allowing for easier deployment, and concentrated fire, as the Army of Northern Virginia, did not have a corps structure during this time, division commanders held greater authority in placement and employment of artillery. Furthermore, several groups of divisions fell under an unofficial "wing" structure, allowing Jackson and Longstreet to concentrate guns further. 75 Bragg organized his army different than Lee's army. Bragg operated with two wings or corps, broken down into several divisions. His army maintained an organized and effective cavalry force; however, their weakest point was the artillery. Only fifty-six guns accompanied the Army of Mississippi into Kentucky compared to Buell's 147 guns. These Confederate guns like the Federals were assigned to individual brigades, same as its Federal counterpart, eliminating opportunities to converge fire effectively. 76 Understanding the organizational structure of an army allows for a realistic understanding of what that force is capable of; how it moves in the larger scheme of a campaign; and the benefits and challenges of its employment on the tactical level. Assuming the forces involved were all organized in the same fashion, with identical structures is detrimental in interpreting the ebb and flow of battles and campaigns. A clear picture of how a field army operates through an organizational table is, therefore, paramount. Using Lee and McClellan as examples illustrate the nature of this point. In the Maryland Campaign, Lee was able to give more direct orders to independent division commanders, therefore reducing somewhat the natural confusion begot of transferring and disseminating orders through multiple tiers of officers. On the other hand, McClellan had to give orders to "wing" commanders, who then cut the orders to corps 75 Johnson, Artillery Hell, 41-47. 76 Noe, 370-373, 381-382. 33 commanders then down to the divisional level, doubling the amount of personalities the orders had to go through compared to Lee's forces. It is clear from watching the battles of Antietam and Perryville's tactical evolution that the commanding generals' intent was time and again ineffectually carried out due to communication breakdown and misinterpretation of orders on both sides. Having only scratched the surface of the organizational components of only four of the principal armies involved in the fall of 1862, it becomes clear that each differed in how it chose to conduct its internal operations. However, it is equally apparent from this brief examination, that Confederate forces in the fall of 1862 were better organized and tactically more efficient than their Federal counterparts in Maryland and Kentucky, therefore lending an edge to overall Confederate success and perhaps victory. Strategic Considerations: The strategic components are unquestionably the most important when ascertaining why the fall of 1862 was the Confederacy's high tide. Having looked at the political, logistical, and organizational components and internalizing how each affected the grand design of Confederate strategy in 1862, this section will now tie these components together and shed light on how each influenced strategic decision and guided the final results of the campaigns. A clear understanding of what strategy is necessary to further examine this section. Clausewitz defines strategy as: "the employment of the battle as the means towards the attainment of the object of the War." 77 The "attainment of the object" is the crucial cog in accepting the purpose and direction of operations in Maryland and Kentucky. The strategic composition of these campaigns was different in what they sought to obtain as their achievable goal. Lee's objective was political in its foundation; his 77 Clausewitz, 133. 34 campaign didn't revolve around the occupation of land or control of any specific feature; instead, it sought a climactic battle with a decisive battlefield victory in which Lee was willing to risk his army in a desperate gamble. 78 Bragg and Smith's Kentucky incursions were much more multilayered on an operational platform. While some sort of showdown battle was necessary for the west, it was not the immediate goal, only a potentiality; instead, the relief and re-establishment of Tennessee was paramount with a secondary objective of the "liberation" of Kentucky. The second tier of goals included the control of rail and river systems as a means to eliminate the Union's ability to supply its forces and occupy any portion of the Upper or Deep South. The most significant strategic gain for the South in 1862 existed in Tennessee and Kentucky. Proof of this importance is shown through the fact that six of the seven Confederate field armies would make this region their primary objective in the fall of 1862. These six armies included the commands of Generals' Braxton Bragg, Kirby Smith, Earl Van Dorn, Stirling Price, William Loring, and Humphrey Marshall. Confederate control and or occupation of Tennessee and Kentucky offered benefits and a platform for victory that the remaining Confederate states collectively couldn't offer. Having been the first state to fall under Federal control, Tennessee's recapture would be a major morale boost for the Confederacy nationally and particularly to the large amount of Tennessee regiments that made up Bragg's army. The most significant benefit, however, resided in Tennessee's industrial capability, as it contained the ability to produce more raw items for the war effort then the rest of the Confederacy combined. 79 Confederate control 78 Harsh, 25; OR, vol 19, 1: 598-599. 79 Connelly. 5-15. The importance of Tennessee to the Confederacy is undeniable. Connelly argues that the region was the largest concentrated area for the production of war materials in the Confederacy. The region by 1864 had produced 22,665 pounds niter. Additionally, the area contained a significant source of lead, and was the chief producer of gunpowder in 1861. Tennessee also contained a vast number of factories that repaired old weapons, manufactured new small arms, cartridges, percussion caps, and other equipment. By the fall of 1861, Nashville plants alone turned out 100,000 percussion caps daily, with some 1,300,000 caps produced weekly. The region boasted on the two major Confederate sources of livestock, the other being 35 would, therefore, help in stabilizing the struggling logistical and economic constraints faced in the South. Additionally, the state's rail system would allow for the re-establishment of a direct connection to North Carolina and Virginia and the ability to ship supplies and material to the Confederate forces in the east. Conversely, the loss of Tennessee would be a major blow to Union morale, as its loss would have undone and nullified the Federal campaigns in 1861 and early 1862. 80 Kentucky also offered significant gains for the South. It was generally believed, particularly by the Confederate government's higher echelons, that the majority of Kentuckians were sympathetic to the Southern cause and would rally to Confederate banners if field armies were able to move into the region and strategically hold it. Logistically Kentucky offered a substantial increase for the South, particularly in animals, forage, and transportation options. Like Tennessee, Kentucky contained major river systems and rail lines that would drastically increase movement for the South and partially cut off the mid-west states from the rest of the Union. Politically, Kentucky, a vital border state under Confederate control, could be crippling to Northern domestic and foreign political views. In theory, this political aspect played on a successful campaign in Maryland, another vital border state. More immediately, Kentucky offered the western Confederate armies an opportunity to turn the war from one of defense to one poising them on the edge of invasion of critical Northern states, Ohio, Illinois, and Indiana. Such a turn in the circumstances would be devastating for the Union, particularly politically. The Illinois town of Cairo on the Mississippi River, in 1862 was serving as the logistical launch point for the Union armies in the west; prolonged Confederate control of Kentucky would likely force the Shenandoah Valley in Virginia. More pork was raised in Tennessee save Missouri than any other state. Agriculturally, Middle Tennessee in 1860 produced an average of more than a million bushels of corn making it a leader amongst its sister states. 80 Connelly, 3-6. 36 the Federals to find an alternative method of supplying the troops in Corinth and other points in the Southern heartland. As long as the Federals controlled these regions, they would continue to pin the Confederacy in the Deep South denying them of access to vital infrastructure, maneuvering room, and favorable victory conditions. Braxton Bragg and Kirby Smith had to go on the offensive if they were to alleviate the situation by the very nature of the circumstances. As Lee's army with Richmond, their backs were on the doorstep of the Deep South, and they had no room to maneuver. Fortunately for the South, the western offensive was born out of an opportune moment of Halleck's caution that was strategically seized upon by Confederate commanders. In the necessity of the moment, launching an offensive like Lee during the Seven Days battles was the only beneficial option and a necessary risk if the war was going to be taken off the doorstep of the Deep South. Robert E. Lee on the other end of things saw himself and his army as the most important entity in the Confederacy at that moment. In his mind, the only scenario for Confederate victory rested in his hands alone. He showed this belief in dispatches and letters throughout the campaign in an effort to orchestrate movements across the Confederacy to complement his objective. In a letter to Jefferson Davis, he noted his desire to see his suggestion on what he felt Loring's command should do in the Kanawha Valley, in an effort to support his operation. 81 Lee did not stop with Loring; however, days prior, he communicated his victory at Manassas and planned offensive to Braxton Bragg and requested that Bragg pass the information along to Kirby Smith for further coordination. It was Lee's desire that these western armies gain similar victories to his at Manassas, that when added together may be enough to secure Southern 81 OR, vol 19, 1: 594. 37 victory.82 Lastly, he demonstrated his understanding of the confused state of Federal forces in Washington and the need to seize the initiative before the opportunity was lost. Like Kentucky, Maryland was a vital border state, not for its potentiality in resources, but rather for its geographic relation to Washington. Any serious Confederate incursion into the state would be life-threatening to the Union, and therefore demanded desperate measures on the part of Northern armies to repel such an advance. 83 Lee's leadership has been often criticized during the Maryland Campaign from historians and even shocked his subordinates, Jackson, and Longstreet. 84 Lee was certainly aggressive and was known for taking risks; however, he was not a foolish man, and never committed his army to a disaster, at least not one he foresaw. Comparing his stratagem throughout the rest of the war, it's probable to conclude that his movements were well thought out, with the least amount of risk generated from the objective demands of the campaign. Even in moments of reaction to McClellan, Lee always retained the initiative in Maryland. In the aftermath of Seconded Manassas and Chantilly, it was the opinion of many in both military and civilian leadership that a final showdown somewhere north of the Potomac River was all that was needed for Confederate victory. 85 If Lee was a poker player, he was taking his hand and going all in, he could only hope the Federals floundered. General Longstreet understood the gravity of the moment when he wrote: "When the Second Bull Run campaign 82 OR, vol 19, 1: 589. 83 Ezra A. Carman, The Maryland Campaign of September 1862, Vol. I: South Mountain. Edited by Thomas G. Clemens, El Dorado Hills, CA: Savas Beatie, 2012. 19-21. Carman was present at the battle of Antietam and dedicated his life to research and study of the Maryland Campaign in the post war years. Carman's work was able to capture not only the historical timeline of events, but offered an emotional aspect not seen in other works. This emotional component while subtle is an important tool in internalizing the mindset of Union soldiers and perhaps the North itself. 84 James Longstreet, Battles and Leaders of the Civil War, Edited by Ned Bradford. New York: The Fairfax Press, 1979. 265. Longstreet claims that aside from himself, that General Jackson was also taken back from the boldness of Lee's designs on the Maryland Campaign, while at a meeting in Frederick MD, September 9th. 85 Harsh, 60-63. Multiple historians have agreed on this point. James Murfin considered the battle of Antietam to be the most important battle in American history, and one of the most decisive in world history. Ezra Carman portrays the campaign as requiring desperate action for the North, while Scot Hartwig, Stephen Sears and James McPherson center on the political undertone. 38 closed, we had the most brilliant prospects the Confederates ever had. We then possessed an army which, had it been kept together, the Federals would never have dared attack." 86 Lee's confidence in his army was surely the determining factor in his choice to assume the offensive into Maryland, and no doubt behind his reasoning to push the army as hard as he did in the maneuvering and fighting that took place in Maryland. The General expressed his confidence in the men and the importance of the offensive in General Order No. 102. on September 4: "This army is about to engage in most important operations." He further outlines the necessity of respecting private property, and the desire for his commands to lighten their supply encumbrance to allow them to move quickly and efficiently. 87 When coupling the logistical and organizational shortcomings, the political factors reinforced by his troops' confidence and his in them proved to be the energy from which the Maryland Campaign was executed. The offensives themselves presented each of these commanders a complicated set of obstacles and decisions to overcome while ensuring they offered the best possible benefit to their cause with the least amount of risk towards their army. This is certainly one of the most challenging aspects of being a commander in charge of any offensive-minded campaign. Johnston at Shiloh, Burnside at Fredericksburg, Hooker at Chancellorsville, and Hood in Tennessee all failed to capitalize on this principle. The fact that Lee and Bragg achieved the scale of operational measures they did is a testament to their leadership and ability to seize control and direction of a developing situation. If the argument is to be maintained that the Maryland and Kentucky campaigns provided the South the best chance the South had of winning the war, then proof of this claim must lay within the strategic composition of the campaigns themselves. If taken in this context, then it must be understood that every move Lee, Bragg, and 86 Longstreet, Battles and Leaders of the Civil War, 263. 87 OR, vol 16, 2: 592. 39 Smith, along with the supporting roles of Loring, Marshall, Price, and Van Dorn were calculated if not on a grand scale, certainly on an individual level. Unlocking the purpose of the maneuvers, and their relation to strategic success will illustrate the continually changing dynamics and environment of each campaign, and how these generals continually altered their designs to fit the goals of their strategic objectives. The evolving strategic situation in the months leading up to the campaigns created the conditions under which the operations in Maryland and Kentucky were governed. Understanding the Confederate forces' strategic focus for needing to assume the offensive will outline the gravity and weight they placed on the outcome of these fall campaigns. The most measurable strategic potential in 1862 existed in the Western Theater. As already stated, the economic and logistical importance of this region necessitated an aggressive action on behalf of the South if the Confederacy was to survive. The first attempt at recovering control of Tennessee occurred in April with the battle of Shiloh. While tactically a Confederate failure, the aftermath of the fighting created adverse reactions from the Northern press and transposed into Halleck's overall cautious and slow pursuit towards Corinth. Halleck, after taking Corinth, was faced with limited choices on where to move next. Due to political and doctrinal restrictions of conciliation and Halleck's theory on war, the massive Union army was not able logistically to move into the Deep South. The only real move available to the Federal forces in the summer of 1862, was a lateral one east towards Chattanooga. 88 With Bragg at Tupelo and Kirby Smith's small command at Chattanooga, the path of success for an aggressive officer to take Chattanooga, a major supply hub for the South, was wide open. Halleck foiled this opportunity by sending Buell's command to accomplish the task. The slow-moving cautious Buell initially created consternation among 88 Daniel, 86. 40 Confederate leadership, yet once the pace of his progress was realized, the same trepidation turned into an opportunity. 89 Clausewitz described the potential for a reciprocal effect to take place should an army go on the offensive; however, he counterweighs that thought with pointing out that an army in a precarious position with the opportunity to gain a substantial amount should jump on the opportunity if one should be presented. 90 Certainly, Bragg and Smith applied a variation of this maxim into their decision to go on the advance. The term "invasion" is the defining ideology that bound both major theaters of war and other Confederate objectives in the fall of 1862. Clausewitz wrote that even if the complete overthrow of the enemy is impossible, which it was for the Confederacy, then the only other real option of winning a war is to conquer a portion of the enemy territory. In conquering the enemy territory, the invader has the opportunity to weaken the enemy's resources, crippling their ability to sustain an army. By carrying the war in enemy territory, the conditions will further the enemy's expense and ultimately lead to peace negotiations. 91 The term "invasion" generates a delicate question concerning what an invasion actually is, and how it fits into the American context, particularly in the political spectrum in 1862. Baron De Jomoni, whose military maxims were dominant in nineteenth-century America, distinguished what an "invasion" actually is. Breaking down the idea of an offensive, he wrote that: "…an invasion occurs against a great state whose whole or significant portion of territory is attacked. If only a province or moderate line of defense is attacked, then it is an offensive, and if such actions are limited only to a confined operation, then it is termed an initiative." 92 Indeed then, if taken in this context, 89 Connelly, 200-201. 90 Clausewitz, 707. 91 Clausewitz, 706. Neither of the primary Confederate armies had the ability to "conquer" Federal territory. However, the last part in reference to Clausewitz maxim was the adaptation applied by the Confederacy in its strategic goals. 92 Jomini, The Art of War, 54. The difference in the definition in understanding the purpose of the Confederate objective is critical. Many historians point to the Army of Northern Virginia's strategic goals as fitting into the framework of an 41 Confederate efforts militarily were an offensive and an invasion only in the political spectrum. Although the press and even the top military minds used the term invasion quite frequently in the North, there is nothing in the Confederate strategic framework of 1862, that fit the definition of invasion, Lee himself in a letter to Jefferson Davis on September 4, used the term expedition implying that his foray had a specific purpose and would be short. 93 Due to logistics alone, Confederate forces across the board could not sustain the long-term goals of an invasion. However, the Clausewitzian maxim of a "strategical attack" was within reach and achievable according to the conditional logistical framework. Much of the success for the Confederates relied on the superiority of its troops, and the avoidance of exhausting itself with an over achievement of objectives. 94 The window of opportunity was narrow, operationally because of logistics, but more importantly, because of politics. The two most significant benefits afforded to the Southern cause in 1862 were the Congressional fall elections and European superpowers. If Confederate forces could score a major political victory in the east, and both a strategic reversal coupled with a political coup in the west, then perhaps Northern voters would come to resent the war and vote for "Peace Democrats" in November, and more advantageously draw England and France in as mediators or some other influential role, to end the war. It is apparent that the pressure to act decisively if not at least aggressively before November was of paramount importance. While it is debated as to how far the European powers would intercede, what is certain is that the Confederacy banked part of its strategic decisions both politically and militarily on intervention. 95 Just as apparent was the frustration and delicate invasion, yet when looking at that particular army's logistics and Lee's strategic goals only the Jominian maxim of offensive fits the framework. 93 OR, vol 16, 2: 591-592. 94 Clausewitz, 601. 95 McPherson, 534-535. 42 statesmanship which had to be executed on behalf of the Union to convince the English mainly that the war was nothing more than a rebellion that the Republic could put down on its own. 96 However, this did not appear to be the scene in the late summer of 1862 with Union defeats and setbacks continually piling up. Lee retained the initiative by keeping the enemy guessing what his next move and true objective was. According to Henry McClellan, J.E.B. Stuart's adjutant, that as late as September 13, Federal forces maintained the: "utmost uncertainty regarding Lee's movements and intentions." 