DON RIGOBERTO'S SEXUAL FANTASY IN MARIO VARGAS LLOSA IN PRAISE OF THE STEPMOTHER Dinda Anisa Larasati English Department, Language and Arts Faculty, State University of Surabaya dinda_kdy@yahoo.com Drs. Much. Khoiri M.Si. English Department, Language and Arts Faculty, State University of Surabaya much_choiri@yahoo.com Abstract Sexuality is seen as sinful thing which influences Christian to behave and act based on the society role. Some people tend to repress their sexual fantasy because sexual fantasy is a genre that can lend itself very easily to the sexual elements of life, the depraved, the debauched, or the downright saucy and controversial. The aim of this study is to describe how Don Rigoberto's sexual fantasy depicted in Mario Vargas Llosa In Praise of the Stepmotherand and to reveal how Don Rigoberto's sexual fantasy can impact on his wife. The data are in the form of quotation, fragments, and dialogues or monologues that indicated the thoughts and action concerning form of sexual fantasy.The data is applying the theory of fantasy by Jacques Lacan and supported with Baron. This study also uses the concept of anxiety and psychological trauma. Initially, Don Rigoberto obsessed with three things: Physical Hygiene, sex with his wife, and erotic paintings. He devotes a day a week for the care of a different member or organ.His love life with Lucrecia in a world more imaginary than real, of what he wishes she were than what she really is. He always lost in his dream which is imagined erotically things from some media and those can support his sexual fantasy. Don Rigoberto forced his wife (to have) sex with another man which can be deeply shocking for her. Those facts are proof that Don Rigoberto get his satisfaction from his obsession. Keywords: sexuality, fantasy, desire, anxiety, psychological trauma Abstrak Seksualitas dipandang sebagai hal yang berdosa yang mempengaruhi Kristen untuk bersikapdanbertindak berdasarkan peran masyarakat. Beberapa orang cenderung untuk menekan fantasi seksual mereka karena fantasi seksual adalah genre yang dapat menjatuhkan diri seseorang ke dalam unsur-unsurseksualkehidupan, buruk, yang tidak bermoral, dan kontroversial. Tujuan dari skripsi ini adalah untuk menggambarkan bagaimana fantasi seksual Don Rigoberto yang digambarkan di Mario Vargas Llosa In Praise of the Stepmother dan mengungkapkan bagaimana fantasi seksual Don Rigoberto yang berdampak pada istrinya. Di dalam data tersebut terdapat kutipan, fragmen, dan dialog atau monolog yang menunjukkan pemikiran dan tindakan mengenai bentukfantasi. Untuk data seksual menerapkan teori fantasi dari Jacques Lacan dan didukung dengan Baron. Analisis ini juga menggunakan konsep anxiety dan psychological trauma. Pada awalnya, Don Rigoberto terobsesi dengan tiga hal: Fisik higienis, seks dengan istrinya, dan lukisan erotis. Dia menjadikan satu hari dalam seminggu untuk melakukan perawatan pada anggota atau organ badan yang berbeda. Kehidupan cintanya dengan Lucrecia di dunia lebih kepada imajinasi daripada kenyataan, apa yang dia ingin adalah berada dari apa yang sebenarnya dia. Dia selalu terjebak dalam mimpinya, yaitu dengan membayangkan hal-hal erotis dari beberapa media dan mereka dapat mendukung fantasi seksualnya. Don Rigoberto memaksa istrinya untuk berhubungan seks dengan laki-laki lain dan hal itu sangat mengejutkan istrinya.Faktanya adalah bukti bahwa Don Rigoberto mendapatkan kepuasan melalui obsesinya. Kata kunci: sexuality, fantasy, desire, anxiety, psychological trauma Introduction Human cannot be separated with needs. There are three basic drives such as eating, sleeping, and sex. As a normal human being, sexuality is given from the beginning ourselves. Nietzche asserts that "we are not only rational out being, but we are also full of desire, with the drives and hidden longing, which formed, our ideas and views about the world" (O'Donnel, 2008: 41).In reality, sexuality describes a huge range of activities. This is half of dialectic, anything can be sex because sex has whatever meaning human experience moment by moment, and sex hasan infinite range of meanings because the scope of activities that can properly be called sexual is so vast. Lisa Downing says that sexuality is something that we ourselves create-it is our own creation, and much more than the discovery of secret side of our desire. Sex is not fatally, it is possible to creative life (Downing 2008:104). Sex can make people different. It means that sex is created because of love, relationship, and perhaps necesity or situation. Sex is not taboo anymore in this modern era, but sex can help viability in science. In psychoanalyticterms, sexuality plays an enormously influential rolein psychological development.From a veryearly age, how people experience their bodies in relation to the physical world as well as to the internal stimuli and feelings their bodies generate profoundly effects how they view the world and themselves.In particular,conscious and unconscious fantasies are about human's bodies and sexuality influence the development of stable patterns of sexual identity, and with that,sexual behaviors.(http://psychoanalysis101.org/psycho-sexual-development/). Sexual fantasies play a central role in mental life, despite – or rather: because of – the fact that they in particular meet the fate of repression, which is why Freud calls them "the weak spot in our psychical organization" (Freud, 1911: 223). This repression creates the psychic disposition towards neurosis in man, the conflict between unconscious desires and conscious control. That sexuality is actually the weak spot in man's psychical organization is proven by the fact that many (predominantly male) users of the Internet cannot resist the temptation to seek sexual pleasure via the computer screen. Sex is still the biggest business on the net, offering such a massive electronic hallucination of gratifying objects. In Praise of the Stepmother with Mario Vargas Llosa as the author, Mario Vargas Llosa, which reached worldwide recognition with his novels Pantoja and the Special Aunt Julia and the Scriptwriter, The War of the Worlds.In Praise of the Stepmother, made a foray into a genre that is emerging in many of his works, the erotic. Sex in the novels may offend, amuse, or worse. As this study has come toexpect of VargasLlosa as the author of this novel, he uses a precisely structured form to present the distinct components of his story. Structure can be invaded or skewed which is an interesting way to make point innocence and morality are strong themes which are compound in unusual ways. In Praise of the Stepmother with Mario Vargas Llosa as the author, Mario Vargas Llosa, which reached worldwide recognition with his novels Pantoja and the Special Aunt Julia and the Scriptwriter, The War of the Worlds.In Praise of the Stepmother, made a foray into a genre that is emerging in many of his works, the erotic. Sex in the novels may offend, amuse, or worse. As this study has come toexpect of VargasLlosa as the author of this novel, he uses a precisely structured form to present the distinct components of his story. Structure can be invaded or skewed which is an interesting way to make point innocence and morality are strong themes which are compound in unusual ways. Mario Vargas Llosa was born in Arequipa, the second city of Peru, in March 1936.In 1958 he travelled to Paristhanks to a prize won in a short story competition,and on his return to Lima he completed his higher education and received a grant to transfer to theUniversity of Madrid. A few months after arriving in the capital of Spain,he left his studies for the doctorate and settled in Paris, where he was to stay for seven years.In 1963 he published his first great novel, "La ciudad y los perros", with which he won several literary prizes, among them the "BibliotecaBreve" and "La Crítica".It has currently been translated into more than twenty languages. His second major work wastobe"La Casa Verde",published in 1966, the same year he moved to London, wherehewould teach at the university and contribute frequently to newspapers and magazines.Afterwritingone of his fundamental novels, "Conversación en la catedral", VargasLlosatravelled to Barcelona in 1970, where he was to stay for almost five years until in 1974 he put an end to his European exile and returned to Peru with the intention, for the first time, of settling down there. In 1973, his novel Pantaleóny lasvisitadoras, which was adapted for the cinema two years later, had come out.In 1975 he began a seriesof projects related with the cinema and in March of that year he was elected as numerary member of the Peruvian Academy of the Spanish Language. Two months later, he was appointed as president of Pen Club International, a post which he would hold until 1979. Mario Vargas Llosa began his political activity in 1987, due to the nationalization of thefinancial system in Peru. As candidate for the presidency of his country in 1989 with the centre-right coalition Frente Democrático, he was finally defeated in the ballot by Alberto Fujimori. Apart from the works mentioned above, the following works may be highlighted among the output of Mario Vargas Llosa: the novels "La tía Julia y el escribidor" (1977), "La Guerra del fin del mundo" (1981), "Historia de