97 Lee designed his army's movements to draw out the Federals from Washington. By crossing at Leesburg, his army was initially east of the Catoctin Mountains and a direct threat to Washington and Baltimore, it was this crossing point that directly forced the disorganized Army of the Potomac to leave the defenses prematurely, and more importantly to force Lincoln's hand in placing McClellan back in overall command. 98 The key to the Army of Northern Virginia's movements was speed and mobility, thus the reasoning for Lee's series of orders, which included provisions for shoeless Confederates to remain at Winchester, a lightening of supplies, and an insistence that straggling be strictly forbidden. Lee's next major objective after crossing the Potomac River was to move on Frederick. A Confederate presence in a substantial pro-Union area was a direct insult to the North, and would only further press the Army of the Potomac to hurry faster in order to "repel the invasion" and "save the nation"; while most importantly for the Confederates, continually limit the progress of McClellan organizing his army into a capable force on the battlefield. 96 Nelson, 163-168. 97 H.B. McClellan, The Life and Campaigns of Major-General J.E.B. Stuart: Commander of the Cavalry of the Army of Northern Virginia, Edison: The Blue & Grey Press, 1993. 113. 98 Harsh, 98; OR, vol 16, 2: 604-605. Letter from Lee to Davis on September 12 justifying is reasoning for crossing his army east of the mountains. 43 Lee's grand strategy was working so far; his movements northward from Richmond had stripped the Atlantic states of their Union occupiers to concentrate on Lee's Confederate force, while at the same time sending the Federal strategy of war into complete chaos as they scrambled to deal with the offensive. Lee believed that if he launched an unrelenting offensive, the Federals would be compelled to abandon their widely scattered smaller campaigns, which were gradually eating away the frontiers of the Confederacy; and, as a result, be forced to concentrate their columns in response to his initiatives. 99 Lee's movement into the western part of the state, via Frederick and into the Middleton and Pleasant valleys, opened the Shenandoah Valley up momentarily, which assisted Loring's advance in western Virginia, by isolating the small Federal commands in that region. In addition to freeing up Loring to make an offensive, Lee's army in western Maryland split the Federal war effort in half. The Army of the Potomac was now confined in environs around Washington, while Federal forces in the Western Theater had no direct route to reinforce McClellan. 100 The simultaneous advance of Lee, Loring, Marshall, Smith, and Bragg effectively drove a wedge between the Union field armies, while Price and Van Dorn's forces kept Grant fixed at Corinth. 101 Bragg and Smith's columns made their march through eastern and middle Tennessee and into Kentucky at an incredible speed, leaving Buell's army to have to hustle to catch up. 102 Kirby Smith realized the opportunity in front of him early on and moved his men forward roughly the same time Lee's men were preparing to destroy John Pope's forces near Manassas, beginning the Kentucky Campaign. Union Brigadier General George W. Morgan's command held the vital Cumberland Gap, which historian Earl Hess christened the "Gibraltar of the West." 99 Harsh, 116. 100 Hartwig, 162-163. 101 Harsh, 96-97; Hess, 31-35. 102 Hess, 57,62,64. 44 The Gap itself served as a platform for the Federals to invade East Tennessee, and as long as it remained in Federal hands, the Deep South, particularly Chattanooga and Atlanta, would be under constant threat. 103 Reducing this garrison was the first lynchpin in breaking Federal control and regaining Tennessee for the South. Smith, now free to maneuver feinted around the gap and threatened the supply lines, forcing a Federal withdrawal; he then turned his legions northward and moved into Kentucky. Smith moved through the eastern part of the state and pushed Heth's division as far as Covington, directly across from Cincinnati, sending that city and southern Ohio into a panic. 104 With Smith's small army running almost unmolested in Kentucky, Bragg's larger army moved through Middle Tennessee via Sparta feinting towards Nashville, forcing the Federals to concentrate there, while strategically widening the gap between Buell's command and Southern forces in Kentucky. Bragg, before departing to Chattanooga, left behind roughly 35,000 men in two separate commands under generals Stirling Price and Earl Van Dorn. These commands had a twofold objective. Their primary objective was to contain the Army of the Tennessee at Corinth, and once Bragg and Smith were in position, launch an offensive of their own against Grant, defeat him, and then rapidly march to connect with Bragg's army. 105 Bragg and Smith exposed the weakness in the Federal policy of limited war with its preoccupation of taking landmarks and reliance on cumbersome supply lines and within less than a months' time-reversed almost a year of Union progress in the west, in respect to subjugating the Upper South. Unlike John Bell Hood's offensive into Tennessee in late 1864, which, while certainly an emergency, did not deviate Sherman from his plans of marching to the sea. 106 In 103 Hess, 7-8. 104 Volpe, "Dispute Every Inch of Ground", 141. 105 Noe, 29. 106 Eric A. Jacobson and Richard A. Rupp, For Cause and for Country: A Study of the Affair at Spring Hill and the Battle of Franklin, Eric A. Jacobson, 2013. 42. 45 1862, this simply was impossible for Federal forces. Sherman operated under a "hard war" doctrine that allowed him to subsist off the land and changed his objective from key city centers to making war on the Southern people, through the destruction of their local economy, food subsistence, and ability subsist in a normal capacity. 107 Sherman effectively narrowed the war to the immediate doorstep of the Southern People. As a result the individual citizen was forced to deal with their own survival, and naturally the bigger picture of the Confederacy became less important. Union forces in 1862 did not have the same conditional framework, and by default, would be forced to pursue any Confederate force and meet it on the battlefield. Even though the fall of 1862 didn't produce the hoped-for victory conditions, strategically, the Confederates were more successful in this period than at any other part of the war. The results of this success were more apparent in the Western Theater than in the east. However, certain components in the Eastern Theater changed as well. The most significant measurable success emerged in time bought for the Confederacy, and a prolonged timetable for the Northern plan of war. In the summer, Federal plans in the west called for the capture of Vicksburg and Chattanooga, the latter of which was in progress when the offensive started. 108 It is highly probable that if able, the Federal forces would have moved on Vicksburg in the summer of 1862, and perhaps forced its capitulation much sooner. 109 However, this is only speculation, yet, the reality is this operation was certainly delayed by the events that occurred in Kentucky and the aggressive nature of Price and Van Dorn. Kentucky was only one variable in stymieing the Federal drive toward Vicksburg. Just as important were the aggressiveness of Price and Van Dorn at the battles of Iuka and Corinth in October. Although Confederate defeats, the outcome of 107 Charles Royster, The Destructive War: William Tecumseh Sherman, Stonewall Jackson, and the Americans, New York: Alfred A. Knopf Inc. 321-328. 108 McPherson, 511-512. 109 Woodworth, Nothing but Victory, 243-244. 46 these battles managed to temporarily check the Federals, prompting an end to any realistic campaign season in Mississippi. At least for the foreseeable future, the Mississippi River remained open by way of Vicksburg, and Union strategy incomplete, in which case was Price and Van Dorn's big contribution. 110 Bragg and Smith failed to hold Kentucky and or convert her into a Confederate state. However, as the logistic concerns show, the state's complete occupation, with the available forces, was genuinely impossible. In all the engagements that had taken place, the Southerners had the better day. Kirby Smith's army completely routed Federal forces at Richmond in August, and Bragg's army captured the garrison at Munfordville. Before and during the campaign John Hunt Morgan's cavalry had wreaked havoc in Kentucky, capturing supplies, disrupting communications, and pushing to the Ohio River virtually unchallenged. 111 Even Kentucky's principle battle at Perryville was the better day tactically for the Confederates. More than anything, Kentucky showed the weakness of Buell, limited war, and the Union's inability to protect vital territory adequately under a conciliation policy. While in the end Bragg and Smith left, they did so generally unmolested, which showed Buell's unwillingness to fight another pitched battle. Therefore, this aftermath was certainly nothing for the Union to be proud of. In truth Buell did not drive Bragg and Smith out of Kentucky, rather the limitations of logistics and the realization of strategic objectives forced the Confederates back to Tennessee. 112 Although Braxton Bragg is surrounded by much controversy and sharp opinions on his leadership capabilities, one must look past emotion and see the facts as they present in the strategic element. While indeed, the Confederates failed to hold Kentucky, they did succeed in 110 Woodworth, 239-240. 111 Hess, 12. 112 Noe, 333. 47 regaining portions of Tennessee. In particular, Middle Tennessee by way of Murfreesboro, which sat astride the Nashville and Chattanooga Railroad, and was seen as the key to the wealthy Stone, Duck, and Elk River valleys. 113 Historian Thomas Connelly pointed out, which was already previously noted, that Tennessee was by far the most critical state in terms of manufacturing to the South. Although the entire state wasn't in Confederate hands, over two-thirds of it was, and most importantly, the opportunity to secure the very vital Nashville and Mississippi River corridor remained a possibility for a future campaign. 114 The primary focal point in the interpretation of the Kentucky Campaign is the Confederate failure to remain within that state. However, the key phrase narrows down to opportunity and potential. If taken in this context, the Confederate forces in July were backed into a corner. However, come October, these same forces had managed to throw the Federal forces off balance and regain a significant portion of lost territory, changing the entire atmosphere and flow of the Western Theater. In short, the success of the Kentucky Campaign is that it allowed the Confederates to move from the verge of defeat to a position where the fate of the Western Theater was up in the air, which only a decisive campaign would bring to a conclusion. 115 The fall of 1862 was the last chance the Confederates had at securing Tennessee permanently during the war. While the Western Theater was more significant in terms of strategic gain and leverage, the Eastern Theater added its own momentous shift in the flow of events. Unlike the west, the Eastern Theater was very narrow, as it existed in the space between Richmond and Washington. In strategic terms, the region was harrowing regarding maneuvering room and logistical sustainment. In one sense, Lee and his army were successful in pushing the Army of the Potomac 113 Peter Cozzens, No Better Place to Die: The Battle of Stones River, Chicago: University of Illinois, 1990. 8. 114 Connelly, 16-22. 115 Cozzens, No Better Place to Die, 12-14; Hess, 116. 48 away from the gates of Richmond, along with wrecking the Army of Virginia, while lastly temporarily clearing the smaller theaters, such as the coast and Shenandoah Valley of Federal forces. 116 While this situation may have provided an opportunity in the west, it meant little or nothing in the east. The fact is, Lee understood his primary objective either consisted of breaking the Northern will to fight through battlefield victory or by the complete destruction of the Union army. 117 Lee's primary objective in Maryland was to bate the Federal forces into a showdown fight. He was successful in this mission by just crossing over the Potomac River. The location of Washington in the southern portion of Maryland across from Alexandria made an incursion in Maryland a threat for the Federal government. 118 Unlike the west, where a fair amount of effort was required for Bragg and Smith to march their armies the distance required to Kentucky, the Army of Northern Virginia did not have to move far to accomplish its mission. Another key component to Lee's strategic objective was the lack of overhead in its long-term goal. Unlike the Western Theater, there was no pressure for Lee to specifically secure any particular region, as the Confederacy in the east had not lost any of its production capabilities nor any significant amount of land to Federal occupation. Therefore, the Confederate movements' direction wasn't necessarily guided by a specific purpose, but rather by the necessity of strategic gains which were designed to draw out the Army of the Potomac in a state of haste and unpreparedness. However, whereas the Kentucky Campaign had different aspects of measurable success, the 116 Harsh, 19-20. 117 Murfin, 63-64. 118 Harsh, 23; Murfin, 36-40; McPherson, 555-556. All the major historians who focus on the Maryland Campaign point to this as a major component to deterring the outcome and purpose of Lee's strategy. 49 Maryland Campaign had none, only a single purpose that demanded a climactic clash to determine its outcome. 119 At no other point in the war did Lee have such an advantage and control of the initiative. Arguably, his combination of subordinate officers was the best in their position as a whole than at any other point. His army was operating off a long track of victory, the length of which they would not experience again. 120 And most importantly, the Maryland Campaign was truly the only time in which Lee would have direct control of the flow of events; in Richmond, he had acted out of desperation, in Northern Virginia, Fredericksburg, Chancellorsville, the Overland Campaign and Petersburg he counteracted his opponents moves, and at Gettysburg, he committed to a battle that was dictated by the Federals. In September of 1862, Lee was the composer of the campaign and the master of ceremonies, he and he alone decided when and where the climactic battle would be fought. 121 All too often, the argument arises that the Army of the Potomac moved quicker than Lee expected, and caught him off guard, forcing him to settle and fight an unprepared battle at Sharpsburg. This theory would make sense if Lee's strategic objectives were multilayered like Bragg or Smith. Nevertheless, this theory doesn't match up to his sole objective of a decisive engagement. As seen with logistical circumstances, Hagerstown was likely the limit for the army in terms of range, Lee, therefore, had decided to make the principle stand somewhere in that area. 122 Two factors make this apparent, the choice to reduce Harpers Ferry and Martinsburg, which are necessary for military doctrine, and the choice to have the army lay around Frederick 119 OR, vol 16, 2: Correspondence between Robert E. Lee and Jefferson Davis, September 8, 1862; Harsh, 119; Alexander, Fighting for the Confederacy, 139. 120 Hartwig, 126-127. 121 Harsh, 57-59. 122 Carman, The Maryland Campaign of September 1862, Vol. I ,108-111; Harsh, 190; Hartwig, 116-117; Murfin, 113. All of these sources for reasons ranging from realistic logistical concerns to Lee's strategic initiative point towards the area of Hagerstown as the realistic goal of the Confederate offensive. 50 for several days. 123 If the plan had been to fight somewhere else or keep the Federals at a distance, these two factors fit the mold. The truth is that Lee wanted a fight, and he wanted it quick, the geography of Western Maryland affords a great opportunity to a defending army, which was Lee's primary tactical vision. 124 Looking at the scope of the Army of Northern Virginia's movements in the campaign, there a few abundantly clear facts that warrant Lee's strategic designs. It's already been stated that Lee's intention was to draw out the Army of the Potomac, which he did by simply crossing into Maryland, and ushered the emergency by crossing east of the mountains. 125 The next key was the layover or taunting of the Federals by having his army remain in Frederick for several days. The decision to reduce the Harpers Ferry garrison, while militarily necessary, also doubly acted as part of the "national emergency" which further put pressure on McClellan and his army to move with haste. 126 The battle of South Mountain, while a Confederate defeat, opened the way for the Federals to move over the range and meet Lee on the ground of his choosing. 127 South Mountain is interesting, particularly for strategic reasons. The choice to leave one division under D.H. Hill to hold the three passes stretched over ten miles indicates that Lee didn't intend to stop the Federals there and expected them to take the position. A decisive battle along the South Mountain range would not have been beneficial for Lee to meet his objectives. His army would not have been able to counterattack effectively due to terrain, and maneuvering room would have been limited. Although Lee initially considered scrapping the campaign due to the longer than expected siege of Harpers Ferry, once the garrison did fall, he was able to 123 Harsh, 147-150; Hartwig, 211-212, OR, vol 16, 2, 603 (Special Orders 191) 605-608. 124 Allan, 201-205; Harsh, 98-99; Marshall, 148-150. 125 Marshall, 146. 126 Brian Matthew Jordan, Unholy Sabbath: The Battle of South Mountain in History and Memory September 14, 1862, New York: Savas Beatie, 2012. 80-85. 127 Jordon, Unholy Sabbath, 301. 51 concentrate his forces in the area of Sharpsburg. 128 It may not be that Lee specifically wanted to fight at Sharpsburg, but the lay of the land and the tactical and strategic components of it, offered natural terrain on which to fight a decisive battle. 129 The Antietam battlefield offered several very strong defensive opportunities. First was the Antietam Creek, which was wide and deep enough to stop infantry from crossing unless over a bridge. The terrain, particularly on the southern end of the battlefield, is very suitable for a defending force, along with the ground near the center of the battlefield. On the northern end, the terrain is its weakest for defense; however, the entire battlefield, especially the northern end, is very suitable for artillery employment. Lee's position at Antietam Creek was without question formidable. 130 Whereas the events in Kentucky were one of maneuver, Maryland hinged on the tactical climax. Therefore, both forces needed to clash and soundly defeat the other to end the campaign. The battle of Antietam itself ended in a draw, and the opposing lines virtually remained the same. 131 Having realized the day after the engagement that McClellan wasn't likely to attack again, and understanding that his position offered no benefits for his army to attack, Lee promptly withdrew back into Shepherdstown, Virginia, (West Virginia) intending to regroup his army and re-crossing the Potomac River near Williamsport to again sue for a decisive battle. The Confederate's were blocked by several determining factors though, the two primary factors being McClellan's choice to move the VI Corps north towards Hagerstown to block a crossing, and a large amount of straggling that has taken place since the start of the 128 Allan, 320. 129 Harsh, 301-303. 130 Phillip Thomas Tucker, Burnside's Bridge: The Climatic Struggle of the 2nd and 20th Georgia at Antietam Creek, Mechanicsburg: Stackpole Books, 2000. 47-54. 131 Ezra Carman, The Maryland Campaign of September 1862, Vol. 2: Antietam. Edited by Thomas G. Clemens, El Dorado Hills, CA: Savas Beatie, 2012. 501. 52 campaigning that had severely reduced Lee's army from upwards of 70,000 men down to roughly 45,000. 132 While Lee did not thrash McClellan's army at Antietam to the extent his strategic objectives called for, the opportunity for a Confederate political victory was not entirely gone. In fact, Lee's offensive convinced Britain and France that Northern armies could never restore the Union, and they contemplated mediation, which would have constituted de facto recognition of the Confederacy. 133 Moving away from the narrow view of Lee and Maryland it is important to note that Bragg's army had achieved a significant victory on September 17 at Munfordville the same day the battle of Antietam was raging. While Lee's army was more or less locked in a stalemate in Maryland, the western Confederate forces still very much retained the initiative in Kentucky. If a successful outcome in Kentucky occurred, perhaps that would be enough to enhance the stalemate at Antietam into a negative outcome for the Union. 134 Lee did not wait in position along Antietam Creek, for events to develop in Kentucky, he didn't have to. By simply moving back across the river and McClellan's inability to pursue for logistical reasons, Lee still very much posed a serious threat, especially with re-crossing into Maryland if need be. Looking at the outcome of the Maryland Campaign and the factors involved in the forces' genetic composition, Lee's army achieved all that could reasonably be expected of it. Certainly, due to its size, it would be impossible to annihilate the Army of the Potomac, yet, by remaining together and gaining the tactical victory, that would have to be enough. 135 132 Murfin, 306. 133 McPherson, 546. 134 Earl J. Hess, Braxton Bragg: The Most Hated Man in the Confederacy, University of North Carolina Press, 2016. 63. 135 Ezra Carman, The Maryland Campaign of September 1862. Vol. III: Shepherdstown Ford and the End of the Campaign. Edited by Thomas G. Clemens, El Dorado Hills, CA: Savas Beatie, 2012. 20-21. 53 Truly then the lynchpin of the 1862 Confederate offensive rested on the shoulders of Bragg and Smith. 136 Lee's offensive and climatic battle of Antietam would have held little or no importance if the events west of the Appalachian's hadn't been taking place in the manner they were. The ultimate failure of Bragg and Smith in Kentucky was their inability to link their armies together. The process involved in making this happen didn't occur until it was too late. 137 Regardless of why this juncture of uniting these armies didn't occur, the important point was that they retained the initiative until the battle of Perryville. Unlike Lee, Bragg and Smith didn't necessarily have to defeat Buell or Wright's local forces, but rather they just needed to exist in Kentucky. Smith's forces had cleared out Morgan and what pitiful resistance Wright was able to scrape together. Buell's army lingered exhausted and timidly in the western part of the state. Bragg and Smith controlled in theory over two-thirds of the state in the last weeks of September into October. 138 The high tide of the Confederacy occurred not at Antietam, but in the days before Perryville. Up until this date, the South had been successful in relieving Richmond, Chattanooga, Vicksburg, the Carolina coast, Shenandoah Valley, western Virginia, and Northern Virginia of any significant Federal occupation, or military operations. The Confederate armies were at its maxim of manpower, at least in theory, if not in actual employment and contained men who were wholly more experienced than their counterparts. Most importantly, the South had been successful universally of maintaining a Confederate wide offensive initiative. When looking at the battles of South Mountain, Richmond, Munfordville, Antietam, and Harpers Ferry, only 136 Hess, Braxton Bragg, 64. 137 Noe, 328-329. 138 Daniel, 128-129; Hess, 62-64; Noe, 104. 54 South Mountain had been a Federal victory and Antietam a draw, while the rest were complete decisive Confederate victories. The battle of Perryville long considered the principal battle of the Kentucky Campaign was neither decisive nor climatic. 139 The battle itself was fought only by portions of the armies, on ground that held no real strategic value to the overall goals of the campaign. However, the legacy of Perryville resides in Bragg's choice to withdraw his army from Kentucky in its aftermath. Leaving aside Bragg's personality, leadership issues, and his subordinates, the important aspect to look at is what was actually accomplished by his army. It's already been stated that Bragg and Smith's offensive knocked the Federal plan of war back a few pegs and opened up at two-thirds of Tennessee for the foreseeable future. Confederate goals upon entering Kentucky were unclear and varied in design between Bragg and Smith. 140 Perhaps the largest draw was establishing the state as Confederate, which they quickly understood wasn't a popular option amongst the people. That being the case, Confederate field armies could only subsist for so long in hostile territory until they would, by necessity, be forced to withdraw to friendly Tennessee. 141 Therefore, without the support of the majority of Kentuckians to endorse a Confederate government, the continuation of a Southern army within the state offered no benefit to the Confederacy. 142 Bragg and Smith's only true strategic failing was their inability to link together and deliver a decisive blow against Buell. If looked at in the context of the genetics of an ocean wave, the advance into Kentucky was the last little bit of the wave that rolls into the edge of the beach. It neither has the momentum nor the power to damage anything of significant strength. However, the break or 139 Noe, 343. 140 Hess, 56-57. 141 Connelly, 228; Noe, 334. 142 Noe, 336. 55 impact of the wave that occurs just before hitting shore tends to denote the power of the temporary effects inflicted within that particular wave's life span. Sticking with the ocean wave analogy, the Confederate wide offensive in the fall of 1862 was the last ocean wave before the tide changed. The lifespan of the Confederacy would perish in the calm time between the next high tide. Conclusion: The interpretations of the Civil War, its key moments, critical players, and even the purpose of the conflict, vary in many different extremes, platforms, and algorithms. Surely there were other critical moments of the war, in which the Confederacy could have theoretically changed the outcome or moments in which Union forces could have ended the war much sooner. The progress of the war is a fascinating storyline of complete unpreparedness through a series of excruciating growing pains that led to the high efficiency of conducting war. Looking at the grand scope of the conflict, particularly the logistics of the opposing sides, even the most novice student of the struggle can recognize that the Confederacy was severely behind in every aspect and shouldn't have waged war. 143 However, the fact remains they did, and the reality is any Southern hope for victory resided in the slowness, unpreparedness, and political deadlock of the North's ability to wage war. The true window in which to view why the fall of 1862 was the Southern high tide occurs in the aftermath of the campaigns themselves. The first and most critical component was the issuance of the Emancipation Proclamation. The bold political move forever changed the direction and intent of the war. For the South, it had devastating consequences, as it eliminated 143 McPherson, 312-316. 56 any dream of European intervention, and essentially made the Confederacy an island left to its own. The proclamation also bled into the second crucial component, which truly had its roots at the beginning of 1862; however, it had become fully developed by the closing days of 1862, and that is the abandonment of "limited war" principals and the acceptance of "hard war" doctrine. 144 Militarily the South would never mount such a broad offensive again nor one with so much potential to gain from it. Lee's Pennsylvania Campaign in 1863, while more famous, did not have the potential as nine months prior when he crossed into Maryland. 145 Lee in June of 1863 was acting independently, while Confederate armies in the west were giving ground rapidly and losing Vicksburg. 146 Even with Confederate victory at Chickamauga, Bragg nor his predecessors could ever mount an effective counterthrust to regain vital Tennessee. 147 Hood's Tennessee Campaign in 1864 offered the closest opportunity; however, his cause was pyrrhic and traded the destruction of Georgia for the hope of gaining Tennessee. 148 The commencement of the Overland Campaign in 1864 saw the end of Lee's ability to mount a counterattack that had won for him on previous battlefields. With his numbers dwindling, and the Union's production capabilities at its height, continuing supply of reinforcements, and Grant's power to coordinate multiple armies upon Lee, forced the Confederate leader to dance to the tune of Grant's strategy. 149 144 McPherson, 567. 145 Coddington, The Gettysburg Campaign, 4-8. 146 Edwin C. Bearss and J. Parker Hills, Receding Tide: Vicksburg and Gettysburg the Campaigns that Changed the Civil War, National Geographic Society, 2010. 266. 147 Steven Woodworth, Six Armies in Tennessee: The Chickamauga and Chattanooga, Lincoln: University of Nebraska Press, 1998. 144. 148 Jacobson, For Cause and for Country, 524. 149 Gordon C. Rhea, The Battle of the Wilderness May 5-6, 1864, Baton Rouge: Louisiana State University Press, 1994. 9-10, 12-13, 22. 57 The Maryland and Kentucky Campaigns were episodes that the Union could not afford to lose. Certainly, Union armies, especially in the east, met multiple setbacks, defeats, and disasters throughout the war; however, a loss at this critical juncture in each theater would have produced devastating consequences from which the North could not recover. The brilliance of these campaigns resides in the fact that neither side could afford a negative outcome, and a victorious outcome for either side had the power and capabilities to change the entire trajectory of the war. The Maryland and Kentucky Campaigns do not have a true decisive victor in respect to the definition, yet, the rate at which the Union declared victory and the rapidity with which it instituted new measures both politically and militarily showed the emergency the events in the fall of 1862 produced for the North. 150 An acceptance of that notion coupled with political density, logistical pitfalls, organizational hurtles, and strategic objectives, will clearly indicate that the fall of 1862 in the course of the Maryland and Kentucky Campaigns, along with their supporting offenses was the high tide of the Confederacy, and the moment the Civil War changed trajectory in both political and military senses, which was the beginning of the Confederacy's defeat. 150 Muehlbauer, Ways of War, 197-200. 58 Bibliography Secondary Sources: Anderson, Nancy Scott and Dwight Anderson. The Generals: Ulysses. S. Grant and Robert E. Lee. Avenel: New Jersey, 1987. Bearss, Edwin C. and J. 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Issue 53.4 of the Review for Religious, July/August 1994. ; Christian Heritages and Contempora~ Living ~ JULY-AUGUST 1994 ¯ VOLUME: 5:3 . Nrt~MBER 4 Review for Religious (ISSN 0034-639X) is published bi-monthly at Saint Louis University by the Jesuits of the Missouri Province. Editorial Office: 3601 Lindell Boulevard ¯ St. Louis, Missouri 63108-3393. Telephone: 314-535-3048 ¯ Fax: 314-535-0601 Manuscripts, books for review, and correspondence with the editor: Review for Religious ¯ 3601 Lindell Boulevard ¯ St. Louis, MO 63108-3393. Correspondence about the Canonical Counsel department: Elizabeth McDonough OP ° P.O. Box 29260 ¯ Washington, DC 20017. POSTMASTER Send address changes to Review for Religious ¯ P.O. Box 6070 ¯ Duluth, MN 55806. Second-class postage paid at St. Louis, Missouri, and additional mailing offices. See inside back cover for information on subscription rates. ©1994 Review for Religious Permission is herewith granted to copy any material (articles, poems, reviews) contained in this issue of Review for Religious for personal or internal use, or for the personal or internal use of specific library client~ within the limits outlined in Sections 107 and/or 108 of the United States Copyright Law. All copies made under this permission must bear notice of the source, date, and copyright owner on the first page. This permission is NOT extended to copying for commercial distribu-tion, advertising, institutional promotion, or for the creation of new collective works or anthologies. Such permission will only be considered on written application to the Editor, Review for Religious. review for religious Editor Associate Editors Canonical Counsel Editor Assistant Editors Advisory Board David L. Fleming SJ Philip C. Fischer SJ Regina Siegfried ASC Elizabeth McDonough OP Jean Read Mary Ann Foppe Joann Wolski Conn PhD Mary Margaret Johanning SSND Iris Ann Ledden SSND Edmundo Rodriguez SJ David Werthmann CSSR Suzanne Zuercher OSB Christian Heritages and Contemporary Living JULY-AUGUST 1994 * VOLUME53 ¯ NUMBER4 contents 486 feature LeadErship a New Way: If Christ Is Growing in Us Janet K. Ruffing RSM proposes that a task of religious leadership is to integrate a personally appropriated Christ mysticism with historical consciousness and liberationist praxis in a way that is consonant with feminine experience. 498 5O7 traditions An Introduction to Orthodox Spirituality Peter J. SanFilippo presents the doctorine of theosis, the deification of the human person, as the heart of the ascetical spirituality of the Orthodox Church. Yoga, Christian Prayer, and Zen Ovey N. Mohammed SJ compares the praxis of contemplation in yoga and Zen Buddhism with Christian prayer, especially the Spiritual Exercises of St. Ignatius Loyola. 524 The Ignatian Spiritual Exercises and Jesuit Spirituality Frederick E. Crowe SJ presents an understanding of St. Ignatius's Spiritual Exercises that distinguishes them from Jesuit spirituality while clarifying their relationship to Jesuit spirituality or any other kind. 534 The Suscipe Revisited Joan Mueller OSF explores various applications of the Ignatian prayer "Take and receive" within the dynamic of the Spiritual Exercises. 544 holiness The Cross Yesterday and Today Robert P. Maloney CM presents a synthesis of the understanding of the cross in the spirituality of Vincent de Paul and Louise de Marillac in the light of contemporary theology. 482 Revieva for Religious 560 568 Fascination with the Holy--and Conversion Annette M. Pelletier IHM postulates a fascination with the holy which justifies religious life and which demands a response of conversion. Merton's Spirituality of Place Wayne Simsic explains the importance of stability of place as an anchor for spiritual growth in the writings of Thomas Merton. 584 prayer and direction The Future of Spiritual Direction Tad Dunne raises eight issues which need to be addressed if spiritual direction is to be an effective ministry in the church. 591 A Vision Revision about Distractions Harold F. Niedzwiecki OFM points out that a way of integrating prayer and our daily routine is to see God in our environment as well as beyond it. 597 6O5 ministry formation Nonviolence and Christian Moral Responsibility Pa~ricia McCarthy CND presents nonviolence as so integral to Jesus' way of life that it takes its place as a part of Christian moral responsibility. Holy Land Pilgrims and Ministry to Them Anne Hennessy CSJ makes some helpful suggestions for Catholic pilgrims to the Holy Land at~d identifies four situations .dxich call for ministry attention. 617 report Santo Domingo Assembly: An LCWR/CMSM Report departments 484 Prisms 622 Canonical Counsel: Religious and Human Promotion 629 Book Reviews a~ly-August 1994 483 prisms L its spring meeting, the Review for Religious Advisory Board raised some concerns that we hope interested writers might explore in future arti-cles. For example, there remains much interest in and rea-son for writing about charism. Besides the fundamental norm of gospel discipleship around Christ, the founders or inspirers of various consecrated lifeforms, their personal history and example, the original rule of life, and the spe-cial founding charism are still the essential sources for contemporary renewal. Often we image the charism spe-cial to each religious foundation as something that we have to recover in its original purity if we are to move forward while being true to ourselves. Yet many religious groups seem to have experienced that a return to such a pristine notion, of a founding charism may not be the most effective road to' renewal. When relig!ous men and women--after, in many instances, arriving in the United States from European foundations--received some of their formation from the needs and ethos of this land, some incarnate charisms began to look quite different from their European form. For example, monastic foundations, especially of women, were so drawn out into educational or other service areas that the actual lived grace (the charism) evident in the members' lives took a different cast. Certain aspects of monastic spirituality were blended into the later spiritu-alities called apostolic. Sometimes the blending was less like a healthy grafting than like two plants sharing the same pot. When Vatican II called for a return to the sources, some North American religious may have been too quick to seek a purity of charism instead of examining 484 Review for Religious the grafting or the twinned growth that distinctly showed life, however poorly understood or oddly proportioned. We would seem to have a good number of religious congregations that might better be described as having a "blended charism" of a couple spiritual traditions rather than the purity of, say, a Benedictine, Franciscan, or Jesuit charism. Perhaps part of the frustration of renewal is a religious group's attempt to identify a charism by its root rather than by its stalk, leaves, and full flowering evident in their lives. We believe that phenomena like.these might be prof-itably explored. Along the same line, articles which briefly explain how our various spiritual heritages respond to contemporary living have great interest for many people. Back in the early fifties, Review for Religious printed six or eight articles of this kind. The time appears ripe for a similar series. Another area that might bear examination is the apparent paralleling of 50- and 60-year-old Catholics being the active, committed parishioners and religious in contrast with the 20-, 30-, and even 40-year-old Catholics being "affiliative" persons (less flatteringly, "supermarket" Catholics and religious) picking and choosing among the prac-tices which incarnate our faith and its counterpart, religious life. We also might want to pursue these questions. Given min-istry's growing professionalization, do we need to examine more carefully the importance of an intimacy in the Christian-ministry relationship in place of "client-centered" imaging? When is incul-turation a surrender to a culture's racist, sexist, or otherwise dis-torted values, and when is it a demonstration of respect for a heritage that is opening itself to Christian values? At our April meeting we welcomed Brother David Werthmann CSSR to the Advisory Board. He has served as novice director for the Redemptorist provinces of the western United States for six years and as a member of the national board for the National Assembly of Religious Brothers (1987-1993). He is now director of Vincent House, an in-home volunteer program serving per-sons living with AIDS in St. Louis, Missouri. He is a contribut-ing author to the recently published book Blessed Ambiguity: Brothers in the Church. Our appreciation and gratitude go with Brother Se~n Sammon FMS, a founding member of the Board, as he begins service as vicar general of the Marist Brothers in Rome. ¯ David L. Fleming sJ .~ly-Aug.ust 1994 485 feature JANET K. RUFFING Leadership a New Way: If Christ Is Growing in Us As Americans we tend to privatize our religious expe-rience. Because we are schooled by our democratic and pluralistic society to conceal from public discourse the compelling religious vision and experiences that motivate us, some leaders of religious communities carry this reti-cence over into their role in community. In addition, some come from ethnic backgrounds which presume a bedrock of faith, but discourage talking about it. Leaders vary in their ability to express in their lives the faith by which they live. On the other hand, the entire purpose and meaning of religious life is to help those called to it to focus their lives totally on God. For apostolic communi-ties this response to G6d's call is accomplished through the love of our neighbor in compassionate service as well as through contemplation and a lifestyle organized to sus-tain this commitment. . Although the religious dimension of leadership is often neglected,, religious life itself is always and only a work of the fiery Spirit that inspires, empowers, and energizes our free response to this grace. The reflections on power and empowerment in the first part of this article show that one gift women religious offer the church in our pres- Janet K. Ruffing RSM is associate professor in spirituality and spiritual direction in the Graduate School of Religion and REligious Education at Fordham University. The first part of this article, "Women, Power, and Authority," appeared in our May- June 1994 issue. Her address is GSRRE, Fordham University; 441 E. Fordham Road; Bronx, New York 10458-5169. 486 "Review for Religious ent transition is the clear movement in many communities toward a communal life shared by equal disciples who are seeking to r~spond to God's leading. This evolution of empowering author-ity in religious life could indeed be a sign of hope to contempo-rary women. If religious life for women is a means for supporting our total transformation so that Christ be formed in us, it will institutionalize itself in ways that genuinely respect and nurture the deepest possibilities of our femi-nine discipleship. Following Caryll Houselander's words, we can say, "If Christ is growing in us,''~ we will be at peace because where we are Christ is. The entire context in which we seek to live this discipleship has changed. It is a time of chaos and new creation. God's. Spirit broods over these waters. Are we paying attention to these move-ments in our midst? Do leader-ship teams spend time reflecting together on what is happening in themselves, in their members, and in the various groups in the community that reveals what God is doing in their midst? How are sisters understanding themselves in the light of their central dedication to God in Christ? How are they being impelled in ministry? What do they describe as impeding or deflecting them from this central core of the religious-life project? What are the resistances of leaders to some new things? What are the group's resistances to or struggles with ongoing conversion? I believe that paying attention to such'questions is important for religious leadership. Leaders, consciously or not, nonverbally express in decisions and actions their operative vision of religious life, their sense of who God is, their Christology, and their atti-tude toward the women they lead. These are all interconnected. If a leader believes she is diminished in her personhood because God wills her to be powerless and dependent on external author-ity, her behavior will conform to that belief. If she believes that authentic discipleship of Jesus requires members to be compli- Leaders nonverbally express in decisions and actions their operative vision of religious life, their sense of who God is, their Christology, and their attitude toward the women they lead. ~uly-August 1994 487 Ruffing ¯ Leadership a New IVay ant to all requests, she will attempt to secure such compliance. If she believes the majority of members to be selfish and individ-ualistic in their choices, she will find this amply documented. However, if she expects discipleship of Jesus to lead to creative ini-tiatives, release of energy for mission, resistance to injustice, growth in compassion, and a deeply contemplative gaze at expe- ¯ rience, she will Welcome such creativity and action and notice its contemplative interiority. If leaders are not both conscious and critical of the theology they embody in their leadership style, they will fail to recognize how religious faith is functioning within the dongregation. I believe, and the research bea~s this out, that religious lead-ership is more than being conscious of and setting an example of grass-roots theology. The Nygren-Ukeritis study found not only that outstanding leaders of religious congregations were them-selves firmly grounded in their religious experience, but also that they demonstrated an ability to "find and express., the spiritual significance in everyday affairs." The study found, too, that out-standing leaders of religious congregations put greater reliance on God than other members do; generally the male leaders think of God as a "source of support," and the female leaders, as a "source of direction and energy." Further, the interviews showed that in "the spontaneous recounting of their experiences the out-standing leaders more frequently cite instances of actions consis-tent with the religious theory they would espouse." In the judgment of the researchers, these leaders "communicated a gen-uine awareness of God's presence in their lives" and acted accord-ingly. 