Mayta" (1984), "Quiénmató a Palomino Molero?" (1986), "El hablador" (1987) and "Elogio de la madrastra" (1988); in his facet as a playwright he has written "La señorita de Tacna" (1981), "Kathie y el hipopótamo" (1984) and "La Chunga" (1986) and as an essayist he has published important works such as "GarcíaMárquez: historia de un deicidio" (1971) and "La orgíaperpetua:Flauberty Madame Bovary" (1975)."In Praise Of The Stepmother" (1988). Mario VargasLlosa was a conservative candidate (Fredemo, the Democratic Front) for the Peruvian presidency in 1990.The development of his political convictions, from a sympathizer of Cuban revolution to the liberal right, has astonished his critics and has made it impossible to approach his work from a single point of view. Sabine Koellmann has noted that the publication of Vargas Llosa's La Fiesta del Chivo (2000, The Feast of the Goat) confirmed, "thatpolitics is one of the most persistent 'demons' which, according to his theory, provoke his creativity." (Vargas Llosa's Fiction & the Demons of Politics, 2002) Vargas Llosa was defeated by Alberto Fujimori, an agricultural engineer of Japanese descent, also a political novice, but who had a more straightforward agenda to present to the voters. Anunexpected twist in the plot of this political play occurred in 2000, when President Fujimori escaped to his ancestral homeland Japan after a corruption scandal. From 1991 to 1992 Mario Vargas Llosa worked as a visiting professorat Florida International University, Miami and Wissdens chafts kolleg, Berlin. In addition to the Nobel Prize, the author has received many other honors. Among other distinctions, he has received the "Ramón Godoy Lallana" Journalism Prize, the LiteraryPrize of the Italo-American Institute, the "Pablo Iglesias "LiteraturePrize, the "Hemingway"Prize, the Gold Medal of the Americas and the Max Schmidheiny Foundation Liberty Prize. Already a classic due to the scope and quality of his work, he is one of the Spanish-American writers who has most consistently and determinedly brought theresources of the 20th century literary avant-garde inour language. In Praise of the Stepmother is one literary work by Mario Vargas Llosa. In this novel, there are found many expressions by the characters Don Rigoberto is an art connoisseur and erotic explorer night by night as well as man obsessively devoted to the care of his own body. Lucrecia as a second wife of Don Rigoberto, she is a beautiful and passionate woman, and then his son Alfonso, known as Fonchito.The first character introduced to us in the novel In Praise of the Stepmother, Vargas Llosa takes on an expedition through the mind of Don Rigoberto, day by day an insurance executive, by night a pornographer and sexual enthusiast. Don Rigoberto is a member of Lima's well-heeled bourgeois society. He is the kind of man one sees at board meetings and cocktail parties. But by night Don Rigoberto sheds his conventional skin to pursue his true passions: erotic art and sexual fantasy. Rigoberto's love for Lucrecia is an addiction of her body parts, a revere or an objectification of her physical persona. This way of looking at love and people and considers women as their property, rather than primarily enjoying her body is part of her. He loves her as a compilation of body parts. In the novel In Praise of the Stepmother signals the historical endpoint to the popularity of the 1960s liberationist sexuality, especially female sexuality as a carrier of a symbolic charge of social freedom. This novel is a thought-provoking fantasia on innocence, sex, and art. It opens with a portrayal of a liberated sexual woman, Lucrecia, who is adored by her husband, Rigoberto. Don Rigoberto's and Lucrecia's erotic exploits which are modeled after paintings that are actually printed in the book. Through this story, Mario Vargas Llosa explores the ideas of the erotic imagination. Rigoberto creates erotic fantasies, the erotic and sexual lives of Rigoberto and Lucrecia, much of which is driven by Rigoberto's fantasies formulated from paintings. In this Story, Fonchito seems to corrupt innocence, live a harmonious sexual fantasy with her stepmother. Nothing inhibits them or stops them. Dona Lucrecia and stepson Fonchito are revealed in every detail. There is erotic novel. Sexual Fantasy of Rigoberto, a harmonious sexual fantasy of Alfonso to his stepmother, and sexual attraction Lucrecia to Alfonso. Sexual Fantasy is chosen where this study is taken because of the interesting case and the impact which make the wife had anxiety and psychological trauma. From the reading, the study can be interested in focus on the sexual fantasy experienced by the main character. In the novel In Praise of the Stepmother, this study would like to learn more, how Don Rigoberto's sexual fantasy. What are the activities of Don Rigoberto's Sexual Fantasy, what are the factors,the causes and the theory, which is matching discuss those cases istheory of Fantasy of Jacques Lacan, supported theory fantasy of Baron. Many kinds of Sexuality, there are Sexualization, Sexual health and Reproduction. Sexual identity, sensuality and intimacy. Sensuality involves human's level of awareness, acceptance and enjoyment of men's own or others bodies. In the circle of sexuality, fantasy is part of sensuality. Sensuality is match with Don Rigoberto's Sexual Fantasy. In the novelIn Praise of the Stepmother, Many statements which can prove that Don Rigoberto have an extreme sexual fantasy. One night, he said that Lucrecia is his fantasy not his wife. He imagined that Lucrecia is Venus, a person who is his fantasies. For the tittle of my thesis is "Don Rigoberto's Sexual Fantasy.DonRigoberto has an extreme sexual fantasy, he obsesses of three things: Personal Hygiene, sex with Lucrecia, and erotic paintings. His sexual fantasy actually impact on his wife, according to me that's so interesting.Because of those, thus this study directed to more examine about Don Rigoberto's sexual fantasy. In analyzing Don Rigoberto's sexual fantasy and Don Rigoberto's sexual fantasy impact on his wife, it is used some related concept and two theories. In this thesis, the problem statement is divided into two. The first problem statement deals with Don Rigoberto's sexual fantasy reflected in this novel. While the second problem deals with How does Don Rigoberto's sexual fantasy impact on his wife in Mario Vargas Llosa"In Praise of the Stepmother. Those problems can be analysed by using the theory fantasy of Jacques Lacan, supported with Baron and also using concept of anxiety and psychological trauma. The first statement is how Don Rigoberto's sexual fantasy reflected in In Praise of the Stepmother. This statement will use theory fantasy of Jacques Lacan and suppoeted with theory fantasy of Baron. Through fantasy, the subject attempts to sustain the illusion of unity with the other and ignore his or her own division. Fantasy originates in "auto-eroticism" and the hallucinatory satisfaction of the drive. Fantasies are the way in which subjects, structure or organize their desire: it is the support of desire. Then the second statement isHow does Don Rigoberto's sexual fantasy impact on his wife in Mario Vargas Llosa"In Praise of the Stepmother. This statement will also apply the theoryof fantasy of Jacques Lacan and also apply the concept of anxiety and psychological trauma. Actually, there are two impacts of Don Rigoberto's sexual fantasy. 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 Mario Vargas Llosaentitled In Praise of the Stepmother that published in 1988 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 sexual fantasy and the main factor that lead to his sexual fantasy. Describing Don Rigoberto's sexual fantasywhich is stated from the quotations or statements by using theory of fantasy to be applied to the data.Describing Don Rigoberto's sexual fantasy impact on his wife which is stated from the quotations or statements by using theory of fantasy and the concept of anxiety and psychological trauma will to be applied to the data. RESULT 3.1 Reflection of Don Rigoberto's Sexual Fantasy Based on theory of fantasy of Baron, fantasy can be a kind of activity that permits the subject to escape, however briefly from the stresses and boredom of the subject's life. Schaefer and Millman support this theory by stating that fantasies provide "a strong feeling of satisfaction in comparison to the bedroom of everyday activities" as an escape of the continued failure of difficulties in their everyday life". (Baron, 1995: 31-32) Fantasy is used as an escape from responsibility or a harsh home or work situation. Then the person needs to begin to pray for favor on the job or at home, asking God to open hearts to each other's needs and binding out demonic forces. We have had great reports from this kind of prayer. Then as the stress is lifted and the relationships are made stronger, the desire to escape lifts as well. The fantasies are no longer a problem. 