2 The study concludes that organizations will survive only if their leaders can articulate the founding purpose in contempo-rary idioms and respond to pressing needs. We are experiencing a profound theological reinterpretation of religious life in the light of rapidly changing circumstances. For numerous reasons entire congregations find considerable dif-ficulty in coalescing around a new vision. While some members are stuck in the old paradigm, others propose only a limited view of the new reality. All of us act on old habits of thought and behav-ior. Leaders are reluctant to quench new initiatives since it is rarely clear which one might be leading to the future. Leaders also resist taking initiatives themselves since they are convinced these initiatives need to come from the group. Much of this can be described as a conflict of interpretations or a conflict of per- 488 Revietv for Religious spectives. The FORUS study recognizes that leaders strongly affect the outcomes of such conflicts. "Leaders can have a strong impact on the outcome of the conflict between perspectives. If they sup-port only one perspective, they are likely to decrease the creativ-ity of the transformational process and the active involvement of members whose perspectives are not taken into account . If they enable conflicting perspectives to interact with each other, they will increase the chances of paradoxical transformations, of new and creative shared understandings that emerge from the interaction of the competing perspectives.''3 It is a function of religious leadership to notice and articulate to the community the religious dimension of experience. This includes the team's view of affairs, but also that of the other mem-bers. If the group is assembled, leadership leads by creating an atmosphere in which conflicting perspectives can meet one another and be modified by the dialogue. If the group is not assembled, leadership needs to reflect the range of perspectives and call the group to respond to a religious vision that can be accommodated within this range. I am describing a form of grass-roots theological reflection in which leaders of communities keep before the consciousness of the group a way of sharing the religious heart of their shared reli-gious life. This is a delicate and important task, not just a form of pious exhortation, It requires careful listening, schooled in expe-rience, for what God is actually doing in the group. What form is discipleship taking? How well is it grounded in Scripture and in a sense of who Jesus is? Members will welcome this discourse if it is objective, respectful, and truthful. If this reality can be spo-ken of in narrative or thematic ways, it can foster into the future a sense of shared life, shared goals, and shared commitments. It can build the theological bridges for understanding one another and for a new form of co(porateness. The First Epistle of Peter describes s.omething of this pro-cess: "Venerate Christ in your hearts. Should anyone ask the rea-son for this hope of yours, be ever ready toreply, but speak gently and respectfully" (1 P 3:15-16). Such accounts of the hope that animates us draw the community together around its most central identity. Far more than they do, leaders need to concern them-selves with helping communities to do such spiritual accounting together if religious life is to move through this transitional and transformative time. j~uly-/lugust 1994 489 Ruffing ¯ Leadership a New Way Christological Models While the FORUS study highlights the singular impor-tance of the faith dimension in religious leadership, it neglects to examine in any significant way the content of faith, specifi-cally our understanding of Jesus. Since the conciliar teaching on religious life emphasized that gospel discipleship is the funda-mental norm for religious life, how we individually and commu-nal! y understand our following of Jesus constitutes the religious heart of our vocation. We live religious life in quite different ways with each new interpretation of our faith in Jesus. To help our reflection on the practical following of Christ in religious life, I propose three models of Christology that are oper-ative in contemporary communities. Although oversimplified, these three models might be described as an ahistorical/mystical model, a historical/liberationist model, and a feminist model.4 The ahistorical/mystical model is the largely monophysite Christology that preceded the council and informed much of the 19th-century spirituality many founders lived. In this Christology the one thing we are absolutely certain about is the divinity of Jesus, hence the term monophysite, meaning one nature. The one divine nature managed to obscure the other half of the Chalcedonian definition, namely, Jesus' human nature. Spiritual writers and meditation books emphasized a one-to-one relation-ship with Jesus. Greater emphasis was placed on the hidden life and the passion than on either the public ministry or the resur-rection. Few Catholics, including religious, actually read or med-itated on the texts of Scripture but rather used devotional manuals. The focus of these meditations was the interior attitudes of Jesus in his humiliation and suffering-=humility, obedience, suffering, patience, love, meekness, and so forth. The follower of Christ was to imitate these virtues in order to achieve holiness and to enter into the mysteries of Jesus. These meditations usually had a strong trinitarian flavor. Since Christ was God, the desired atti-tudes were adoration, reverence, and docility before the Mystery. The meditator was drawn into the Trinity itself through the mys-teries of incarnation and redemption. Frequently, the image of God the Father was rather harsh-- a just God who demanded the blood reparation of his Son for humanity's sin. Apostolic religious life in this model usually meant long hours of devotional prayers, use of a meditation manual, and the imitation of the virtues or inner states of Jesus in common 490 Review for Religious life and in ministry. What mattered was increasing conformation to the Christ mystery through prayer and virtue. Obedience and humility were valued over activity and originality. Obedience to superiors and the rule was equated with obedience to God's will. Just as the understanding of Jesus in this model failed to honor Jesus' human reality as much as his divine reality, so too this kind of Christology often led to a neglect of our own humanity and a loss of a sense of the sacra-mentality of human life. In many communities, women were not respected as individuals with differing gifts, histories, and abilities and were not encouraged to care for them-selves appropriately. Since this form of relationship to the Christ mystery was entirely inte-rior and ahistorical, it did not really matter what we did in our world so long as we did it with the proper interior attitudes. This Christology supports the consecration model of religious life. Consecrated to an intimate relationship with Christ, religious are set apart from mundane secular life by cloister, rule, and garb and seek the one thing necessary, namely, progressive contemplative assimilation to the Christ mystery. Much still remains valid in this Christology, especially the way in which Jesus does lead us into the deeper mystery of the Trinity. To become intimate with Jesus, to participate in his life does cultivate in us an entirely different perspective on reality. We are opened to transcendence; we discover the deepest reality of ourselves in the love which comes to us from the Divine Mystery. We never exhaust the need to penetrate to ever deeper levels of the divine and of our own graced reality. The second model is the historical/liberationist model. As one wave of Christology at the time of the council broke over our consciousness, we began to appreciate more clearly the full humanity of Jesus. As Elizabeth Johnson puts it, "if God became a human being, then it is very important to see what kind of human being God became.''5 This led to a full appreciation not only of Jesus' human experience, but of our own as well. As schol- To become intimate with Jesus, to participate in his life does cultivate in us an entirely different perspective on reality. ~uly-August 1994 491 Ruffing ¯ Leadership a New Way ars recovered more and more of the actual history of Jesus and the movement which he inspired, focus turned to a close examina-tion of his ministry, death, and resurrection. Jesus not only talked about the kingdom of God, but actually made it present in the way he was with people, by what he said and did. He embodied the reality of God in his concrete human history. When we began to contemplate this part of the story, we discovered incredible things. It became apparent that Jesus favored the poor, the marginalized, the outcasts. Women were a primary group among his disciples, and he seemed to enjoy their company. Jesus appreciated embod-ied life and drew most of his parables from nature and from com-mon human experience. The kingdom of God was already in our midst. For apostolic religious life the implications were significant. Much of the four Gospels was about Jesus' ministry--which gave us a clue about how we are to be in ministry. It became apparent that Jesus was killed because of the choices he made and what he said in his ministry. As Jesus expressed it, love is more important than law. The law was made for human benefit, not to oppress people. God's will is for abundant life, fullness of life as John's Gospel puts it; God's primary attribute is compassion rather than judgment. When Jesus was killed for upsetting the religious authorities of his day, God validated his ministry and his teaching by not allowing sin and evil to have the last word, but by raising him from the dead.6 As this reflection on Jesus' lived history continued, liberation theology began to develop among poor and oppressed peoples. Drawing on the choices Jesus made in his ministry to share life with the poor and to offer wholeness and liberation to the oppressed, poor and oppressed Christians added social critique and praxis to Christology. Thus, liberation Christologies begin in the context of the suffering of a particular oppressed group. The process of this reflection is communal. Oppressed people come together to reflect on their situation, to pray, and to seek actions that will change things for the better. These actions become the subject for further reflection. Thus, thought and action are intertwined. Liberation theologies emphasize the social nature of sin and grace by reflecting on how the community experiences them within their social structures. These theologies also consider how God and Christ are present in the community as it struggles for 492 Review for Religious justice. Typically there are three steps to this method. A situa-tion is recognized to be oppressive, is called sinful, and is ana-lyzed for its causes, including the way Christian tradition has contributed to the oppression: Has there been complicity in the church and its preaching? Has Christ been understood in a way that is helpful to the oppressor? In this step, liberation tMology is quite critical of the tradition. In the third step, guided by the experience of the oppressed, Christian tradi-tion is searched for elements that would yield new understanding and a new liberating practice. In liber-ation theology, discipleship always entails a change in praxis--activity on behalf of the kingdom of God, judged to be more a present real-ity than an entirely future one. It is out of this theology that Medellin developed the notion of the preferential option for the poor. Massive injustice is analyzed as social sin and not as God's will. There is a mystical side to this Christology, but it is more a spiri-tuality of a people than of individuals. Faith influences base com-munities as they reflect on the Scriptures, the concrete situation of the poor, and action taken to address it. Frequently, when reli-gious espouse voluntary solidarity with the poor, they discover a new experience of God, experiencing Christ in the poor them-selves. Poor people become the ongoing occasion for conversion. Elizabeth Johnson notes that this. theology is also conflictual. The powers within either church or culture do not like to be chal-lenged. To act and live in solidarity with the poor is to risk cer-tain conflict even as Jesus did in his ministry. In this Christology there is less an imitation of the interior attitudes of Jesus than a willingness to accept the consequences of a liberating praxis. What differentiates solidarity with the poor, in this theological per-spective, from involvement with the poor in the earlier mystical model is concrete social analysis. Rather than simply relieving the poor in a loving way, one joins them in their struggle. Frequently, when religious espouse voluntary solidarity with the poor, they discover a new experience of God, experiencing Christ in the poor themselves. July-August 1994 493 Ruffing ¯ Leadership a New Way In the third model, a feminist Christology, we find similari-ties to the historical/liberation perspective. Feminist theology is liberation theology done from the perspective of women's expe-rience. It draws inspiration from the historical material about Jesus' compassionate healing and liberating treatment of women and a discipleship of equals among the men and women who fol-lowed him in the early community. Women clearly understand that their oppression in all cultures is not willed by God. The same steps of analysis and action and prayer as described above are applied to the situation of women. Feminist theology in first-world countries recognizes the resources in Christology for women's liberation.7 The Jesus tradition is a powerful and important spiritual resource for Christian women in their struggle for full participa-tion and personhood in church and society. Feminist theologians in third-world countries pay attention to the situation of women everywhere. The God Jesus reveals cannot be hostile to the deep-est reality of women; women as well as men are fitting images of this God. Likewise, women disciples of Jesus are images of Christ, are every bit as much "altera Christa" as men are "alter Chrisms." Women recognize their suffering and oppression reconciled, healed, and overcome in the death and resurrection of Jesus fully as much as other oppressed groups. Women in religious communities probably lie along the entire continuum of these three Christologies. For some, their rela-tionship with Jesus is primarily a mystical/interpersonal one that has not been significantly changed by reflection on the actual his-torical situation of Jesus' life. Others have deeply appropriated this historical perspective and have assimilated it to their mysti-cal experience of Jesus. The Jesus they meet in prayer is the embodiment of God's compassion. To be involved with him is to be involved with all who suffer. If the FORUS study is correct in its conclusion that service with the poor is not a fully operative priority in communities, it is because a significant portion of the membership has not made the historical/liberation turn. Religious life is constructed on the dominant understanding of what the following of Christ entails in a given historical period. The larger church--both ordinary parishioners and the hierarchy--is more comfortable with religious doing good work motivated by a mys-tical Christology than it is with a stance of prophetic solidarity based on either a liberationist model or a feminist Christology. 494 Review for Religious Feminist Christologies are arising all over the world because even countries that began to address the structural causes of poverty were doing so from the perspective of men rather than women. As worldwide statistics on women become available, it is clear that in every culture women (with their children) constitute the masses of poor people and suffer additionally purely because of their gender. Religious institutes whose originating charisms focused on women and children can reappropriate those charisms in the contemporary context by adopting some form of Christian feminism.8 This is the development our constitutions and chap-ter statements document, but I suspect that they are not fully internalized because our operative Christologies have not yet caught up with them. Religious life has historically been lived longer from the mystical model, which did not necessarily entail apostolic life. Further, religious life has also been lived by women in contexts determined by masculine consciousness and explained in theologies rooted in masculine experience. As apostolic reli-gious and as women, our challenge is to integrate a personally appropriated Christ mysticism with historical consciousness and liberationist praxis in our postmodern context in a way that is fully consonant with our feminine experience. These are the Christologies that support both a prophetic and a contemplative religious life for women. Conclusion In her theological monograph commissioned by the FORUS study, Elizabeth Johnson points to what she calls a "new experi-ence of God emerging in the context of postmodern conscious-ness." The paradoxical experience so many of us have of presence in absence, the loss of familiar ways of experiencing God, and the emergence of something deeper or different are all of a piece. She asserts that a shift is going on in our understanding of the nature of God revealed to us in Jesus. In this essay I have described some of these changes through a Christological lens. However, these changes in Christology also initiate changes in our experi-ence of God. Johnson describes the features of this new experience this way: If there be a God at all, then this is absolute holy mystery that can never be fathomed. Not literally a male person writ large, the sacred can be pointed to by any created good: .~-uly-/lugust 1994 495 Ruffing * Leadership a New Way male, female, animal, cosmic. This mystery does not dwell in isolation from the world but encompasses it as the Matrix of its being and becoming. God in the world and the world in God--panentheism--describes the mutual relation. Thus related, the Holy One of Blessing is a God of pathos who participates in the suffering of the world in order to trans-form it from within. Divine power is the strength of love, rather than raw, monarchical omnipotence. Passionate for justice and peace and compassionate over pain, Holy Wisdom typically self-reveals in the fragmentary break-throughs of well-being that come about through human partnership with divine purpose. Forever God acts to cre-ate a fresh, new future: liberation is her signature deed. A God like this calls for an ethic of critical compassion. We are impelled so to utter the word of God that the world will be changed and renewed by it. She goes on to describe this experience of divine absence and presence as: an experience of the Spirit of God: radically transcendent, like the wind blowing where it will; and at the same time radically immanent, dwelling at the heart of the world to vivify and renew all things. Empowered by the Spirit in our age, people of faith who treasure the living memory of Jesus seek the hidden God of life (contemplation) and live out the passion of God for the world in need (prophecy).9 Rather than a return to the old securities that would quench the fiery Spirit moving in our midst, we need more profound prayer, more attentive listening to the experience of God break-ing through in our midst, and acting from its liberating energy toward a more just, more contemplative, and more novel future. One of the tasks of religious leadership is to contribute to this new naming of God in ways that unite contemplation and prophecy, compassion and action, women's well-being and that of the earth, nonviolence and conflictual change. This task can-not be accomplished without thinking theologically as well as psychologically, without the courage to articulate one's own core religious experience and that of the community, without a sus-taining hope grounded in God's faithfulness. Whatever the even-tual shape of the next form of religious life, it will both emerge from and disclose this new experience of God. It is the task of religious leaders to tell the new story of the surpassing gift of God's fidelity, love, and emancipating compas-sion. It is the task of leaders to uncover the foundational experi- 496 Review for Religious ence of God in every woman in the community and in every inter-action with one another. Religious leaders must forge a new vocab-ulary of the Spirit's presence that honors everyone's experience of God and also points to the "new experiences" emerging in our times and in many of our members. If religious life clearly man-ifests this profound rootedness in the Holy Mystery, "all will be well and all manner of things will be well.''1° Notes ' Lavinia Byrne, ed., The Hidden Tradition: Women's Spiritual Writings Rediscovered. An Anthology (New York: Crossroad, 1991), p. 23. 2 David Nygren, Miriam Ukeritis, John McClelland, et al., "Religious Leadership Competencies," Review for Religious 52, no. 3 (May-June 1993): 412. 3 Nygren and Ukeritis, "The Religious Life Futures Project: Executive Summary," Review for Religious 52, no. 1 (January-February 1993): 11. Interpretation theory also suggests a similar process by bringing the pos-sible interpretations together in dialogue, to arbitrate among, and to seek agreement. Paul Ricoeur, Interpretation Theory: Discourse and the Surplus of Meaning (Fort Worth: Texas Christian University Press, 1976), p. 79. 4 For a readable survey of these contemporary changes in Christology see Elizabeth Johnson, Consider Jesus: Waves of Renewal in Christology (New York: Crossroad, 1991). 5 Johnson, Consider Jesus, p. 50. 6 Albert Nolan, Jesus before Christianity (Maryknoll: Orbis, 1992), is still the most accessible form of this insight into Christology. Originally published in 1976, it is being superseded by John Meier's and Dominic Crossan's recent works, A Marginal Jew and The Historical Jesus. 7 See Elizabeth Johnson, She Who Is (New York: Crossroad, 1992) and Consider Jesus, for ample bibliography of feminist theologies. 8 For an example of this process, see Janet Ruffing and Theresa Moser, "An Option for Women?" Way Supplement 74 (Women and Ignatian Spirituality in Dialogue, summer 1992): 89-100. 9 Elizabeth Johnson, "Between the Times: Religious Life and the Postmodern Experience of God," Review for Religious 53, no. 1 (January- February 1994): 22 and 23-24. 10 Julian of Norwich, Showings of Divine Love. .)~uly-August 1994 497 PETER J. SANFILIPPO An Introduction to Orthodox Spirituality traditions Editor's Note: Out of respect for his religious heritage, the author retains man and masculine reference when the theological roots of Orthodox faith and the tradi-tional expressions of its writers are being reflected. The Orthodox Church knows no dichotomy between her theology, spirituality, liturgy, use of Scripture, and even her iconography. The church experiences all these as inseparable components in an organic whole, which have as their common matrix a doctrine which stands at the very center of her ecclesial consciousness: theosis, the deification of man (for the inclusive meaning of the term man, see Gn 5:2, RSV) and, with him, of the whole created cosmos. Contemplating the masters of the incarnation, St. Irenaeus of Lyons wrote in the 2nd century that "God became what we are so that we could become what he is." This reached its ultimate conclusion two centuries later in the writings of St. Athanasius the Great, champion of orthodoxy at the anti-Arian Council of Nicaea in A.D. 3 2 5 and later archbishop of Alexandria: God became man so that man could become God/ Father Peter SanFilippo, ordained in 1988, is the founding pastor of St. Stephen the First Martyr parish in Roblin, Manitoba, Canada, where he resides with his wife, Joann, and their four children. He studied theology at St. Vladimir's Orthodox Theological Seminary in New York. His address is P.O. Box 1397; Roblin, Manitoba R0L 1P0; Canada. 498 Review for Religious This is not to be confused with the Buddhist ~oncept of nir-vana, according to which complete union with the Transcendent ends in the annihilation of self. The goal of Buddhist spiritual-ity is sometimes described by means of an analogy in which a man made of sand progresses by stages into the ocean until he disintegrates, entirely swallowed up and ceasing to exist as him-self. In the final analysis, this is a hopelessly pessimistic spiritu-ality, for its aim is not the salvation but the destruction of the human person. On the contrary, the spiritual doctrine of theosis represents a powerful affirmation of the innate goodness of the human person as a whole--in the composite, trinitarian nature of spirit, soul and body--created in the image of God. Theosis neither obliter-ates nor even diminishes anything that belongs to human nature or human personhood: in other words, what I am and who I am. It is rather the eschatological manifestation of the children of God, experienced by degrees as a foretaste in this present life. This raises three points which require elaboration: 1. The Platonizing tendency borrowed by classical Western theology to regard man as a soul created in the image of God, "imprisoned" in a body which it longs to shed, is foreign to Orthodox theology. The inadequacy of this philosophical schema is that only a "part" of man (his soul) is thought to possess the divine image and to be destined for immortality, while the other "part" (his body) is bereft of that image, ultimately valueless and irreversibly mortal. This is not to say that certain writers in the Christian East did not lend prestige to such notions from time to time. But in the end they were condemned as a departure from the church's more holistic scriptural tradition. Orthodox theo-logical anthropology postulates the human person as a harmo-niously ordered, inseparable unity of spirit, soul and body, all of which participate in the image of God, all of which were created for eternal life, and all of which are engaged in the process of theosis. Death and the separation of the soul from the body are unnatural to man as God created him. 2. What is destroyed in the process of theosis is neither humanhood nor personhood, but sin. The patristic heritage of the East, in its assertion of the inherent holiness of all that is authentically human, does not view sin as intrinsic to, but contrary July-August 1994 499 SanFilippo ¯ An Introduction to Orthodox Spirituality to, human nature. Paradoxically, the deification of man reveals most brilliantly all that is genuinely human. 3. Theosis begins and is experienced in this present life, while its full manifestation awaits the resurrection on the last day. Theologians have debated for years whether eschatology is pres-ent or future and have even posited the two as if they were not the same reality. The late Father Georges Florovsky, eminent Orthodox theologian and author, merged the two concepts as they ought to be by coining the phrase "inaugurated eschatology": "Thou hast endowed us [already] with Thy kingdom which is to come" (from the Eucharistic canon of St. John Chrysostom). The deification of man does not add persons to the Holy Trinity so that God ceases to be Trinity and becomes "Multiplicity"! While man is admitted to full participation in divine life, he does not become "worshipable," for God remains eternally immutable in the divine essence. We begin to comprehend the nature of this mystery, if only imperfectly and in images, by bearing in mind St. Athanasius's maxim that the incarnation of God and the deification of man are reciprocal movements. According to the doctrinal formulation of the Council of Chalcedon (A.D. 451) on the incarnation, the divine-human union in the person of the Son was accomplished with neither division nor confusion (or mingling), each of the two natures preserving the fullness of its properties and attributes intact and undiluted. This means that no hybridization or cross-breeding has taken place in the incarnation of Christ, while at the same time the union of the human nature with the divine in his person remains perfect, complete, and uni.mpeded. This sheds some light by analogy on our understanding of theosis. However, a critical distinction must be drawn between the incarnation and deification: God became man by nature, while man becomes God not by nature but solely by participation or by grace. This is why the Scripture refers to Christ as the "only-begotten" (or only "natural") Son of God, and to us as children of God "by adoption." Theosis begins neither at conception nor at birth, for the fall has rendered man incapable of attaining the divine destiny for which he was created. Something more is needed to set him on his 500 Review for Religiot~s way, and that is rebirth in the waters of baptism: "Amen, amen, I say to you, unless one is born of water and the Spirit, he cannot enter the kingdom of God" On 3:5). Baptism in the Orthodox Church, from the elaborate blessingof the water to the actual immersion, unfolds as a liturgical reenactment of creation which effects, not so much the juridical removal of the stain or guilt of original sin, but the total re-creation of the human person: a rebirth in the profoundest sense of the word, a putting off of the old man and putting on of the new, a mystical dying and rising with Christ in order to "walk in newness of life" towards the eter-nal destiny for which we were created. The white robe prescribed in most baptismal rubrics is com-monly taken to symbolize the virtues, or the virtuous life, to which the neophyte has been called, as if Christ had come for no other purpose than to produce well-behaved people. The Orthodox baptismal liturgy contains a rubric of immense importance for our topic, the full significance of which is nearly always over-looked: while the newly baptized is clothed with the white robe, the congregation, choir, or cantor sings: Grant unto me the robe of light, O most merciful Christ our God, who clothest Thyself with light as with a garment! The real meaning of the white robe, and indeed of baptism itself, is that God has come down from heaven and become incar-nate in order to clothe mortal human flesh in his divinity and immortality, the very "garment" in which he himself is "clothed" from all eternity (Ps 104:2). Immediately after the immersion and the putting on of the white robe, the Holy Spirit is conferred on the neophyte in the sacrament of chrismation (confirmation in the West). This is pos-sible because, in the Orthodox East, the administration of chris-mation has always been delegated to the priest and has never required the presence of the bishop (the consecrated chrism is supplied by the bishop, however). Baptism completes in each per-son what was inaugurated in the incarnation: human flesh is made receptive to the descent and .permanent indwelling of the Holy Spirit, received as a gift in chrismation as the firstfruits of deifi-cation and of the world to come. The Orthodox rites of initiation culminate finally in the Eucharist, in which the mystical union between God and man is SanFilippo ¯ An Introduction to Orthodox Spirituality consummated. The Eucharist is the summit of man's Godward ascent in this life, his fullest experience of deification as he becomes one with God, who became one with us, and the most perfect foretaste of the life to come: "Grant that we may more perfectly partake of Thee in the never-ending day of Thy king-dom" (from the prayer after Communion). (The Orthodox Church administers chrismation and Communion even to infants as soon as they are baptized.) The church expects iconographers to undertake their work in an atmosphere of prayer and fasting, together with confession and Communion. There is a cosmic dimension to all we have spoken of here. St. Paul writes that "the creation waits with eager longing for the revealing of the sons of God. because the creation itself will be set free from its bondage to decay and obtain the glorious liberty of the children of God. We know that the whole creation has been groaning in travail together until now" (Rm 8:19-22). In another place he writes that God was pleased "to reconcile to himself all things, whether on earth or in heaven" (Col 1:20). Since the whole created order participated in the fall of man, it likewise awaits and shares in his redemption, being transfigured into the new heaven and the new earth filled with Christ, who makes all things new through the Holy Spirit. In the eucharis-tic canon of the liturgy, immediately pre-ceding the actual consecration of the gifts, the celebrant exclaims, "Thine own of Thine own we offer unto Thee, on behalf of all men and for all things"! Orthodox theology recognizes the intrinsic sacramentality of all things, which was lost however as a consequence of the fall. All things were given by God as an act of loving and life-giving communion with man, and in communing with God man was to have lived forever. But because of the cosmic reper-cussions of the fall, created things were stripped of their capacity to communicate eternal life to man, and he died. The holy mys-teries, or sacraments, are the firstfruits of the redemption of the cosmos, the restoration of creation to its Edenic function, for 502 Review for Religious through ordinary elements--water, oil, bread, wine, and even conjugal union--divine-human communion is reestablished and man lives forever once again. The connection between the sacra-ments and their respective "elements" is not at all extraneous: the sacraments are revelatory of the very nature of things. The restoration of created matter to its primeval theophorous (God-bearing) nature is manifested also in the church's iconog-raphy. The painting of an authentic Orthodok icon (much which is not authentic has crept into the church in recent centuries), unlike the typically Western, humanistic approach to religious art, is never an instance of artistic self-expression, but rather a deliberate act of ascetical self-effacement whereby the iconogra-pher surrenders himself to the promptings of the Spirit. The church expects iconographers to undertake their work in an atmo-sphere of prayer and fasting, together with confession and Communion. What is conveyed through the colors, shapes, and lines of the icon is a mystical Sense of presence, an otherworldly beauty devoid of all carnality, and a window into the transfigured world to come. The person embarking on the spiritual journey towards mys-tical union with God collides immediately with the grim reality of the fall and sin. The primordial triadic unity of man's nature has been torn asunder through his own transgression, creating an immense gulf of alienation on every level of existence: between man and God, man and man, man and the universe, man and his own self. This profound alienation is felt acutely in every sphere of life--whether spiritual, physical, emotional, psychological, social--culminating in the final horrific moment of death, what the existentialist ph!losophers have rightly called the "ultimate absurdity". "My God, my God, why hast thou forsaken me?" the Lord cries moments before his own de~ithl Perhaps nowhere are the full tragedy and pathos Of man's condition so poignantly expressed as in the shortest verse of the New Testament: "Jesus wept" (Jn 11:35). The God of the universe sheds human tears at the collective tomb of the human race, whom God had created in his own image for beauty and life, now reduced to a rotting, stink-ing corpse. And to all he issues the vivifying call: "Lazarus, come forth!" Orthodox spirituality lays out practically and concretely for monastic and laypersonalike a single path by which to "come j-~uly-August 1994 503 SanFilippo ¯ An Introduction to Orthodox Spirituality forth" from the "tomb" to the fullness of divine life in communion with God. The principle difference between the two lies solely in the degree of intensity. The path we are speaking of is that of asceticism. The "life in Christ" to which every Christian is called is essentially an ascetical life. There is simply no other kind of Christian life to be found in the Gospels. Asceticism comes from the Greek word meaning athletic training or discipline, implying the complete orientation of one's daily activities towards a single goal. It is neither a system of iuridically meritorious or propitiatory suffering, nor giving up something (usually something trivial) as "my sacrifice for God," nor finally a legislated (and repealable) religious obligation. Asceticism is rather an ontological spiritual necessity for the Christian, whose call it is to d~vest himself of every trace of ego-centrism and become limpidly transparent to Christ, whom he has put on in baptism, with whose Spirit he has been anointed, and on whose body and blood he has been nourished. The ascetic echoes the apostle Paul, "For me to live is Christ." Fundamental to the praxis of ascetical spirituality are prayer and fasting. At the heart of the Orthodox tradition of prayer stands the Jesus prayer: Lord ffesus Christ, Son of God, have mercy on me, a sinner. With this the Orthodox ascetic strives to attain, by grace, to a state of "ceaseless prayer" (1 Th 5:17), purifying the chamber of his heart to make it into a fitting temple for the Lord to come and take up his abode. "The kingdom of God is within you." Enormous self-exertion is required at first to repeat the prayer continuously, during times set aside for this purpose and throughout the day's activities, with inner attentiveness. With time the prayer develops a certain cadence and becomes increas-ingly effortless. Finally, under the direct action of grace, the mind descends into the heart and the prayer begins to say itself, as if it had a will and action of its own, and becomes truly ceaseless, even during sleep. Orthodox spiritual writers understand the descent of the mind into the heart to mean the total reintegration of a per-son's inner faculties so that mind and heart become wholly united and focused in prayer. This is effected by grace alone and cannot be self-induced. In contrast to the Western approach to contemplative prayer, the person who practices the Jesus prayer rids his mind strenu-ously of all images, even images of Christ or episodes from his life, for these are inevitably the products of human self-will and imag- 504 Review for Religious ination. The task of the ascetic is to strip himself bare before God so that grace itself can act on him without intermediary. Fasting is the necessary corollary to prayer. This axiom of the spiritual life, widely recognized not only in Eastern Christendom but in non-Christian traditions as well, has van-ished oddly from Western Christian con-sciousness. In his fallen, unspiritual, and carnal state, man has become enslaved to an obses-sive preoccupation with his own needs, desires, comforts, and pleasures. His inner hierarchy, whereby the body is the servant of the spirit-- the two functioning in perfect harmony and complementarity--has been overturned and the spirit has been asphyxiated. Man is largely unconscious of the depth of his self-enslavement. The moral or virtu-ous person whose libido is under control and who lives moderately may even deny in all sin-cerity that he is enslaved at all. Yet every day of his life, his every thought is: "I am hungry. I am thirsty. I am hot. I am cold. I am uncomfortable. I want this. I want that." The deification of the person, inaugurated as we have said through his sacramental incorporation into the body of Christ, remains locked up within him as a dormant potentiality, in a state of suspended animation, so long as he is governed by his bodily impulses. There is question here not of combatting sinful incli-nations only, but of suppressing even normal bodily needs to the bare minimum, enabling a person's innermost spiritual self to move to the fore and flourish in an abundance of life, reasserting in stages its mastery over the flesh. Two heretical and spiritually disastrous tendencies threaten the ascetic. The first is the Pelagian notion that a person can, through his own efforts, achieve sanctity. Only through grace is a person saved, sanctified, deified. Prayer and fasting, combined with fidelity to all the other gospel commands, renders a person progressively more receptive to grace and provides the Holy Spirit with fertile ground in which to work. God and man work together to give birth to the new creation. Expressed in another way, "God does all the work, man does all the sweating." A person's most heroic ascetical efforts are puny and insignificant in comparison to the grace of God, but nevertheless indispensable because God At the heart of the Orthodox tradition of prayer stands the Jesus prayer. July-August 1994 505 SanFilippo ¯ An Introduction to Orthodox Spirituality respects human freedom absolutely and saves no one against his will. The idea of "merits" is entirely foreign to Orthodox theol-ogy and spirituality. The second is a Manichaean hatred of the body. The Orthodox ascetic, knowing that his body is destined for resur-rection on the last day, loves the body but hates "the flesh"--car-nality in all its manifestations. Through fasting the ascetic strikes a blow at the very core of his self-absorption: his need to eat, for food, for survival. "Man does not live by bread alone, but by every word that proceeds from the mouth of God." The ascetic has made this the motto for his life, not through bourgeois modulation, but through evan-gelical radicalism, the "violence" by which "men of violence" take the kingdom "by force." Finally, it is through prayer and fasting that the ascetic lives out his days in anticipation of the eschato-logical parousia, so that he may not be found "eating and drink-ing and making merry" when the Lord returns in glory. "Behold, the Bridegroom comes at midnight," the church sings during the first days of Passion Week, "and blessed is the servant whom he shall find watchful." Fasting.degenerates into a flirtation with the demonic in the absence of humility. Humility is the refusal to let others know one is fasting, or to sit in judgment over those who do not fast, or to believe one is doing anything commendable or praiseworthy by fasting. Asceticism must be grounded in the unshakable conviction of one's utter nothingness before God and man. "Let us enter the season of the Fast with joy," the church sings on the eve of Great Lent. The ascetical Christian is the joy-ful Christian, for he has exchanged the fleeting happiness which comes from the things of this world for the joy and peace which surpass all understanding. 