3.1.1.1 Fantasy escape Don Rigoberto from stresses and boredom of his life Don Rigoberto is the dull though the prosperous manager of a Lima insurance company. His life represented in the eyes of others, that routine existence as the general manager of an insurance company, he has many activities. Well-earned that he stress or bored with some of his activities as an insurance executive. He had found in his solitary hygienic practiced and all in the love of his wife appeared to him to be sufficient compensation for his normalcy. He creates erotic fantasies, and Lucrecia lives out the character she has been chosen to be. "Just a pinch of wisdom to use as a momentary antidote to the frustrations and annoyances that seasoned existence. He thought: Fantasy gnaws life away, Thank God" (Llosa, 1988: 104) From the statement above, Rigoberto seems like indeed the power of wisdom can be used as a momentary antidote to the frustrations and annoyances that seasoned existence, but it just can be a momentary antidote now the make frustrations and annoyances gnaws away. As a manager of a Lima insurance company, it is definitely that he has 1many activities so he needs something which can release him from the frustrations and annoyances. The word "Fantasy gnaws life away, Thank God", it shows that Don Rigoberto thinks that fantasy helped him out of the frustrations and annoyances thing which is part of being an insurance executive. He was thankful, fantasy make he enjoyed or even suspected as happiness. There is proof that Fantasy can escape from the stresses and boredom of life "[.] as though happy to rid itself of the policies and the detritus of the day's bussiness.Ever since, in the most secret decision of his life-- so secret that probably not even Lucrecia would ever be privy to it in its entirity-he had resolved to be perfect for a brief fragment of each day. (Llosa, 1988: 54) Rigoberto is obsessed with Personal Hygiene, he assumes that is the part of his sexual fantasy to get pleasure. According to him, the nightly ritual can as a though happy to a rid himself from detritus bussiness day. He had resolved to be perfect for a brief fragment of each day through nightly ritual. 3.2 Don Rigoberto's Sexual Fantasy impact on his wife In the novel In Praise of the Stepmother, Don Rigoberto focuses so completely on hisrich fantasy life - a fantasy life,multiplyed by his reproductions of smutty nudes by the likes of Titian and Jordaens (left), that he doesn't notice the risks that cause Dona Lucrecia anxiety. In this novel, there is no communication between Don Rigoberto and Dona Lucrecia about sexual fantasy, Don Rigoberto's intend for his wife disrupts into his fantasies—at times he is too impaired by sorrow and desire to go on. "The queen sometimes awakens at night, overcome with terror in my arms, for in her sleep the shadow of the Ethiopian has once again burst into flame on top of her." (Llosa, 1988: 20) This quotation above describes that Lucrecia feels anxiety, she always pictured events that foregoing Don Rigoberto forced Dona Lucrecia sex with Atlas, Don Rigoberto assumes that Atlas is the best endowed of his Ethiopian slaves. It can be explained through this statement : "One night-I was drunk-I summoned Atlas, the best endowed of my Ethiopian slaves, to my apartments, merely to confirm that this was so. I had Lucrecia bow down before him and ordered him to mount her.Intimated by my presence, or because it was too great a test of his strength, he was unable to do so. Again and again I saw him approach her resolutely, push, pant, and withdraw in defeat" (Llosa, 1988: 15) Fantasy is 'that thing is what can satisfy me' – objectivation of desire.This line of thought on perverse fantasy, that fixates desire onto a certain object and thus screens off from its infinity, make the interpretations understandable From the quotation above Don Rigoberto was fantasized and forced his wife into having sex with Atlas. There looks Rigoberto so rude to treat his wife, he made his wife as an object because he wanted to prove whether Atlas, the best endowed of my Ethiopian slaves can equals him and he merely to confirm that this was so. The Fantasy that is shown by Don Rigoberto occurs when he decided his wife sex with Atlas. Don Rigoberto feels satisfied and relieved after that incident. Because of that incident, he discovered that no one can equal him. Butitis notperceivedby Lucrecia, she feels not enjoy. "In order to fulfill my part of the offer, we were obliged to act with the greatest discretion. That episode with Atlas, the slave, had been deeply shocking to my wife. (Llosa, 1988: 19) In the statement above, He has also realized that the episode with Atlas makes Dona Lucrecia shock. In contrast, Don Rigoberto does not appreciate his wife. He just concerned with his fantasy and never regards Dona Lucrecia's pleasure. There is no communication between Don Rigoberto and Dona Lucrecia about sexual fantasy, Rigoberto just concerned with his fantasy and Dona Lucrecia only silent to face it. She did not attempt to revolt or reject command from her husband She never stated that she does not enjoy it. She feels anxiety until it can be said that she have psychological trauma. Lucrecia always awakens at night just because it was too painful for her. For Lucrecia it would be a deeply shocking. In the chapter twelve, Labyrinth of Love.Lucrecia expresses her feelings that she felt as fortunate victim, she just an inspiration. Until there show that she fantasized with herself "I know this because I have been the fortunate victim; the inpiration, the actress as well [.]. Myself, erupting and overflowing beneath your attentive libertine gaze of a male who has officiated with competence and is now contemplating and philoshopizing (Llosa,1988: 118) It shows that Dona Lucrecia feels that she just an actress who serve her husband for being another person, not being herself while they having sex. She was erupted and overflows, she wants to vent all her anxiety. Until she actually made masturbation to gained the power of magic, mystery and bodily enjoyment. "That woman is what I am, slave and master, you offering. Slit open like a turtledove by love's knife: I: cracked apart and pulsing. I:slow masturbation. I: flow of musk. I: labyrinth and sensation. I: magic ovary, semen, blood, and morning dew.That is my face for you, at the hour of the senses. I am that when, for you, I shed my everyday skin and my feast-day one. That may perhaps be my soul. Yours." (Llosa, 1988: 119) In the statement above, it is clear that Lucrecia uncomfortable with the sexual fantasy of his husband. She even feels the pleasure through masturbation. Because throughon masturbation, she could be herself, not as an actress or inspiration of her husband. Conclusions This last chapter is drawn to sun up the results of the analysis, which is presented in the form of summary. In this chapter, the conclusion will be divided into two, in line with the statement of problem. The first conclusion in terms of Don Rigoberto's sexual fantasy. For the second conclusion is Don Rigoberto's sexual fantasy impact on his wife. From the analysis that has been in the previous chapter, it can be conclude in the first conclusion that Don Rigoberto obsessed with three things, they are personal hygiene, sex with his wife and erotic paintings. Based on Don Rigoberto's it is found out that there are many habits and factors which are espouse his sexual fantasy. Besides, his character is his sexual fantasy done for his pleasure and cause of his desire. As aLima manager insurance, Rigoberto definitely has many activities, multiple frustrations and annoyances. So, the fantasy can help to escape him from that. In this study also reveal that Fantasy can make Rigoberto to be wise. He had rediscovered that wisdom all by himself, on his own and at his own risk. He did many habits like imagining erotically things about the media then sets the intent of those media into his mind.He reduces his wife as an object. He determines himselfbecome someone who is in the media, he proud of person in the paintings which can inflame his subject's imaginings then he changes himself as that person. In the novel In Praise of the Stepmother learn of the erotic and sexual lives of Rigoberto and Lucrecia, and which is driven by Rigoberto's fantasies formulated from paintings and other media. He showers her with affection, but the reader is left wondering if he truly knows her, or if he has created an illusion of her. Don Rigoberto's Sexual Fantasy happened because of any media, and he enjoyed his sexual fantasy by any media, like painting, poet and tried to take it into his mind, then reveal to his wife. His love life with Lucrecia in a world more imaginary than real, of what he wishes she were than what she really is. Don Rigoberto assumes that his wife is like another person who is in his mind, not the realism of his wife's self. He always lost in his dream which is imagined erotically things from some media and those can support his sexual fantasy. Don Rigoberto is compulsive about his personal cleanliness and his bodily functions. He appreciates them as impressive and necessary. He devotes a day a week for the care of a different member or organ: Monday, hands; Tuesday, feet; Wednesday, ears; Thursday, nose; Friday, hair; Saturday, eyes; Sunday, skin. Don Rigoberto is a sensualist of the highest order and, nightly, he and his wife have erotic heights. He did nightly ritual,all of those are the parts of his sexual fantasy. The pictures and roses of the painting are as an inspiration for him while having sex with