506 Review for Religious OVEY N. MOHAMMED Yoga, Christian Prayer, and Zen lSican Council II's Declaration on the Relationship of the ~" Church to Non-Christian Religions (Nostra aerate, §2), says that "in Hinduism men [and women] contemplate the divine mys-tery., through ascetical practices or deep meditation" and that Buddhism "teaches a path by which men [and women], in devout and confident spirit, can either reach a state of absolute freedom or attain enlightenment." And Pope John Paul II, speaking on Christian dialogue with Hindus and Buddhists on 21 June 1991, observed that "dialogue with the great religions of Asia recalls for us the universal value of self-discipline, silence, and contem-plation in developing the human person and in opening hearts to God and neighbor." ~ These statements focus, not on doctrines and theology, but on the praxis of contemplation that leads to direct religious experi-ence. They recognize that the dialogue between Christianity and Eastern religions must be of a different kind from that with Judaism and Islam, which centers on theological issues. And indeed, because Hindus and Buddhists emphasize the priority of experience over faith, a dialogue with them may well be impossi-ble without a dialogue on contemplative prayer. However, as the pope's observation seems to concede, the church today is ill prepared to enter into such a dialogue. For though contemplative prayer has enjoyed pride of place in the history of Christian spirituality, since the Reformation it has not Ovey N. Mohammed sJ is professor of systematic theology at Regis College. His address is Regis College; 15 St. Mary Street; Toronto, Ontario; Canada M4Y 2R5. ~ly-dugust 1994 507 Mohammed * Yoga, Christian Prayer, and Zen been a primary conscious emphasis in the church. The fear that claims to an immediate experience of God would diminish if not challenge the teaching authority of the church, the memory of the havoc that false mysticism had created in the past, and the scientism and rationalism of the 19th century that esteemed con-cepts and ideas rather than ineffable experience have all con-tributed to the church's emphasis on dogmas, duties, and prohibitions rather than on religious experience. Understandably, when by the turn of the century people were more and more reacting against the mere acceptance of dogma and were search-ing for a faith that is living and personal, the church had diffi-culty in meeting this need out of its own spiritual treasury. At this very juncture, yoga and Zen methods of meditation and exercises for entering the contemplative state became known in the West, beginning with the World Parliament of Religions held in Chicago in 1893. Because of the Christian interest in experience over doctrine, many began to turn to Eastern reli-gions for their contemplative education. By the time of the Second Vatican Council, even members of Catholic religious orders were in dialogue with yoga and Zen masters, not to convert them to the Christian religious outlook, but to learn attitudes and exercises which might be helpful to Christians in their own prayer life. The Jesuits were among those in religious orders who engaged in this dialogue on contemplative prayer because the spirituality of Ignatius of Loyola (1491-1556) also offers methods and tech-niques to those in search of a contemplative spirituality. Though much has been written by Jesuits on the dialogue with Zen,2 lit-tle has been written on the dialogue with yoga.3 This article com-pares the techniques of yoga and Zen Buddhism with Christian prayer, especially the Spiritual Exercises of St. Ignatius of Loyola. The aim is not only better understanding as dialogue demands, but also better ways of giving of the Exercises today, when the prac-tices of yoga and Zen have great appeal. It will be shown, too, that Zen methods of concentration which differ from those of Ignatius can be found in the Christian tradition. Yoga and Ignatius Etymologically, yoga is a Sanskrit word from the rootyuj (to hold fast, to bind together). In Hinduism it designates any asceti-cal technique or method of meditation.4 The rootyuj also governs 508 Review for Religious the Latin iugum, the Frenchjoug, and the English yoke as it appears in Matthew 11:29: "Take my yoke upon you, and learn from me." The word yoga, then, like the word yoke, connotes the need for discipline in the spiritual life.5 The techniques of yoga go back centuries before someone named Patanjali wrote his ~ga Sutras (Aphorisms), sometime between the 2nd century B.C. and the 4th century A.D. Hindus, however, acknowledge this work as the classical text on yoga. It also happens to be the exposition of yoga practices best known to Westerners. For both these reasons, then, we will rely on Patanjali's Yoga Sutras in our comparison of the techniques of yoga with those of the Spiritual Exercises of Ignatius.6 According to Patanjali, yoga is a means of controlling the mind and the senses (YS I, 2), and its purpose is to lead one to a suprasensory and extrarational experience of God (YS I, 1). Yoga includes a number of angas (members, elements). They can be regarded as stages through which one must progress if one is to reach one's goal: (i) various forms of abstention from evil-doing (yama), (2) various observances (niyamas), (3) posture (asana), (4) rhythm of respiration (pranayama), (5) withdrawal of the mind from sense objects (pratyahara), (6) concentration (dharana), (7) meditation (dhyana) and (8) enstasis (samadht), a state of consum-mate interiority that is at once stasis and transcendental con-sciousness.( YS II, 29).7 The first member or element (yama) introduces us to the need for purgation in the spiritual life and aims at freeing us from the evils of social sin. It consists of five abstentions: "from harming others, from falsehood, from theft, from incontinence, and from greed" (YS II, 30). These abstentions parallel the last five com-mandments God gave to Moses (Ex 20:13-17): "You shall not kill" (harm), "you shall not commit adultery" (incontinence), "You shall not steal" (theft), "You shall not bear false witness" (false-hood), and "You shall not covet., anything that is your neigh-bor's" (greed). Ignatius, too, introduces us to the purgative way (SE §10) when he states that exercitants should begin the Exercises with a consideration and contemplation of sin (SE §4). And, like Patanjali, he focuses on the social consequences of sin (SE §§45- 71) and on the commandments relating to it (SE §§238-243). Patanjali's second element (niyama) is also purgative, but cen-ters on personal sin. It involves five observances--"purity, con- ~dy-August 1994 509 Mohammed ¯ Yoga, Christian Prayer, and Zen tentment, mortification, study, and devotion to God" (YS II, 32)-- aimed at suppressing the egoistic tendencies that impede the gen-erous offering of ourselves to God. Ignatius, like Patanjali, expects exercitants to attack the roots of their personal sins by getting to know the slightest disorder in themselves. He expects them to desire "a deep knowledge of [their] sins and a feeling of abhorrence for them; an understand-ing of the disorder of [their] actions, that filled with horror of them, they may amend [their] life and put it in order" (SE §63). Toward this end he advises them to recall the sins of their past life (SE §56) and examine their conscience twice daily (SE §§25-31). Elsewhere he instructs exercitants to enter the Exercises "with magnanimity and generosity," offering God their "entire will and liberty" and the disposition of their person (SE §5). He insists that people "must keep in mind that in all that concerns the spir-itual life [their] progress will be in proportion to [their] surren-der of self-love, and of [their] own will and interests" (SE §189). Patanjali's third element is posture (asana). In the Hindu tra-dition posture refers to two things: the place where one chooses to meditate and the bodily position in which one meditates. The place where one meditates should be free from external distrac-tions. Patanjali does not say that one bodily position is better than another, but he does say that the body should be "firm and relaxed" (YS II, 46). The purpose of maintaining a fixed and com-fortable position is to realize a certain neutrality of the senses so that consciousness is no longer troubled by the presence of the body. The following passage from the Bhagavad Gita illustrates the meaning of posture common among Hindus: Let the athlete of the spirit ever integrate [him]self stand-ing in a place apart, alone, his thoughts and self restrained. . Let him set up for [him]self a steady seat in a clean place. . There let him sit and make his mind a single point; let him restrain the operations of his thought and senses and practice integration., to purify the self. [Remaining] still, let him keep body, head, and neck in a straight line, unmov-ing; let him fix his eye on the tip of his nose, not looking round about him . [There] let him sit., intent on Me. . ; then will he approach that peace., which subsists in Me (6:10-15).8 Ignatius, too, recognizes the need for solitude in meditation, making much of withdrawing from friends and acquaintances and 510 Review for Religious from worldly cares to make the soul more fit to approach and be united with God (SE §20). Like Patanjali he does not claim that any one bodily position is to be preferred during meditation, but he does say that one should find a comfortable position and remain in it (SE §76). He agrees with the Gita that the restraint of the eyes is helpful in meditation (SE §81). The fourth element is rhythmic breathing (pranayama). As Patanjali puts it, "After mastering posture, one must practice con-trol of one's breathing" (YS II, 49). He gave this instruction because our respiration is generally unrhythmic, and unrhythmic breathing can hinder the mind's repose. Moreover, since the mind and the body act and react upon each other, rhythmic breathing can bring calmness and concentration of mind (YS II, 53). Practice is very elaborate, but on the whole it aims at slowing the breath, making the inhalation and exhalation even, and reducing the amount of air required. Ignatius also recognizes the importance of rhythmic breathing as an aid to deepening concentration (SE §258). The fifth element of yoga is pratyahara, that state in which the senses abide within themselves (YS II, 54). V~hen one remains motionless, keeps one's eyes and attention fixed on a single point, and breathes rhythmically, the mind is invaded by fewer distrac-tions and becomes more and more concentrated and unified. According to Patanjali, to test one's ability to concentrate at this stage, one must listen to the positive and negative echoes of one's being; for even with the withdrawal of the senses from exter-nal stimuli, difficulties arise, most of them produced by the sub-conscious. The trouble arising from doubt is the most dangerous of the obstacles that bar the road to concentration. Doubt "may be motivated by greed, anger or self-interest" (YS II, 34); "men-tal illness, lack of enthusiasm, sloth, craving for sense pleasure, false perception . and failure to concentrate" (YS I, 30). These distractions are often accompanied by grief and despondency (YS I, 31). To overcome doubt, Patanjali recommends implanting the contrary thought: "To free from thoughts tl'iat distract one from yoga, thoughts of the opposite kind must be cultivated" (YS II, 33). Ign~itius also says that the senses must be brought under con-trol and turned inward. Like Patanjali he observes that difficulties in concentration at this stage come from the subconscious, because of our +raving for "sensual delights and gratifications" (SE §314), our "inclination to what is low and earthly" (SE §317), or "because we have been tepid, slothful, or negligent in our exercises of piety" .~ly-August 1994 511 Mohammed * Yoga, Christian Prayer, and Zen (SE §322). Like Patanjali he notes that these distractions are often accompanied by "anxiety, . sadness," and "fallacious reasonings" which disturb the soul (SE §315). To cope with these difficulties, Ignatius says that every effort should be made to plant the contrary thought: "If the soul chance to be inordinately attached or inclined to anything, it is very proper that it rouse itself by the exertion of all its powers to desire the opposite of that to which it is wrongly attached" (SE §16; also §155 and §157). Patanjali's sixth element of yoga is concentration (dharana) to remove distractions (YS I, 32). He defines concentration as the fixing of the mind on a single idea or object by trying to visual-ize it (YS III, 1). Visualization calls for the use of the senses and discursive reasoning to focus the mind and so make the object of concentration present. An Indian image illustrates his point: just as an elephant's trunk sways to and fro and reaches out for nearby objects until it is given an iron ball to hold, so the wavering mind will settle down if given something specific to focus on. Ignatius promotes mental concentration in a similar way, rec-ommending in the first or second prelude of almost every medi-tation that we fix in the mind some scene, real or imagined, and try to make it present by visualizing it (SE §§47, 65, 91,103, 112, 138, 151, 192, 202, 220, and 232). He frequently directs the exercitant not only to see, but also to hear, smell, taste and touch in the imagination what is taking place in the meditation (SE §§66ff, 92, 103, 106, 121ff, 143ff, and 194ff). In pondering the matter and significance of the particular meditation, like Patanjali he expects one to apply one's intellect, will, memory, imagina-tion, and reflective ability (SE ~§3, 77, 78, 130, 206, 209, etc.). As concentration deepens, we arrive at the seventh element of yoga called meditation (dhyana). Meditation sweetens the dryness of intellectual discrimination and calls forth the highest form of love. Patanjali defines it as an "unbroken flow of thought toward the object of concentration" (YS III, 2), in which discursive and notional knowledge begin to give way to an experiential and intu-itive mode of knowing. For Ignatius, too, there is a progressive deepening from the discursive mode of knowing to the nondiscursive and intuitive. As he explains in SE §50, for example, one practices rational reflection on the subject matter so that the will may move the affections to a way of knowing beyond the intellect. That is, a deeper and simpler interiority leads to higher spiritual percep- 512 Review for Religious tions and an experiential knowledge of the truth. That is the aim of all true meditation, for as Ignatius explains, "It is not much knowledge which fills and satisfies the soul, but rather the inte-rior understanding of and relish of the truth" (SE §2). When one has intensified the power of meditation to such an extent that the totality of one's consciousness is indistinguishable from the meaning of the idea or object of one's meditation, one has reached the eighth and final step of yoga, samadbi, which Christians regu-larly refer to as a mystical union with God (YS II, 45; III, 3; III, 11). This mystical union is a state of contempla-tion in which one encounters God directly in an experience that is ineffa-ble- beyond words, beyond thought, beyond all conceiving. For Ignatius, too, meditation should lead to a mystical union with God, who can be found in all things (SE §235); the soul embraces divine things without any intervening agency. He seems to imply that this state of soul is the supreme end of prayer when he refers to a soul find-ing its Creator and Lord in a "consolation without previous cause" (SE §330 and §336). There is "direct" contact; God inflames the soul with "his love and praise" (SE §15; also §20), enabling it to "taste the infinite sweetness of divinity" (SE ~124). Ignatius describes this state of soul in his famous letter to Sister Teresa Rejadell: It frequently happens that our Lord moves and urges the soul to this or that activity. He begins by enlightening the soul; that is to say, by speaking interiorly to it without the din of words, lifting it up wholly to his divine love and our-selves to his meaning without any possibility of resistance on our part, even should we wish to resist.9 Meditation sweetens the dryness of intellectual discrimination and calls forth the highest form of love. The letter's wordless experience ("without the din of words") means that it is an experience "without concepts," "without par-ticular objects of thought."1° In other words, the person who obtains this direct experience of God has an ineffable experience of the divine. Ignatius empha-sizes this point at the end of the letter to Sister Rejadell when he 3~uly-Augus't 1994 513 Mohammed ¯ Yoga, Christian Prayer, and Zen says: "We have touched on a matter which can hardly be dealt with in a letter, at least without a much longer treatment. Even then there could be matters that could better be felt than put into words, let alone written down in a letter." ~i In his Spiritual Diary he writes that his own mystical experience can be compared only with the speech or music of heaven.~2 As we have seen, the eight elements of yoga given by Patanjali are paralleled in Ignatian spirituality. Let us now bring Zen Buddhism into our discussion, highlighting the techniques of Zen which differ from those of Ignatius but can be found in the Christian tradition. Zen, Yoga, and Ignatius To better understand Zen Buddhism, it may be helpful to know something of its background. Siddhartha Gautama (563- 483 B.C.) was an Indian prince who lived in what is now Nepal. Finding that religious truth based on the authority of others was at best a secondhand truth that can be called into question by competing truth claims, he renounced his kingdom to find through direct religious experience a way of salvation that is beyond words and creeds. One day while meditating near Caya, which is south of the present city of Patna, he received enlight-enment and became the Buddha, the Awakened One. Having found what he was seeking, out of compassion he spent the rest of his life teaching others how they, too, could find the truth first-hand. His teaching spread widely through two schools of thought: Theravada, which favored withdrawing into a monastery to pur-sue the path, and Mahayana, which maintained that the path to enlightenment is as applicable in the world as in the monastery. Zen Buddhism belongs to the Mahayana school of Buddhism found in Japan. In fact, the very word Zen is the Japanese coun-terpart of the Chinese word ch'an, which in turn is a translitera-tion of the Sanskrit word dhyan.a, meaning the meditation that leads to enlightenment. Thus the roots of Zen reach back into yoga, with its discipline of mind and body and its practice of med-itation. 13 The Zen Buddhist method of finding enlightenment can be found in a concise r~sum~ as given by Siddhartha himself: "Do not what is evil. Do what is good. Keep the mind pure. This is the teaching of Buddha." 14 514 Review for Religious The first step of Zen, "Do not what is evil," centers on social sin and corresponds to the first element of yoga given by Patanjali and found also in Ignatius. Avoiding evil is spelled out in the Five Buddhist Precepts (Pancha Sila) in terms of five abstentions: from killing, stealing, lying, illicit sex, and intoxicants. These absten-tions remind us of the Old Testament commandments and empha-size that the climb to enlightenment begins with purgation.'s The second step of Zen, "Do what is good," centers on char-ity and also parallels the second step of Patanjali and Ignatius. In the Buddhist tradition, doing what is good may be described as the practice of brotherhood in thought, word, and deed or compared to the love and good works of St. Paul (1 Co 13:4-7). It is a personal attitude and is purgative, too, inasmuch charity calls for detach-ment in the generous offering of oneself for the good of others. The third injunction, "Keep the mind pure"--or, in less poetic imagery, to discipline and purify the mind--again shows the influ-ence of yoga. Stages three to five in Zen parallel stages three to five in Patanjali (posture, breathing, and withdrawal of the senses), though there are differences in details. Stages six to eight (con-centration, meditation, and enlightenment) are so closely related that they form a unity, but in our discussion they will be treated separately, as in our comparison of Ignatius and Patanjali. Buddha's third injunction recalls one of the beatitudes of Jesus, "Blessed are the pure in heart, for they shall see God" (Mt 5:8). Doubtless, St. Paul had some discipline in mind when he said, "Be transformed by the renewing of your mind" (Rm 12:2), and exhorted us to train ourselves in godliness (1 Tm 4:7). More con-cretely, Zen's third element, like Patanjali's, is posture and refers to the place where one chooses to meditate as well as to the bod-ily position in which one meditates. With respect to the place, one should select a quiet spot in which to sit. But with respect to the position of the body, one is not allowed--as in Patanjali and Ignatius--to experiment to find a position that is stable and relaxed. One should normally meditate while sitting. And whether one sits in the full-lotus position or the half-lotus, or on one's heels and calves, or on a chair, one should satisfy at least three requirements: keep the head and spine erect; lower one's gaze to a point a yard or so away without focusing on anything in par-ticular; and fold one's hands, thumbs and first fingers pressed tightly together, and res~ them on the lap. In Zen experience these requirements facilitate the unification of the mind.~6 Mohammed * Yoga, Christian Prayer, and Zen The Bible recognizes the importance of place and posture in prayer. In the Old Testament God takes Hosea into solitude to hedge up all the ways he used to run after the desires and thoughts of the world (Ho 2:6). Moses retires to the wilderness to better commune with God (Ex 18:5, 19; 34:27-28), as does Elijah (1 K 17:3-6), and Ezekiel lies on his side for a long time (Ezk 4:4-5:1). In the New Testament, too, Paul (Ga 1:17), John the Baptist (Mt 3:1-6) and Jesus himself (Mt 4:1-2) go into the desert to be alone. Contemplative prayer, has to be inward, and this calls for disci-pline. Hence the advice of Jesus to his disciples: When you pray, go into a room by yore:self, shut the door, sit, and then pray to your Father in private (Mt 6:6). The fourth lesson is breathing, but not in the controlled form prescribed by Patanjali. Rather, when one has established oneself in a stable sitting position, one should take a deep breath, hold it momentarily, and then exhale through the nose slowly and quietly. After doing this two or three times, one should breathe natu-rally. 17 The fifth element of Zen deals with the mind abiding within itself and with the distractions that come from within (makyo). It corresponds to Patanjali's fifth element of yoga (pratyabara). Motionless, with head and spine erect and eyes lowered, breath-ing naturally, one begi~ns to experience a certain detachment from the world, but thoughts, memories, feelings may bubble up to the surface of the mind from the subconscious)8 These obstacles to concentration are due to doubt, sense desire, sloth, and tor-por and are often accompanied by excitedness and worry.19 Unlike Pataniali and Ignatius, who suggest implanting a contrary thought to eliminate these distractions (makyo), Zen teaches that one should merely ignore them. The Bible acknowledges the need to cope with distractions in prayer so that only the still small voice of God is heard, soft and light as an exhalation (1 K 19:12). The sixth element of Zen is concentration. Because the human mind cannot rest inactive, it has to be prevented from dispersing itself among a multiplicity of thoughts and memories by being provided with some inner task to satisfy its need for activity. The task can be to focus on fi chosen topic or idea by means of images or discursive reasoning, as we saw in Patanjali and Ignatius. But even Patanjali and Ignatius recognize that this is not the only way of achieving one-pointed concentration. Another way recalls the saying of Matthew 6:7 that in praying we should not heap up 516 Review for Religious empty phrases, thinking that we will be heard for our many words. This other way, by contrast, consists in only one word or one short phrase repeated over and over attentively. To still the mind by thus restricting one's rational consciousness has a long history in both Eastern and Christian spirituality and is the method taught by the Hare Krishna and Transcendental Meditation movements. Patanjali, echoing Proverbs 18: i 0 that "The name of the Lord is a strong tower: the righteous runs into it and is safe," teaches that the attentive repetition of the name of God, like the use of images and discursive reasoning, can lead one into the intuitive consciousness of meditation in stage seven (YS I, 28). And Ignatius teaches, in his second and third methods of prayer, that the rep-etition of a single word or phrase, coordinated with one's breath-ing, can deepen concentration (SE §252 and §258). A 14th-century Catholic mystic explains this method of concentration in The Cloud of Unknowing: If you want to gather all your desire into one simple word that the mind can easily retain, choose a short word rather than a long one. A one-syllable word such as "God" or "love" is best. But choose one that is meaningful to you. Then fix it in your mind so that it will remain there come what may . Use it to beat upon the cloud of darkness above you and subdue all distractions, consigning them to the cloud of forgetting beneath you. Should some thought go on annoying you, demanding to know what you are doing, answer it with this word alone. If your mind begins to intellectualize over the meaning and connotations of this little word, remind yourself that its value lies in its sim-plicity. Do this and I assure you that these thoughts will vanish. Why? Because you have refused to develop them with arguing.2° In the history of Christian spirituality, John Cassian (360?-432?) was the first person to describe this practice of rep-etition, which he learned from the desertfathers. He does so in chapter i0 of his Tenth Conference, one of the most beautiful passages in Christian writing, using this verse: "Come to my help, 0 God; Lord, hurry to my rescue" (Ps 69:2).2~ John Climacus (579-649) attaches particular importance to the repetition of the Jesus Prayer.22 Later on, the standard form of this prayer, "Lord Jesus Christ, Son of God, have mercy on me," was widely prac-ticed in the monasteries of Mount Athos. This prayer, combined with respiratory discipline and bodily posture as a preparation j~uly-Aug.ust 1994 517 Mohammed ¯ Yoga, Christian Prayer, and Zen for entrance into meditation (techniques similar to those found in yoga), became the soul of the Hesychast movement in the 13th century23 and in recent centuries has spread widely among the Orthodox churches, whence comes that little gem of a book The VVay of a Pilgrim.24 A similar method of deepening concentration appears both in the repetition of the Hail Mary in the rosary and in Gregorian chants. In all these examples from Hinduism and Christianity, repetition is a way of restricting reflective consciousness. It is a kind of weapon for warding off discursive reasoning, thinking, and conceptualization. It narrows the horizon of rational con-sciousness and prepares the mind for a breakthrough into intuitive consciousness in stage seven. While Patanjali and some Christian writers teach a method for developing concentration that avoids a multiplicity of words, so concerned is Zen with the limitations of words and ideas that it makes transcending them the central point of its method. The two principal schools of Zen, the Soto and the Rinzai, teach meth-ods of concentration that try to get one unhooked from words and thoughts from the very start. The Soto school proposes con-centration on one's breath, inhalation and exhalation, instead of on any words, while the Rinzai school makes use of a koan (a puz-zle or paradox) to put pressure on the mind until the structures of ordinary thinking collapse completely, clearing the way for one's entrance into intuitive consciousness in stage seven and for the sudden flash of insight or enlightenment in stage eight.25 The koan functions in a manner not unlike the sayings of Jesus that oblige one to reach for insight beyond the normal conventions of thought: "Those who find their life will lose it" (Mt 10:39) and "Unless a grain of wheat falls into the ground and dies, it remains just a single grain; but if it dies, it bears much fruit" (Jn 12:24). Ignatius does not mention either of these methods (Soto and Rinzai) among his prayer suggestions. The Zen distrust of words as keys to concentration reminds us that the prohibition of images of God enjoined at Mount Sinai (Ex 20:1-5 and Dt 5:8-9) goes well beyond images engraved on stone or wood to include our words and concepts. Since no one has ever seen God (Ex 33:17-23; Jn 1 : 18), God is a mystery and so unknowable. Isaiah's confession of God's hiddenness implies that God lies beyond the range of the intellect (Is 45:15). Paul makes the same point when he says that God dwells in "unap- 518 Review for Religious proachable light" (1 Tm 6:16) and when he tells us that any expe-rience of God surpasses all understanding (Ph 4:7). For Paul, to be morbidly concerned over mere verbal questions and quibbles leads us to lose our grasp of the truth (i Tm 6:5). He and Jeremiah go as far as to say that clinging to images of God is an impediment to finding the living God and is a form of idolatry (Rm 1:23; Jr 2:11). The Zen attitude to words reminds us that not everyone who says "Lord, Lord" shall enter the kingdom (Mr 7:21-23) and that, to encounter God, we must be still and let God be God (Ps 46:10). Many Christian mystics teach a wordless nondiscursive path to God that resembles the teaching of Zen. For example, Dionysius in the early 6th cen-tury says that "as you look for a sight of mysterious things," you "must leave behind you every-thing perceived and understood" and "strive upward as much as you can toward union with him who is beyond being and knowl-edge.'' 26 In the 14th century the anonymous author of The Book of Privy Counselling gives this advice to his disciples: "When you go apart to be alone., reject all thoughts, be they good or be they evil.''27 The French Jesuit Jean-Pierre de Caussade (1675-1751) writes that we should pray "with a simple gaze., without using any reasoning" and "pay no attention to distractions.'2s John of the Cross (i 542-1591) advocates the abandonment of thinking in order to make way for intuitive consciousness in stage seven when he observes: "The attitude necessary., is to pay no attention to discursive meditation." All that is required is to liberate oneself "from the impediment and fatigue of ideas and thoughts and care not about thinking," for "desires disquiet the soul and distract it from the peaceful quiet and sweet idleness of the contemplation which is being communicated to it.''29 The Benedictine historian and exegete John Chapman (1865-1933) considers the spiritual-ity of John of the Cross to be Buddhistic;3° the Cistercian Thomas Merton (1915-1968) believes that "Zen is nothing but John of the Cross without the Christian vocabulary.''31 Many Christian mystics teach a wordless nondiscursive path to God that resembles the teaching of Zen. July-August 1994 519 Mohammed ¯ Yoga, Christian Prayer, and Zen The sudden coming of enlightenment at stage eight in Zen has many parallels in Christian spirituality: "The Lord spoke sud-denly to Moses" (Nb 12:4), and on the road to Damascus "sud-denly a great light shone about [Saul]" (Ac 22:6). The enlightenment experience, whenever it appears, is ineffable. When Jeremiah encounters God directly, he does not know how to speak (Jr 1:6). When Paul is "caught up into Paradise," he is unable to say what happened to him (2 Co 12:3). St. Thomas Aquinas, fol-lowing the Zen dictum that those who know do not tell and those who tell do not know, chooses to say nothing except that his enlightenment leaves the Summa Theologiae looking like so much straw. Enlightenment brings joy and a feeling of oneness with all things and a heightened sense of reality. It is an experience not unlike that which Ignatius had on the bank of the Cardoner: As he sat there the eyes of his understanding were opened, and though he saw no vision he understood and perceived many things, numerous spiritual things as well as matters touching on faith and learning, and this was with an eluci-dation so bright that all these things seemed new to him. He cannot expound in detail what he then understood, for they were many things, but he can state that he received such a lucidity in understanding that during the course of his entire life--now having passed his sixty-second year--if he were to gather all the helps he received from God and everything he knew and add them together, he does not think that they would add up to all that he received on that one occasion.32 Seeing reality more clearly and the cosmic feeling that all created things are bound up together belongs to the very essence of Ignatian mysticism, as it does to Zen. This accounts for the cry of the soul expressed early in the Exercises: "The heavens, sun, moon, stars, and the elements; the fruits, birds, fishes, and other animals--why have they all been at my service?" (SE ~60), and accounts as well for the Contemplation to Attain the Love of God at the end (SE §§230-237). Personal Prayer and Interreligious Dialogue Our study has shown that Patanjali, Ignatius, and Buddha all agree that, for religion to be personally authentic, it must involve some direct religious experience and not be merely an affirmation of propositions accepted on the basis of authority--a teaching 520 Review for Religious that seems to be alluded to in the Epistle of James. Moreover, in spite of certain denials, all three make it clear that a personal, direct experience of the ground of one's salvation requires some kind of prior discipline to establish oneself in silence, not just physical silence but a silence of the senses, a silence of the mind, until that silence is reached for which there is no word. Contemplative prayer is the usual name for such a discipline. There are at least eight elements in the praxis of contemplation, and these elements are common to yoga, Ignatius, and Zen. Elements three and four (posture and breathing) in all three spir-itualities insist that contemplative prayer is not exclusively a men-tal or inner activity, but is accomplished in unison with the body, though Zen emphasizes posture more than yoga and Ignatius do and yoga places more stress on breathing than either Zen or Ignatius. In element six, both Patanjali and Ignatius teach a dis-cursive method for deepening concentration, based on the use of images and reason, and a nondiscursive method, based on the repetition of a word or short phrase. Zen teaches only a nondis-cursive method aimed at emptying the mind of all thoughts and images. Patanjali acknowledges that the Zen method of concen-tration can lead one into intuitive consciousness, as do many Christian mystics, though Ignatius makes no mention of it. If today Zen and Hindu meditation movements, like Transcendental Meditation, have a wide appeal among Westerners, it is in large part due to the fact that they teach nondiscursive techniques for entering contemplation. This is a significant point, not only for the dialogue between Ignatian spirituality and Eastern religions, but also--inasmuch as many Christians ignore the contribution of the body to prayer and many others are disaffected with discur-sive prayer--for the directing of Ignatian retreats. Notes ~ "Address to the Staff Members of the World Council of Churches Sub-Unit and the Pontifical Council for Interreligious Dialogue," in The Bulletin of the Pontificium Consilium pro Dialogo inter Religiones 78 (1991): 26/3,307-308. z For example, Heinrich Dumoulin, A History of Zen Buddhism (Boston: Beacon Press, 1969) and Christianity Meets Buddhism (La Salle, Illinois: Open Court Publishing Company, 1974); H.M. Enomiya-Lassalle, Zen Meditation for Christians (La Salle, Illinois: Open Court Publishing Company, 1974) and Zen--VVay to Enlightenment (London: Sheed and Ward, 1976); J.K. Kadowaki, Zen and the Bible (London: Routledge and d71~ly-August 1994 521 Mohammed ¯ Yoga, Christian Prayer, and Zen Kegan Paul, 1980); Daniel J. O'Hanlon, "Zen and the Spiritual Exercises: A Dialogue between Faiths," Theological Studies 39, no. 4 (December 1978): 737-768; William Johnston, The Still Point (New York: Fordham University Press, 1970), The Inner Eye of Love (San Francisco: Harper and Row, 1978), Silent Music (New York: Harper and Row, 1974), and Christian Zen (New York: Harper and Row, 1971). 3 O-bey N. Mohammed, "Ignatian Spirituality and the Bhagavad Gita," Thought 62, no. 247 (December 1987): 423-434. 4 Mircea Eliade, Yoga (Princeton: Princeton University Press, 1971), p. 4. s Dom Aelred Graham, Zen Catholicism (New York: Harcourt, Brace and World, 1963), p. 123. 6 For references to the I~ga Sutras, see Swami Prabhavananda and Christopher Isherwood, trans., How to Know God: The Yoga Aphorisms of Patanjali (New York: New American Library, 1953), or I.K. Taimni, The Science of Yoga: The Yoga Sutras of Patanjali (Wheaton, Illinois: Theosophical Publishing House, 1975). Hereafter all references to the Yoga Sutras are indicated as YS. For references to the Spiritual Exercises, see Louis J. Puhl, trans., The Spiritual Exercises of St. Ignatius (Chicago: Loyola University Press, 1951). Hereafter all references to the Spiritual Exercises are indicated as SE. 7 Eliade, pp. 48-49. 8 R.C. Zaehner, trans., The Bhagavad Gita (London: Oxford University Press, 1973). 9 Letters of St. Ignatius of Loyola, trans. William J. Young (Chicago: Loyola University Press, 1959), p. 22. ~0 Karl Rahner, The Dynamic Element in the Church (Montreal: Palm Publishers, 1964), p. 153. ~ Letters, p. 23. ~2 The Spiritual Diary of St. Ignatius of Loyola, trans. William J. Young (Woodstock: Woodstock College Press, 1958), p. 44. ~3 For material on Zen written by non-Jesuits, see C.H. Hambrick, "Zen Buddhism," in The Encyclopedic Dictionary of Religion (Washington, D.C.: Corpus Publications, 1979); Alan W. Watts, The Way of Zen (New York: Vintage, 1957); Shunryu Suzuki, Zen Mind, Beginner's Mind (New York: Weatherhill, 1970); D.T. Suzuki, An Introduction to Zen Buddhism (London: Arrow Books, 1959) and Essays in Zen Buddhism. First Series. (London: Rider and Company, 1970); Christian Humphreys, Zen Buddhism (London: Unwin Books, 1971); Thomas Merton, Mystics and Zen Masters (New York: Dell Publications, 1967) and Zen and the Birds of Appetite (New York: New Directions, 1968); Philip Kapleau, The Three Pillars of Zen (Boston: Beacon Press, 1967); Graham, Zen Catholicism (see note 5). ,4 The Dhammapada, trans. Juan Mascaro (Harmondsworth, Middlesex: Penguin Books, 1973), verse 183. 522 Review for Religious ~s Christian Humphreys, Buddhism (Harmondsworth, Middlesex: Penguin Books, 1975), pp. 111-115. ,6 On posture see Johnston, Christian Zen, pp. 105-109; Enomiya- Lassalle, Zen--Way to Enlightenment, pp. 103-109; Kapleau, pp. 18-20, 30-31, 34, 317-320. 17 On breathing see Enomiya-Lassalle, Zen--Way to Enlightenment, pp. 109-110; Johnston, Christian Zen, pp. 77-80; Kapleau, p. 32. 18 On makyo see Kapleau, pp. 38-41, 100-102; Johnston, The Still Point, pp. 9-10, 36. 19 Edward Conze, ed., Buddhist Scriptures (Harmondsworth, Middlesex: Penguin Books, 1971), p. 246, "Hindrances." 20 William Johnston, trans., The Cloud of Unknowing and The Book of Privy Counselling (New York: Image Books, 1973), p. 56. 21 John Cassian, Conferences, trans. Colm Luibheid (New York: Paulist Press, 1985), pp. 132-140. 22 John Climacus, The Ladder of Divine Ascent, trans. Colm Luibheid and Norman Russell (New York: Paulist Press, 1982), pp. 45-47. 23 Eliade, pp. 63-65; Gaspar M. Koelman, Patanjala Yoga (Poona: Papal Athenaeum, 1970), pp. 195-196; J.-M. Dfichanet, Christian Yoga (New York: Harper and Brothers, 1960), pp. 173-183. 24 Translated by Helen Bacovin (Garden City: Image Books, 1978). 25 Dumoulin, A History of Zen Buddhism, pp. 135-13 6; Shunryu Suzuki, p. 33. 26 Pseudo-Dionysius, "The Mystical Theology," I, I, in The Complete Works of Pseudo-Dionysius, trans. Colin Luibheid (New York: Paulist Press, 1987), p. 135. 27 Johnston, The Cloud of Unknowing and The Book of Privy Counselling, p. 149. 28 The Spiritual Letters of P.J. de Caussade on the Practice of Self- Abandonment to Divine Providence, trans. Mgar Thorold (London: Burns, Oates and Washbourne, 1948), p. 39. 29 John of the Cross, "The Dark Night of the Soul," I:10, 4, in Selected Writings, ed. Kieran Kavanaugh OCD (New York: Paulist Press, 1987), pp. 185-186. 3°John Chapman, Spiritual Letters (London: Sheed and Ward, 1989), p. 269. 31 Thomas Merton, Springs of Contemplation: A Retreat at the Abbey of Gethsemani, ed. Jane Marie Richardson (New York: Farrar, Straus, Giroux, 1992), p. 177. 32 Joseph N. Tylenda, trans., A Pilgrim's Journey: The Autobiography of Ignatius of Loyola (Wilmington: Michael Glazier, 1985), pp. 38-39. July-August 1994 523 FREDERICK E. CROWE The Ignatian Exercises and Jesuit Spirituality Tere is a tendency, noted more in passing remarks than in ematic studies, to equate Jesuit spirituality with the Spiritual Exercises of St. Ignatius of Loyola. I do not know whether anyone has ever made the equation in so many words, but one hears it said that the Exercises are the wellspring of Jesuit life, that Jesuit spirituality is to be found above all in the Exercises, that the Exercises are the basis of Jesuit spirituality, that Jesuits have a vision given them by the Exercises, and so on. There is a profound truth in all these statements, but just because the truth in them is so very profound and so very true, it seems to me all the more necessary to state explicitly that it is not the whole truth and to think out clearly the relationship of the Exercises to Jesuit, and any other, spirituality. Otherwise part of the truth is easily taken to be the whole truth, and so we come imper-ceptibly to identify two distinct elements in Jesuit spirituality: the Exercises, and the complex history that culminated in Ignatius's Constitutions for the Society of Jesus. Then, since innocently defi-cient ideas still have consequences, we arrive at two practical errors: pointing the Exercises toward a spirituality they do not intend and depriving Jesuit spirituality of its specific character, as found most notably in the Constitutions. Frederick E. Crowe SJ is well known for his books and articles on the thought of Bernard Lonergan SJ. He may be addressed at Lonergan Research Institute; 10 St. Mary Street, Suite 500; Toronto, Ontario M4Y 1P9; Canada. 