his wife. Sexual fantasy can have a profound impact on a person's emotions. Sexual fantasy is articulated with anxiety and it is closest proximity to the psychological traumatic real, Lucrecia always be object of Rigoberto's sexual fantasy, she forced sex with Atlas, the best endowed of Ethiopian slaves. It shows that Don Rigoberto never worried about Lucrecia's anxiety. He actually lets Lucrecia having sex with another man, just for create pleasure Dona Lucrecia as his wife feel that she just an actress who serve her husband for being another person, not being herself while they having sex. She actually made masturbation to gained the power of magic, mystery and bodily enjoyment. She also did sexual attraction to her stepson, Fonchito. Because while having sex with her stepson, she feels splendid orgasm she is to be herself, she felt the pleasure and comfort thats he never got while having sex with Rigoberto, with Foncho, she feels that he is innocence and not seems like Rigoberto who makes she is an object imagination of anyone and object for him to get sexual satisfaction and pleasure. Don Rigoberto can do sexual fantasy to his wife because of his desire, he obsessed of personal hygiene,erotic paintings, then he makes his wife become the object of his fantasy and he wants to get pleasure which can alter his mood to be happy. The act of Don Rigoberto that forced his wife with another man can be classified as sexual violence which is the cause of psychological trauma. So, with the sexual fantasy of Don Rigoberto can impact Lucrecia has psychological trauma. Refferences Allen, Richard. 1995. Projecting Illusion. Film Spectatorship and the Impression of Reality. Cambridge: Cambridge University Press. 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Mary Elizabeth King on Civil Action for Social Change, the Transnational Women's Movement, and the Arab Awakening
Nonviolent resistance remains by and large a marginal topic to IR. Yet it constitutes an influential idea among idealist social movements and non-Western populations alike, one that has moved to the center stage in recent events in the Middle East. In this Talk, Mary King—who has spent over 40 years promoting nonviolence—elaborates on, amongst others, the women's movement, nonviolence, and civil action more broadly.
Print version of this Talk (pdf)
What is, according to you, the central challenge or principal debate in International Relations? And what is your position regarding this challenge/in this debate?
The field of International Relations is different from Peace and Conflict Studies; it has essentially to do with relationships between states and developed after World War I. In the 1920s, the big debates concerned whether international cooperation was possible, and the diplomatic elite were very different from diplomats today. The roots of Peace and Conflict Studies go back much further. By the late 1800s peace studies already existed in the Scandinavian countries. Studies of industrial strikes in the United States were added by the 1930s, and the field had spread to Europe by the 1940s. Peace and Conflict Studies had firmly cohered by the 1980s, and soon encircled the globe. Broad in spectrum and inherently multi-disciplinary, it is not possible to walk through one portal to enter the field.
To me it is also important that Peace and Conflict studies is not wary of asking the bigger hypothetical questions such as 'Can we built a better world?' 'How do we do a better job at resolving conflicts before they become destructive?' 'How do we create more peaceable societies?' If we do not pose these questions, we are unlikely to find the answers. Some political scientists say that they do not wish to privilege either violence or nonviolent action. I am not in that category, trying not to privilege violence or nonviolent action. The field of peace and conflict studies is value-laden in its pursuit of more peaceable societies. We need more knowledge and study of how conflicts can be addressed without violence, including to the eventual benefit of all the parties and the larger society. When in 1964 Martin Luther King Jr received the Nobel Peace Prize, his remarks in Oslo that December tied the nonviolent struggle in the United States to the whole planet's need for disarmament. He said that the most exceptional characteristic of the civil rights movement was the direct participation of masses of people in it. King's remarks in Oslo were also his toughest call for the use of nonviolent resistance on issues other than racial injustice. International nonviolent action, he said, could be utilized to let global leaders know that beyond racial and economic justice, individuals across the world were concerned about world peace:
I venture to suggest [above all] . . . that . . . nonviolence become immediately a subject for study and for serious experimentation in every field of human conflict, by no means excluding relations between nations . . . which [ultimately] make war. . . .
In the half century since King made his address in Oslo, nonviolent civil resistance has not been allocated even a tiny fraction of the resources for study that have been dedicated to the fields of democratization, development, the environment, human rights, and aspects of national security. Many, many questions beg for research, including intensive interrogation of failures. Among the new global developments with which to be reckoned is the enlarging role of non-state, non-governmental organizations as intermediaries, leading dialogue groups comprised of adversaries discussing disputatious issues and working 'hands-on' to intervene directly in local disputes. The role of the churches and laity in ending Mozambique's civil war comes to mind. One challenge within IR is how to become more flexible in viewing the world, in which the nation state cannot control social change, and with the widening of civil space.
How did you arrive at where you currently are in your thinking about IR?
I came from a family that was deeply engaged with social issues. My father was the eighth Methodist minister in six generations from North Carolina and Virginia. The Methodist church in both Britain and the United States has a history of concern for social responsibility ― a topic of constant discussion in my home as a child and young adult. When four African American students began the southern student sit-in movement in Greensboro, North Carolina, on February 1, 1960, by sitting-in at a Woolworth's lunch counter, I was still in college. Although I am white, I began to think about how to join the young black people who were intentionally violating the laws of racial segregation by conducting sit-ins at lunch counters across the South. Soon more white people, very like me, were joining them, and the sweep of student sit-ins had become truly inter-racial. The sit-in movement is what provided the regional base for what would become a mass U.S. civil rights movement, with tens of thousands of participants, defined by the necessity for fierce nonviolent discipline. So, coming from a home where social issues were regularly discussed it was almost natural for me to become engaged in the civil rights movement. And I have remained engaged with such issues for the rest of my life, while widening my aperture. Today I work on a host of questions related to conflict, building peace, gender, the combined field of gender and peace-building, and nonviolent or civil resistance. At a very young age, I had started thinking as a citizen of the world and watching what was happening worldwide, rather than merely in the United States.
Martin Luther King (to whom I am not related) would become one of history's most influential agents for propagating knowledge of the potential for constructive social change without resorting to violence. He was the most significant exemplar for what we simply called The Movement. Yet the movement had two southern organizations: in 1957 after the success of the Montgomery bus boycott of 1955-56, he created, along with others, the Southern Christian Leadership Conference (SCLC). The other organization was the one for which I worked for four years: the Student Nonviolent Coordinating Committee (SNCC, pron. snick), which initially came into being literally to coordinate among the leaders of the student sit-in campaigns. As the sit-ins spread across the South, 70,000 black, and, increasingly, white, students participated. By the end of 1960, 3,600 would have been jailed.
SCLC and SNCC worked together but had different emphases: one of our emphases in SNCC was on eliciting leadership representing the voices of those who had been ignored in the past. We identified many women with remarkable leadership skills and sought to strengthen them. We wanted to build institutions that would make it easier for poor black southern communities to become independent and move out of the 'serfdom' in which they lived. Thus we put less prominence on large demonstrations, which SCLC often emphasized. Rather, we stressed the building of alternative (or parallel) institutions, including voter registration, alternative political parties, cooperatives, and credit unions.
What would a student need (dispositions, skills) to become a specialist in IR or understand the world in a global way?
One requirement is a subject that has virtually disappeared from the schools in the United States: the field of geography. It used to be taught on every level starting in kindergarten, but has now been melded into a mélange called 'social sciences'. You would be surprised at how much ignorance exists and how it affects effectiveness. I served for years on the board of directors of an esteemed international non-profit private voluntary organization and recall a secretary who thought that Africa was a country. This is not simplistic — if you don't know the names of continents, countries, regions, and the basic political and economic history, it's much harder to think critically about the world. Secondly, students need to possess an attitude of reciprocity and mutuality. No perfect country exists; there is no nirvana without intractable problems in our world. No society, for example, has solved the serious problems of gender inequity that impede all spheres of life. Every society has predicaments and problems that need to be addressed, necessitating a constant process. So we each need to stand on a platform in which every nation can improve the preservation of the natural environment, the way it monitors and protects human rights, transitions to democratic systems, the priority it places on the empowerment of women, and so on. On this platform, concepts of inferior and superior are of little value.
You also co-authored an article in 1965 about the role of women and how working in a political movement for equality (the civil rights movement) has affected your perceptions of the relationship between men and women. Do you believe that the involvement of women in the Civil Rights Movement brought more gender equality in the USA and do you think involvement in Nonviolent Resistance movements in other places in the world could start such a process?
From within the heart of the civil rights movement I wrote an article with Casey Hayden, with whom I worked in Atlanta in the main office of the Student Nonviolent Coordinating Committee (SNCC) and in the Mississippi Freedom Summer of 1964. Casey (Sandra Cason) and I were deeply engaged in a series of conversations involving other women in SNCC about what we had been learning, the lessons from our work aiding poor black people to organize, and asking ourselves whether our insights from being part of SNCC could be applied to other forms of injustice, such as inequality for women. The document reflected our growth and enlarging understanding of how to mobilize communities, how to strategize, how to achieve lasting change, and was a manifestation of this expanding awareness. The title was Sex and Caste – A Kind of Memo. Caste is an ancient Hindu demarcation that not only determines an individual's social standing on the basis of the group into which one is born, but also differentiates and assigns occupational and economic roles. It cannot be changed. Casey and I thought of caste as comparable to the sex of one's birth. Women endure many forms of prejudice, bias, discrimination, and cruelty merely because they are female. For these reasons we chose the term caste. We sent our memorandum to forty women working in local peace and civil rights movements of the United States. The anecdotal evidence is strong that it inspired other women, who started coming together collectively to work on their own self-emancipation in 'consciousness raising groups.' It had appeared in Liberation magazine of the War Resisters League in April 1966 and was a catalyst in spurring the U.S. women's movement; indeed, the consciousness-raising groups fuelled the women's movement in the United States during the 1970s. Historians reflect that the article provided tinder for what is now called 'second-wave feminism', and the 1965 original is anthologized as one of the generative documents of twentieth-century gender studies.
We have to remember that women's organizations are nothing new, but have been poorly documented in history and that much information has been lost. Women have been prime actors for nonviolent social change in many parts of the world for a long time. New Zealand was the first country to grant women the vote, in 1893, after decades of organizing. Other countries followed: China, Iran, later the United States and the United Kingdom. Women in Japan would not vote until 1946. IR expert Fred Halliday contends that one of the most remarkable transnational movements of the modern age was the women's suffrage movement. The movement to enfranchise women may have been the biggest transnational nonviolent movement of human history. It was a significant historical phenomenon that throws light on how it is sometimes easier to bring about social and political change now than in the past.
Nonviolent movements seem to be growing around the world, and not only in dictatorships but also in democracies in Europe and the USA. How do you explain this?
I think that the sharing of knowledge is the answer to this question. Study in the field of nonviolent action has accelerated since the 1970s, often done by people who are both practitioners and scholars, as am I. Organizing nonviolently for social justice is not new, but the knowledge that has consolidated during the last 40 years has been major. The works of Gene Sharp have been significant, widely translated, and are accessible through the Albert EinsteinInstitution. His first major work, The Politics of Nonviolent Action, in three volumes, came out in 1973 (Boston: Porter Sargent Publishers). It marked the development of a new understanding of how this form of cooperative action works, the conditions under which it can be optimized, and the ways in which one can improve effectiveness. Sharp's works have since been translated into more than 40 languages. Also valuable are the works and translations of dozens of other scholars, who often stand on his shoulders. Today there may be 200 scholar-activists in this field worldwide, with a great deal of work now underway in related fields. Knowledge is being shared not only through translated works, but also through organizations and their training programs, such as the War Resisters League International and the International Fellowship of Reconciliation, each of which came into existence in Britain around World War I. Both are still running seminars, training programs, and distributing books. George Lakey's Training for Change and a new database at Swarthmore College that he has developed are sharing knowledge. So is the International Center for Nonviolent Conflict, which has built a dramatic record in a short time, having run more than 400 seminars and workshops in more than 139 countries. The three major films that ICNC has produced (for example, 'Bringing Down a Dictator'), have been translated into 20 languages and been publicly broadcast to more than 20 million viewers.
After its success, leaders from the Serbian youth movement Otpor! (Resistance) that in 2000 disintegrated the Slobodan Milošević dictatorship formed a network of activists, including experienced veterans from civil-resistance struggles in South Africa, the Philippines, Lebanon, Georgia, and Ukraine to share their experiences with other movements. People can now more easily find knowledge on the World Wide Web, often in their original language or a second language, and they can find networks that share information about their experiences, including their successes and failures.
I reject the Twitter explanation for the increased use of nonviolent action or civil resistance, because all nonviolent movements appropriate the most advanced technologies available. This pattern is related to the importance of communications for their basic success. Nonviolent mobilizations must be very shrewd in putting across their purpose, their goals and objectives, preparing slogans, and conveying information on how people can become involved. In order for people to join—bearing in mind that numbers are important for success—it is critically important to make clear what goal(s) you are seeking and why you have elected to work with civil resistance. This decision is sometimes hard to understand for people who have suffered great cruelty from their opponent, and who maintain 'but we are the victims', making the sharing of the logic of the technique of civil resistance vital.
What would you say is the importance of Nonviolent Resistance Studies in the field of International Relations and Political Science? And how do you counter those who argue that some forms of structural domination are only ended through violence?
In this case we can look at the evidence and stay away from arguing beliefs or ideology. Thanks to political scientists Erica Chenoweth and Maria J. Stephan, who have produced a discerning work, Why Civil Resistance Works (2011), we now have empirical evidence that removes this question from mystery. They studied 323 violent and nonviolent movements that occurred between 1900 and 2006 and found that the nonviolent campaigns were twice as effective as violent struggles in achieving their goals, while incurring fewer costly fatalities and producing much greater prospects for democratic outcomes after the end of the campaign. They found only one area in which violent movements have been more successful, and that is in secessions. So, we don't need to dwell in the realm of opinion, but can read their findings. Other scholars have written about the same issues using qualitative data ― by doing interviews, developing case studies, and analytical descriptions ― but the work of Chenoweth and Stephan is quantitative, putting it in a different category due to its research methods.
Reading 'Why Civil Resistance Works' it caught my eye that nonviolent campaigns seem less successful in the Middle East and Asia than in other regions. Did you see that also in your own work? And if so, do you have an explanation for it? In addition, do you believe that the 'Arab Awakening' is a significant turn in history, or did the name arise too quickly and will it remain a temporary popular phrase?
What I encountered in working in the Middle East was an expectation, notion, or hope among people that a great leader would save them and bring them out of darkness. This belief seems often to have kept the populace in a state of passivity. Sometimes such pervasive theories of leadership are deeply elitist: one must be well educated to be a leader, one must be born into that role, one must be male, or the first son, etc. Such concepts of leadership discourage the taking of independent civil action.
I think that the Arab Awakening has been significant for a number of reasons. As one example, there had been a widespread (and patronizing) assumption in the United States and the West that the Arabs were not interested in democracy. We have heard from various sources including Israel for decades that Arabs are not attracted to democracy. As a matter of fact, I think that all people want a voice. All human beings wish to be listened to and to be able to express their hopes and aspirations. This is a fundamental basis of democracy and widely applicable, although democracy may take different forms. The Arab Awakening rebutted this arrogant assumption. This does not mean that the course will be easy. One of my Egyptian colleagues said to me, 'We have had dictatorship since 1952, but after Tahir Square you expect us to build a perfect democracy in 52 weeks! It cannot happen!'