524 Review for Religious Two simple lines of reasoning should, it seems to me, estab-lish the point I am making. The first is a thought experiment that makes the case in a more graphic way than my abstract assertion. Let us imagine two men with the proper dispositions who both make the Spiritual Exercises. One of them emerges from the thirty days with a decision to seek admission to the Jesuits. The other emerges with a decision to join the Carthusians. Is this an impos-sible scenario? Will anyone tell the Holy Spirit, "You cannot do that; the Exercises are identified with Jesuit spirituality; you really cannot use them to direct someone to the Carthusians"? Or would anyone say that the Carthusian vocation here is due to a failure of the exercitant to be guided by the Spirit, that the Spirit was directing him elsewhere, that he is in fact a Jesuit manque? I mean this, of course, as a reductio ad absurdum, for no one would dream of tak-ing such a position on what the Holy Spirit should or should not do, or of attributing a failure to respond properly if the exerci-tant does not decide to be a Jesuit. And a parallel statement could be made about two women emerging from their Ignatian retreat, one to become a Poor Clare, the other to become a social worker; or about a man and woman emerging with plans for matrimony. My other line of reasoning takes us to actual history. We might ask: What were the first companions of Ignatius doing in the years that followed their experience of making the Exercises, say between 1534 and 1540, a period in which they were steadily seeking the divine will? Why, if the Exercises had already deter-mined what the Jesuit spirituality and way of proceeding was to be, did they run through so many different options before they set-tled on that way? What, indeed, was Ignatius himself doing for nearly two decades after Manresa, wandering around Europe and the Holy Land before he found his destined way of life? And a still more pointed question: What was he doing in the dozen years of "blood, toil, tears, and sweat," during which he laboriously worked out the Jesuit Constitutions? The answer seems obvious in all these questions: Ignatius and his first companions were seeking some-thing the Exercises had not given them. Will anyone tell the Holy Spirit, "You really cannot use the Ignatian Exercises to direct someone to the Carthusians" ? July-August 1994 525 Crowe ¯ The Ignatian Exercises and yesuit Spirituality I believe that we need to face these questions and work out with all possible accuracy what role the Exercises may play in Jesuit or any other spirituality' and how that role may be complemented by the distinct and specifying roles that different spiritual tradi-tions may contribute--for Jesuits, in the way their Constitutions, above all, determine for them; for Carthusians, Poor Clares, and other religious institutes, in ways that they also have worked out for themselves and that I need not try to determine for them here. Is there then a spirituality in the Exercises? Yes, indeed, the very highest. If we leave aside the case of those who are not dis-posed to go beyond the First Week (§18),2 the aim of the Exercises is to bring exercitants, whatever their state in life is to be and wherever God will direct them, to choose to live under the stan-dard of Christ: "We shall also think about how we ought to dis-pose ourselves in order to come to perfection in whatsoever state or way of life God our Lord may grant us to elect" (~135)3- which means embracing the way of Christ, in the highest poverty, spiritual poverty certainly and if God wills it in actual poverty as well; in willingness also to bear opprobrium and injuries in order to imitate him the better (§147); and again, when God is served equally by either of the two alternatives, to choose poverty with Christ poor rather than riches, opprobrium with Christ covered with opprobrium rather than honors, to be counted vain and stupid with Christ so counted rather than wise and prudent in this world (§167); and so forth. The real question is: How does this spirituality relate to the various specific spiritualities to which various individual exercitants may be called? I will suggest a few ways of conceiving the relation, ways that follow more traditional lines of thought and shed some light on the matter, none of them quite satisfactory, but each adding an element of understanding. And then I will propose another approach to the whole question. The obvious pair of terms to define the relationship in ques-tion is generic and specific: the Exercises have a generic spiritual-ity, the following of Christ; then, giving more determinate content to this, we have the specific spiritualities of Jesuit, Carthusian, and so on. I have drawn on these concepts already to start dis-cussion; they contribute some clarity, but they use the language of logic, which seems simply inadequate for so spiritual a question. Another useful set of terms would be infrastructure and super-structure. To follow Christ is infrastructure for whatever way of life 526 Review for Religious we choose to follow; on this basis one builds a superstructure of, say, the Jesuit way of proceeding. These terms from the world of civil engineering clarify our question rather nicely. Still, they make the following of Christ the invisible element, or at any rate not the focus of attention--a situation that does not correspond to any voca-tion emerging from the Exercises. A third set might be the concepts of the compact and the differentiated that have now come into general use, mainly, I believe, through the influ-ence of Eric Voegelin. Bernard Lonergan also has some helpful pages on the process from the compactness of the symbol, where very profound truths may be contained and grasped, to the enucleated and analyzed differ-entiations of scientists, philosophers, and theologians. He illustrates the process by Christology and the "tran-sition from a more compact symbolic consciousness expressed in the New Testament to a more enucleated theo-logical consciousness expressed in the great Greek councils.''4 Once again we have a pair of terms that provide some understanding--certainly the various spiritualities are differentiated from one another (one has only to adduce again the example of Carthusian and jesuit)- but do they also contain the unwelcome hint that the various dif-ferentiations divide up something that the compact contained in its wholeness? A fourth pair, made familiar in social studies, is the communal or collective and the particular or individual. Our communal spiri-tuality is the way of Christ; our individual spirituality is the par-ticular way of life in which we follow Christ. This seems a promising line of thought, but working out the relation between the communal and the individual, we would need to see how the communal is explicit in the particular andhow the particular con-tains without loss the whole of the communal. No doubt we could add to this list and pursue similar paired meanings with considerable profit, but I wonder if in the end it We need to work out with all possible accuracy what role the Exercises may play in Jesuit or any other spirituality. July-August 1994 527 Crowe ¯ The Ignatian Exercises and Jesuit Spirituality would bring us to the heart of the matter. I wonder in fact if our aim here is not a bit off center, if we should not approach the problem from another perspective altogether. For in the various pairs we have considered, the first member seems to remain incomplete until the second is added, and the second has always to be concerned that it incorporates the whole of the first. Further, the second term in each pair is thought of as an end product with its meaning determined: what a Jesuit is, what a Carthusian is-- these are already more or less clearly defined, belong to an estab-lished order, are in some measure static. Does such thinking deal adequately with the dynamism of the Exercises? I would like to explore a somewhat different approach. In this line of thought it is the heuristic character and therefore the dynamism of the Exercises that will be the focus. But all dynamic movement, all searching, all heuristic activity suppose and take place within a horizon that determines the activity and defines the source of energy for the search; I therefore need to study first the idea of horizon. For both terms, horizon and heuristic, I draw directly on the work of Bernard Lonergan. For the meaning of horizon, it will be best simply to quote Lonergan's account of the matter: In its literal sense the word, horizon, denotes the bound-ing circle, the line at which earth and sky appear to meet. This line is the limit of one's field of vision. As one moves about, it recedes in front and closes in behind so that, for different standpoints, there are different hori-zons. Moreover, for each different standpoint and hori-zon, there are different divisions of the totality of visible objects. Beyond the horizon lie the objects that, at least for the moment, cannot be seen. Within the horizon lie the objects that can now be seen. As our field of vision, so too the scope of our knowl-edge, and the range of our interests are bounded. As fields of vision vary with one's standpoint, so too the scope of one's knowledge and the range of one's interests vary with the period in which one lives, one's social back-ground and milieu, one's education and personal devel-opment. So there has arisen a metaphorical or perhaps analogous meaning of the word, horizon. In this sense what lies beyond one's horizon is simply outside the range of one's knowledge and interests: one neither knows nor cares. But what lies within one's horizon is in some measure, great or small, an object of interest and of knowledge,s 528 Review for Religious It is easy to apply this idea to the world of the Spiritual Exercises. One enters upon them with a given horizon, vaguely or clearly conceived: "the range of one's knowledge and interests"; for example, maybe one is led by a spirit of repentance or by anxiety about one's salvation. One makes the First Week, remaining for the most part within such a horizon--with glimpses of something beyond, to be sure, in such passages as the colloquy at the end of the first exercise (§53). But if one responds to the call of Christ in the Kingdom exercise (§91), one pushes back the previous horizon to work within a new one, far wider, with far greater potential, a horizon that is all-encompassing, a boundary that is in fact no boundary for it encloses a territory that is boundless. Now it is this ultimate hori-zon, and not any relative and con-fining horizon, that I would equate with the spirituality of the Exercises. The horizon of those who should not be led beyond the First Week is narrow and con-fining. What happens when one enters the Second Week with the mind and heart of those who would "show greater devotion and . . . distinguish themselves in total service to their eternal King and universal Lord" (§95)? What happens is the discovery of a new horizon, the horizon defined by Christ the Lord. The horizon is established in the exercises on Two Standards (§§ 136- 148) and Three Ways of Being Humble (§§165-168); details are added in the Mysteries of the Life of Christ Our Lord (§261); and in the Third and Fourth Weeks communion with Christ (what the Germans call Mitsein) fortifies the attraction of the good with the power of love and the interpersonal. This does not happen without the grace of God and a con-version. For besides the ultimate horizon there are relative hori-zons. There are shifts in our relative horizon as we move, say, from school days to the work force, and this shift may occur as a normal development of potentialities. "But it is also possible that the movement into a new horizon involves an about-face; it comes out of the old by repudiating characteristic features; it begins a Communion with Christ fortifies the attraction of the good with the power of love. 3~dy-Aug~t 1994 529 Crowe ¯ The Ignatian Exercises and yesuit Spirituality new sequence that can keep revealing ever greater depth and breadth and wealth. Such an about-face and new beginning is what is meant by a conversion.''6 Against that background we turn to the idea of the heuristic, taking as our context the fact that the Exercises are a search. Thus, the first annotation tells us: Our purpose, after removing obstacles, is to seek and to find the divine will (§1), and the fif-teenth annotation has advice for those who during the Exercises are seeking God's will (§15). Or, as is repeated over and over, recurring like a refrain, we are to seek what gives glory to God (§16). In the key stage of the Election, "While continuing our contemplations of [Christ's] life, we now begin simultaneously to explore and inquire: In which state or way of life does the Divine Majesty wish us to serve him?" (§135). And still, at the heart of the Exercises, in the meditation on the Three Classes of Men, we are seeking to "desire and know what will be more pleasing to the Divine Goodness" (§151). We are, then, in an area in which the idea of the heuristic plays a central role. My Webster's dictionary defines heuristic as "serving to guide, discover, or reveal." A helpful point: the famous "Eureka" of Archimedes is from the same Greek root; it means "I have found [it]; I have discovered the secret." Now this line of thought is thoroughly developed in Bernard Lonergan, and I find his treatment of the idea helpful for understanding the process and dynamic of spiritual search that the Exercises are. In his usage a heuristic notion tries to give some advance notice of what we hope to find; it is an anticipation of the answer we seek to a ques-tion; it is not a determinate concept, like various concepts in physics or chemistry or biology; it is an indeterminate anticipation. The nearly perfect word for this way of conceiving in antic-ipation what we have not yet deter'mined in particular is what-ever, and the nearly perfect use of whatever we can find right in Scripture. Paul, writing to the Philippians (4:8), exhorts them to focus on "whatever is true, whatever is honorable, whatever is just, whatever is pure, whatever is pleasing, whatever is com-mendable" (NRSI~ in the Douai translation, "whatsoever"). Well, what is true? what is honorable, just, and so on? That will emerge with each new day, and meanwhile we are guided by its anticipa-tion in that "whatever." To come, then, to the present point, Ignatius and Paul are at one in conceivin, g by anticipation what they do not yet determine 530 Revie~v for Religious in particular. Apropos of the Election, Ignatius writes that we are to "think about how we ought to dispose ourselves in order to come to perfection in whatsoever state or way of life God our Lord may grant us to elect" (§ 135). It is possible now to bring these two ideas together in a new understanding of the relationship of the Exercises and Jesuit or other spirituality. My brief statement of the case would be that the horizon of the Exercises and the spirituality they directly intend is established in the exercise on the Two Standards (§§ 136-148) and the exercises that directly relate to it; further, that the heuristic of the Exercises is epitomized in the Election (§§169-188), where we search for and discover and embrace the state of life God intends for us. And the relationship between the two is indicated in the Introduction to the Consideration of the States of Life: "We shall also think about how we ought to dispose ourselves in order to come to perfection in whatsoever state or way of life God our Lord may grant us to elect" (§135). Perfection as defined in the Two Standards and their retinue of exercises is the horizon; but "whatsoever state" God may direct us to is another matter: it rep-resents the heuristic element. The Exercises do not, therefore, intend any one spirituality; their objective ordination, what the scholastics would call their finis operis, is neither Jesuit nor Carthusian spirituality, nor any other; they intend what God will choose, and their finis operis is a "whatever." What we therefore first conceived as generic, as infrastructure, as compact, as communal, we now conceive as a horizon; and what we first conceived as specific, as superstruc-ture, as differentiated, as individual, we now conceive as the area within that horizon that we discover to be God's will for us. But in moving from one to the other we do not add some-thing specific that was not contained in the genus, for everything is contained in the horizon; and, for those who respond fully, the whole spirituality of the horizon enters every vocation and every state of life. The situation is more like that of the incarnation: as the fullness of the Godhead dwells in Christ (Col 1:19), so the fullness of the horizon of Christ is the world in which we dwell, Jesuit and Carthusian and all others that respond fully to the call of the Kingdom exercise. And similarly, the "superstructure" we conceived as our way turns out to be what we may call an "addition," but an addition to what is already complete (like the humanity of Christ added to the July-August 1994 531 Crowe ¯ The Ignatian Exercises and Jesuit Spirituality God's will is the supreme heuristic notion guiding the exercitant, and the Exercises are a heuristic device. eternal and infinite Word). The "differentiation" we spoke of is not a dividing off of a part, but the incorporation of the whole, and the "individual" contains the fullness of the communal. Thus, one is everywhere safe within the all-encompassing arms of the Christian horizon; one is never in exile, never outside the shores of home, never a wanderer like the prodigal son in dis-tant lands. One does not, therefore, go beyond this horizon to be a Jesuit or to be a Carthusian or to find some other particular vocation. There is nothing there beyond it. It is the all-encompassing. Just as within any rel-ative horizon of geography one can go north or south, east or west, with-out going beyond the horizon, so within the ultimate horizon estab-lished by Christ one can become a Jesuit or a Carthusian, but one cannot go beyond the horizon set by Christ; one can only contract that horizon by living an inauthentic Jesuit life or liv-ing an inauthentic Carthusian life. Further use of the ideas of heuris-tic and horizon is readily made. In Lonergan's thought one can speak of heuristic notions and heuristic devices. There is the notion of being, the notion of the good, and so on; but there are also the heuristic structures that promote the discoveries we seek (his rather famous scissors action of heuristic method). One could say that God's will is the supreme heuristic notion guiding the exercitant and that the Exercises are a heuristic device, an instru-ment par excellence for finding God's will, maybe with a kind of scissors action too. (I do not, however, call the Exercises the supreme heuristic device, for we do not limit God's creativity to what was divinely done in Ignatius, and we do not know what successor God may be preparing for Ignatius.) Again, still in Lonergan's thought, one can speak of interrelationships in the set of horizons, of their complementary, genetic, and dialectical differences. But that would add length to an article that is already 532 Review for Religious long enough, and introduce further specialized categories where they are already rather extensive. Notes ~ Eventually such a study should come to the details of particular spiritualities, but that is a further step. Here I intend the word in a broad sense: "spirituality" includes, therefore, elements of doctrine and practice, of vocation and way of proceeding, of tradition and orientation, of rules and constitutions, and so on, without specifying what these may be for Jesuit, Carthusian, and other vocations. 2 The Spiritual Exercises of Saint Ignatius: A Translation and Commentary, by George E. Ganss SJ (St. Louis: Institute of Jesuit Sources, 1992), no. 18 in the numbering that is standard for all editions. All English quota-tions will be from this edition; numbers will be given in parentheses in the text. 3 In the Latin, "ut veniamus ad perfectionem in quocumque statu seu vita, quam Deus Dominus noster eligendam nobis dederit" (§ 135). The "quocumque" is the "whatever" I will presently discuss. 4 Bernard Lonergan, Topics in Education (The Cincinnati Lectures of 1959 on the Philosophy of Education), ed. Robert M. Doran and Frederick E. Crowe (University of Toronto Press, 1992), pp. 55-58. On Eric Voegelin see Kenneth Keulman, The Balance of Consciousness: Eric Voegelin's Political Theory (Pennsylvania State University Press, 1990), pp. 92-93: "What the pattern of symbolizations indicates is the development from compact to differentiated forms . The terms "compact" and "dif-ferentiated" refer not only to the symbolizations, but also to the charac-teristic forms of consciousness that generate them." s Bernard Lonergan, Method in Theology (2nd ed. reprint, University of Toronto Press, 1990), pp. 235-236. 6 Ibid, pp. 237-238. I add a few helpful quotations: "Horizontal lib-erty is the exercise of liberty within a determinate horizon and from the basis of a corresponding existential stance. Vertical liberty is the exer-cise of liberty that selects that stance and the corresponding horizon" (ibid, p. 40, with a reference to Joseph de Finance). "For falling in love is a new beginning, an exercise of vertical liberty in which one's world undergoes a new organization" (ibid, p. 122). "A horizontal exercise {of freedom] is a decision or choice that occurs within an established horizon. A vertical exercise is the set of judgments and decisions by which we move from one horizon to another" (ibid, p. 237). "Further, deliberate decision about one's horizon is high achievement. For the most part peo-ple merely drift into some contemporary horizon. They do not advert to the multiplicity of horizons. They do not exercise their vertical liberty by migrating from the one they have inherited to another they have dis-covered to be better" (ibid, p. 269). July-August 1994 533 JOAN MUELLER The Suscipe Revisited " J here~T~ is little doubt that one of the most famous excerpts .~- of the Ignatian Spiritual Exercises is the Suscipe--"Take, Lord, Receive." In recent years its popularity has increased through John Foley's musical rendition of the text? Those who have made a thirty-day or a nineteenth-annotation Ignatian retreat are likely to recognize this prayer: Take, Lord, and receive all my liberty, my memory, my understanding, and all my will--all that I have and possess. You, Lord, have given all that to me. I now give it back to you, 0 Lord. All of it is yours. Dispose of it according to your will. Give me your love and your grace, for that is enough for me.2 Directors of the Spiritual Exercises soon discover a variety of responses to the Suscipe. Some retreatants admit that they decide to what degree they pray it. The prayer feels like a radical, even reckless risk. Some, then, pray "to desire to desire" to enter into this prayer. Others simply decide to pray it with less intensity than they pray other prayers that feel less radical. Some retreatants report that the Suscipe begins to move through their consciousness like a mantra without their having any memory of deciding to pray it in this way; there is a passive, almost unconscious move-ment going on. Some people, however, pray the Suscipe with gusto, as if it is their greatest joy to make the words their own. Such people experience giving everything over to God as their true freedom. Joan Mueller OSF is assistant professor of systematic theology at Saint Francis Seminary and teaches in the summer spirituality program at Creighton University in Omaha, Nebraska. Her address is Saint Francis Seminary; 3257 South Lake Drive; Saint Francis, Wisconsin 53235. 534 Review for Religious Even though directors are well aware that the Exercises are designed to foster personal response to the gospel, we may won-der how one prayer can elicit such a variety of responses. We could probe this question by means of various methodologies: personality theories, enneagram numbers, prayer styles, and so forth. In this essay I propose examining the question through a consideration of the dynamics of the Exercises. A Dynamic Theory of the Spiritual Life The Ignatian Spiritual Exercises can be seen as a paradigm for spiritual growth. Many such paradigms exist in the Christian spir-itual tradition: St. Teresa of Avila's Interior Castle, St. John of the Cross's Ascent of Mount