Among the first concessions sought by the 2011 Arab revolts was rejection of the right of a dictator's sons to succeed him. The passing of power from father to son has been a characteristic of patriarchal societies, in the Arab world and elsewhere. Anthropologist John Borneman notes, 'The public renunciation of the son's claim to inherit the father's power definitively ends the specific Arab model of succession that has been incorporated into state dictatorships among tribal authorities'. In Tunisia to Egypt, Libya, Syria, and Yemen (not all of which are successes), such movements have sought to end the presumption of father-son inheritance of rule.
I believe that we are seeing the start of a broad democratization process in the Middle East, not its end. The learning and preparation that had been occurring in Egypt prior to Tahrir Square was extensive. Workshops had been underway for 10 to 15 years before people filled Tahrir Square. Women bloggers had for years been monitoring torture and sharing news from outside. One woman blogger translated a comic book into Arabic about the Reverend Dr. Martin Luther King Jr, from the 1960s, and had it distributed all over Cairo. Labor unions had been very active. According to historian Joel Beinin, from 1998 to 2010 some 3 million laborers took part in 3,500 to 4,000 strikes, sit-ins, demonstrations, and other actions, realizing more than 600 collective labor actions per year in 2007 and 2008. In the years immediately before the revolution, these actions became more coherent. Wael Ghonim, a 30-year-old Google executive, set up a Facebook page and used Google technologies to share ideas and knowledge about what ordinary people can do. The April 6 Youth Movement, set up in 2008, three years before Tahrir, sent one of its members to Belgrade in 2009, to learn how Otpor! had galvanized the bringing down of Milošević. He returned to Cairo with materials and films, lessons from other nonviolent movements, and workshop materials. This all goes back to the sharing of knowledge. Yet the Egyptians have now come to the point where they must assume responsibility and accountability for the whole and make difficult decisions for their society. It will be a long and difficult process. And it raises the question of what kind of help from outside is essential.
Why do you raise this point; do you think outside help is essential?
I know from having studied a large number of nonviolent movements in different parts of the globe that the sharing of lessons laterally among mobilizations and nonviolent struggles is highly effective. African American leaders were traveling by steamer ship from 1919 until the outbreak of World War II to the Indian subcontinent, to learn from Gandhi and the Indian independence struggles. This great interchange between black leaders in the United States and the Gandhian activists, as the historian Sudarshan Kapur shows in Raising Up A Prophet (1992), was critically significant in the solidification of consensus in the U.S. black community on nonviolent means. I have written about how the knowledge moved from East to West in my book Mahatma Gandhi and Martin Luther King. Scholarly exchanges and interchanges among activists from other struggles are both potentiating and illuminating. Most observers fail to see that nonviolent mobilizations often have very deep roots involving the lateral sharing of experience and know-how.
You have written a book about the first uprising, or 'intifada', in the Occupied Palestinian Territories between 1987 and 1993. The second Palestinian uprising did not contain much nonviolent tactics though. Do you foresee another uprising soon? If not, why? If yes, do you think that Nonviolent Actions will play again an important role in that uprising, or is it more likely to turn violent?
Intifada is linguistically a nonviolent word: It means shaking off and has no violent implication whatsoever. (This word is utterly inappropriate for what happened in the so-called Second Intifada, although it started out as a nonviolent endeavor.) In the 1987 intifada, virtually the entire Palestinian society living under Israel's military occupation unified itself with remarkable cohesion on the use of nonviolent tools. The first intifada (1987-1993, especially 1987-1990) benefited from several forces at work in the 1970s and 1980s, about which I write in A Quiet Revolution (2007), one of which came from Palestinian activist intellectuals working with Israeli groups, who wanted to end occupation for their own reasons. These Israeli peace activists thought the occupation degraded them, made them less than human, in addition to oppressing Palestinians. The second so-called intifada was not a 'shaking off'. For the first time, it bade attacks against the Israeli settlements, which had not occurred before.
Let me put it this way: in virtually every situation, there is some potential for human beings to take upon themselves their own liberation through nonviolent action. We may expect that such potential is dormant and waiting for enactment. Disciplined nonviolent action is underway in a number of village-based struggles against the separation barrier in the West Bank right now, in which Israeli allies are among the action takers. As another example, the Freedom Theatre in Jenin is using Freedom Rides, a concept adopted from the U.S. southern Civil Rights Movement, riding buses to the South Hebron Hills villages and along the way using drama, music, and giant puppets as a way of stimulating debate about Israeli occupation. Bloggers and writers share their experiences (see e.g. this post by Nathan Schneider). For the first time, as we speak, the Freedom Bus will travel from the West Bank to make two performances in historic pre-1948 Palestine (Israel), in Haifa and the Golan, in June 2013. A Palestinian 'Empty Stomach' campaign, led by Palestinian political prisoners in Israel, has had some success in using hunger strikes to press Israeli officials for certain demands. With the purpose of prevailing upon Israel to conform to international resolutions pertaining to the Palestinians and to end its military occupation, Palestinian civic organizations in 2005 launched a Boycott, Divestment Sanctions (BDS) campaign, drawing upon the notable example of third-party sanctions applied in the anti-apartheid struggle in South Africa. The Palestinian Authority has called for non-state observer status at the United Nations and supports the boycotting of products from Israeli settlements resistance.
More and more Palestinians are now saying, 'We must fight for our rights with nonviolent resistance'. Many Israelis are also deeply concerned about the future of their country. I recently got an email from an Israeli who was deeply affected by reading Quiet Revolution and has started to reach out to Palestinians and take actions to bring to light the injustices that he perceives. Tremendous debate is underway about new techniques, novel processes, and how to shift gears to more effective mutual action. The United States government and its people continue to pay for Israel's occupation and militarization, which has abetted the continuation of conflict, although it is often done in the name of peace! The United States has not incentivized the building of peace. It has done almost nothing to help the construction of institutions that could assist coexistence.
Also, it is very important for the entire world, including Israelis, to recognize intentional nonviolent action when they see it. The Israeli government persisted in denying that the 1987 Intifada was nonviolent, when the Palestinian populace had been maintaining extraordinary nonviolent discipline for nearly three years, despite harsh reprisals. Israeli officials continued to call it 'unending war' and 'the seventh war'. Indeed, it was not perfect nonviolent discipline, but enough that was indicative of a change in political thinking among the people in the Palestinian areas that could have been built upon. Although some Israeli social scientists accurately perceived the sea change in Palestinian political thought about what methods to use in seeking statehood and the lifting of the military occupation, the government of Israel generally did not seize upon such popularly enacted nonviolent discipline to push for progress. My sources for Quiet Revolution include interviews with Israelis, such as the former Chief Psychologist of the Israel Defense Force and IDF spokesperson.
Your latest book is about the transitions of the Eastern European countries from being under Soviet rule to independent democracies. You chose to illustrate these transitions with New York Times articles. Why did you chose this approach; do you think the NY Times was important as a media agency in any way or is there another reason?
There is another reason: The New York Times and CQ Press approached me and asked if I would write a reference book on the nonviolent revolutions of the Eastern bloc, using articles from the Times that I would choose upon which to hang the garments of the story. The point of the work is to help particularly young people learn that they can study history by studying newspapers. The book gives life to the old adage that newspaper reporters write the first draft of history. In the book's treatment of these nonviolent revolutions, I chose ten Times articles for each of the major ten struggles that are addressed, adding my historical analysis to complete the saga for each country. It had been difficult for Times reporters to get into Poland, for example, in the late 1970s and the crucial year of 1980; they sometimes risked their lives. Yet it's in the nature of journalism that their on-the-spot reportage needed additional analysis; furthermore newspaper accounts often stress description.
After the 1968 Prague Spring, when the Soviet Union sent 750,000 troops and tanks from five Warsaw Pact countries into Czechoslovakia, crushing that revolt, across Eastern Europe a tremendous amount of fervent work got underway by small non-official committees, often below the radar of the communist party states. This included samizdat (Russian for 'self published'), works not published by the state publishing machinery, underground publications that were promoting new ways of thinking about how to address their dilemma. Poland, Czechoslovakia, and Lithuania were the most active in the Eastern bloc with their major but covert samizdat. As it was illegal in Czechoslovakia for a citizen to own a photocopy machine, 'books' were published by using ten pieces of onion-skin paper interspersed with carbon sheets, 'publishing' each page by typing it and its copies on a manual typewriter.
The entire phenomenon of micro-committees, flying universities, samizdat boutiques, seminars, drama with hidden meanings, underground journals, and rock groups transmitting messages eluded outside observers, who were not thinking about what the people could do for themselves. The economists and Kremlinologists who were observing the Eastern bloc did not discern what the playwrights, small committees of activist intellectuals, local movements, labor unions, academicians, and church groups were undertaking. They did not imagine the scope or scale of what the people were doing for themselves with utmost self-reliance. In essence, no one saw these nonviolent revolutions coming, with the exception of the rare onlooker, such as the historian Timothy Garton Ash. Even today the peaceful transitions to democracy of the Eastern bloc are sometimes explained by saying 'Gorby did it', when Gorbachev did not come to power until 1985. Or by attributing the alterations to Reagan's going to Berlin and telling Gorbachov to tear down the Wall.
By December 1981, Poland was under martial law, which unleashed a high degree of underground organizing, countless organizations of self-help, reimagining of the society, and the publishing of samizdat. Still, even so, some people believe that this sweeping political change was top-down. It is indisputably true that nonviolent action usually interacts with other forces and forms of power, but I would say that we need this book for its accessible substantiation of historically significant independent nonviolent citizen action as a critical element in the collapse of the Soviet Union.
You also mention Al Jazeera as an important media agency in your most recent blog post at 'Waging Nonviolence'. You wrote that Al Jazeera has an important role in influencing global affairs. Could you explain why? And more generally, how important is diversification of media for international politics?
Al Jazeera generally has not been taking the point of view of the official organs of governments of Arab countries and has usually not reported news from ministries of information. Additionally, it often carries reports from local correspondents in the country at issue. If you are following a report from Gaza, it is likely to be a Gazan journalist who is transmitting to Al Jazeera. If it is a report from Egypt, it may well be an Egyptian correspondent. Al Jazeera also has made a point of reporting news from Israel, and utilizing reporters in Tel Aviv, which may be a significant development. Certainly in the 2010-2011 Arab Awakening, it made a huge difference that reports were coming directly from the action takers rather than the official news outlets of Arab governments.
President George W. Bush did not want Al Jazeera to come to the United States, because he considered it too anti-American. I remember reading at the time that the first thing that Gen. Colin Powell said to Al Jazeera was 'can you tone it down a little?' when asking why Al Jazeera couldn't be less anti-American in its news. To me, either you support free speech or you do not; it's free or it's not: You can't have a little bit of control and a little bit of freedom.
Until recently, Al Jazeera was not easily available in the United States, except in Brattleboro, Vermont; Washington, DC; and a few other places. It was difficult to get it straight in the United States. I mounted a special satellite so that I could get Al Jazeera more freely. This does not speak well for freedom of the press in the United States. This may change with the advent of Al Jazeera America, although we still do not know to what degree it will represent an editorially free press.
News agencies are important for civil-resistance movements for major reasons. Popular mobilizations need good communications internally and externally! People need to understand clearly what is the purpose and strategy and to be part of the making of decisions. Learning also crucially needs to take place inside the movement: activist intellectuals often act as interpreters, framing issues anew, suggesting that an old grievance is now actionable. No one expects the butcher, the baker, or the candlestick maker, and everyone else in the movement to read history and theory.
When news media are interested and following a popular movement of civil resistance, they can enhance the spread of knowledge. In the U.S. civil rights movement, the Southern white-owned newspapers considered the deaths of black persons or atrocities against African Americans as not being newsworthy. There was basically a 'black-out', if you want to call it that, with no pun. Yet dreadful things were happening while we were trying to mobilize, organize, and get out the word. So SNCC created its own media, and Julian Bond and others and I set up nationwide alternative outlets. Eventually we had 12 photographers across the South. This is very much like what the people of the Eastern bloc did with samizdat — sharing and disseminating papers, articles, chapters, even whole books. The media can offer a tremendous boost, but sometimes you have to create your own.
Last question. You combine scholarship with activism. How do you reconcile the academic claim for 'neutrality' with the emancipatory goals of activism?
To be frank, I am not searching for neutrality in my research. Rather, I strive for accuracy, careful transcription, and scrupulous gathering of evidence. I believe that this is how we can become more effective in working for justice, environmental protection, sustainable development, pursuing human rights, or seeking gender equity as critical tools to build more peaceable societies. Where possible I search for empirical data. So much has been ignored, for example, with regards to the effects of gendered injustice. I do not seek neutrality on this matter, but strong evidence. For example, since the 1970s, experts have known that the education of women has profoundly beneficial and measurable effects across entire societies, benefiting men, children, and women. Data from Kerala, India; Sri Lanka; and elsewhere has shown that when you educate women the entire society is uplifted and that all indicators shift positively. The problem is that the data have for decades been ignored or trivialized. We need much more than neutrality. We need to interpret evidence and data clearly to make them compelling and harder to ignore. I think that we can do this with methodologies that are uncompromisingly scrupulous.
Mary Elizabeth King is professor of peace and conflict studies at the UN-affiliated University for Peace and and is Scholar-in-Residence in the School of International Service, at the American University in Washington, D.C. She is also a Distinguished Fellow of the Rothermere American Institute at the University of Oxford, in the United Kingdom. Her most recent book is The New York Times on Emerging Democracies in Eastern Europe (Washington, D.C.: Times Reference and CQ Press/Sage, 2009), chronicling the nonviolent transitions that took place in Poland, Hungary, East Germany, Czechoslovakia, the Baltic states, Serbia, Georgia, and Ukraine in the late 1980s and early 1990s. She is the author of the highly acclaimed A Quiet Revolution: The First Palestinian Intifada and Nonviolent Resistance (New York: Nation Books, 2007; London: Perseus Books, 2008), which examines crucial aspects of the 1987 uprising overlooked or misunderstood by the media, government officials, and academicians.
Related links
King's personal page Read the book edited by King on Peace Research for Africa (UNU, 2007) here (pdf) Read the book by King Teaching Model: Nonviolent Transformation of Conflict (UNU, 2006) here (pdf)
Print version of this Talk (pdf)
0 0 1 5902 33646 School of Global Studies/University of Gothenburg 280 78 39470 14.0
Issue 32.2 of the Review for Religious, 1973. ; Review ]or Religious is edited by faculty members of the School of Divinity of St. Louis University, the editorial offices being located at 612 Humboldt Building; 539 North Grand Boulevard; St. Louis, Missouri 63103. It is owned by the Missouri Province Educational Institute; St. Louis, Missouri. Published bimonthly and copy-right (~) 1973 by Review ]or Religious. Composed, printed, and manufactured in U.S.A. Second class postage paid at St. Louis, Missouri. Single copies: $1.25. Sub-scription U.S.A. and Canada: $6.00 a year; $11.00 for two years; other countries, $7.00 a year, $13.00 for two years. Orders should indicate whether they are for new or renewal subscriptions and should" be accompanied by check or money order payable to Review ]or Religious in U.S.A. currency only. Pay no money to persons claiming to represent Review ]or Religious. Change of address requests should include former address. R. F. Smith, S.J. Everett A. Diederich, S.J. Joseph F. Gallen, S.J. Editor Associate Editor Questions and Answers Editor March 1973 Volume 32 Number 2 Renewals, new subscriptions, and changes of address should be sent to Review for Religious; P.O. Box 6070; Duluth, Minnesota 55802. Correspondence with the editor and the associate editor together with manuscripts, books for review, and materials for "Subject Bibliography for Religious" should be sent to Review for Religious; 612 Humboldt Building; 539 North Grand Boulevard; St. Louis, Missouri 63103. Questions for answering should be sent to Joseph F. Gallen, S.J.; St. Joseph's Church; 321 Willings Alley; Philadelphia, Pennsylvania 19106. Religious and Social. Security William Quinn, F.S. . Brother William Quinn,F.S.C., is the Assistant to the President of the Conference of Major Superiors of Men of the USA; Suite 114; 1330 New Hampshire Avenue, N.W.; Washington, D.C. 20036. For some years the Internal Re~)enue Service of the U.S. Government has recognized that religious with the vow of poverty require a specific treatment under the law. In virtue of their vow of poverty, religious have no income in the sense in which this word is used by Internal Revenue Service. What-ever salary they might earn is in reality earned as an agent of their order, not for themselves personally. Because of this, religious have been exempt from the federal income tax; when the Social Security System was begun in 1936, .religious were excluded for the same reason: They had no income upon which to base the Social Security tax and which would serve to determine the level of benefits upon retirement or disability. In 1967 the House of Representatives of the U.S. Congress passed legislation extending Social Security coverage to members of religious orders under a vow of poverty. However, when the matter was considered in the Senate, representatives of religious orders requested time for further study of the effects of coverage. The provision was not included in the Senate: passed bill which went to conference, and th~ conference agreed to post-pone the matter pending study of the orders. The status of religious under Social Security was not changed in the Social Security Amendments of 1967. The 1972 Provisions The provision for extending coverage to members of religious orders that is contained in the 1972 Amendments to the Social Security Act is based upon recommendations submitted to the Congress by a joint Social Security study committee, established by the two conferences of religious superiors in the U.S., LCWR and CMSM. 210 / Review for Religious, Volume 32, 1973/2 On October 30, 1972, President Nixon signed into law the Bill, H.R. 1, entitled Social Security Amendments of 1972; this Bill is now known as P.L. 92.603. The Bill provided many modifications in the existing Social Security legislation, but Section 123 is of particular interest to religious since its heading is: Coverage for Vow-of-poverty Members of Religious Orders. Religious orders are given the option of electing coverage under Social Security for their members under a series of rather well-defined conditions. The option is open-ended, that is, there is no time limit for when this option must be exercised, but it is irrevocable once it has been made. It will then be binding upon all present and all future members of the order. This new legislation recognizes the special situation of religious with the vow of poverty by creating for the purpose of Social Security coverage a unique definition of "wages": "The term 'wages' shall include the fair market value of any board, lodging, clothing, and other perquisites furnished to such member." Two things might be remarked about this definition: First, it is in no way related to the salary a particular religious might be receiving, and second, every religious in the order has an assignable "wage." The services performed by the religious might actually be carried out in an institution such as a school or hospital, but for the purposes of this Bill these services are deemed to be performed by the religious as an employee of the religious order. The obligation of paying the Social Security taxes members of the order falls upon the order, and not the particular institution for which the religious might be working. The effect of this legislation is to allow religious orders (or an autono-mous subdivision, such as a province or an independent monastery) the option of entering the Social Security system. The rates of taxation, the conditions for claiming disability, and the requirements for old-age benefits are the same for religious as all other participants in the Social Security pro-gram. A retroactive feature is built into the legislation, to allow the order to make the effective date of coverage any time'up to five years previous to the date of election of coverage. The order must pay the accumulated back taxes for all of its members, starting with the chosen effective date, but in so doing a number of older religious Will qualify immediately for old-age and Medicare benefits. The answers to specific questions about eligibility, tax rates, and bene-fits must be found in publicatigns of the Social Security Administration, or by consulting local offices of the Administration. These questions and answers are part of the daily routine of these offices and should not present any great difficulty. Special Questions Some questions, however, do pertain directly to religious, and some of these present rather difficult technical considerations. Examples of these Religious and Social Security might be: What is an autonomous subdivision of an order; are alien mem-bers of the order living in the United States covered; what about U.S.A. citizens, living and working in a foreign country; when is a religious retired? It is relatively easy to know when a lay worker in a business enterprise is retired. The case of one who stops working and who is no longer paid a salary is rather obvious, but even with the layman there may be some diffi-culty in establishing the fact of retirement. This would occur, for example, in the case of a self-employed person who would substantially reduce the time devoted to employment. In the case of a religious, where the "wage" is calculated on the basis of room and board and other perquisites furnished to him by the order, the question as to when the religious is to be considered as retired becomes more difficult. Retirement, for a religious under Social Security, is defined in the new legislation as the situation in which the religious no longer performs the duties usually required (and to the extent usually required) of an active member of the order. In spelling out the interpretation of this definition for the benefit of the religious superiors who will have to make the certification of retirement, the Social Security Administration calls attention to two con-siderations: a comparison of the nature of the work being performed before retirement with that performed after, and the amount of time devoted to this service. Should a sister, for example, be assigned to the motherhouse after fifty years of teaching and there devote herself to monitoring the phone, it is clear that she has retired. The case is more difficult, say, for a con-templative sister who gradually grows more feeble with age and who is not able to keep up the pace of former years. She is considered to be retired, for Social Security purposes, when the religious superior certifies that she is no longer able to perform the services required of active members. A Typical Illustration The operation of the new Social Security legislation could perhaps best be appreciated by considering a particular case as a typical illustration of how the law would work out in practice. Suppose, for example, that Brother John Doe, born in 1917, has taken a vow of poverty as a member of a re-ligious order. Suppose further thai the prov.ince of his order elects to partici-pate in Social Security by filing the appropriate Certificate of Election, with an effective date of January 1, 1973. The tables of eligibility for retirement benefits and for hospital insurance (Medicare) indicate that 31 quarters of coverage are needed in order to be fully insured; this means that Brother John Doe must have paid Social Security taxes on his "wages" for 31 quarters, at least, in order to be fully insured. An important parameter in the discussion is the amount of "wages" on which Brother John Doe pays the tax. This is an amount arrived at by the religious superior of his province as a result of considering the fair market 212 / Review ]or Religious, Volume 32, 1973/2 value of the board, lodging, clothing, and other perquisites furnished mem-bers of the province. Suppose for the sake of our illustration that this figure is $2,500 per year. The province, beginning in 1973, must pay a Social Se-curity tax for Brother John Doe at a rate of 11.7%, or $292.50 per year. The tax rate will remain at 11.7% until 1978, when it will increase to 12.1%. This rate will continue through 1980; from 1981-85 it will be 12.3%; 1986-1997 it will be 12.5%. This tax must be paid until Brother John Doe becomes disabled or until he retires. Brother John Doe will reach the age of 65 in 1982. At this time he may apply for old-age benefits. By 1982 he will have earned 36 quarters of coverage, and he will therefore be qualified for both retirement and Medi-care benefits. The amount of Brother's retirement benefits are calculated on the basis of his average "wage" over a period of 26 years (this number is given in a Social Security table, depending on date of birth and whether the person is a man or woman). In Brother John Doe's case his total earnings are 9 × $2,500 or $22,500; this divided by 26 gives his average yearly earn-ings as $865, or $72 a month. The Social Security Administration table of benefits indicates that Brother John Doe qualifies for the minimum benefit of $84.50 per month, or $1,014 per year. American Experience of Mortality Tables show that, on the average, men who reach age 65 will live another 15 years. Applying this figure to Brother John Doe gives his total old-age benefits as $15,210. Medicare Provisions After reaching 65, Brother John Doe automatically qualifies for Medi-care, Part A, the hospital insurance part of the health insurance program. This provides payment for services received as a bed patient in a hospital, or in an extended care facility, or at home as a patient up to 90 "hospital days" or 100 "extended care days" or 100 "homeohealth visits." The details of these benefits are spelled out in Your Medicare Handbook published by the Social Security Administration. After reaching age 65, Brother John Doe may elect to participate in Part B of Medicare which is a medical insurance program that helps pay for doctors' services, medical services and supplies, and other health care services. The cost of this insurance is reevaluated by the Government an-nually, but was $5.60 per month for the period July 1971-July 1972. Again, the details of this insurance program are contained in the same Handbook referred to above. Brother John Doe may continue to work after reaching age 65; should he do so, he will continue to pay Social Security on his wages. Further, the first $2,100 of his wages do not influence the old-age retirement benefits he receives, but the $400 beyond $2,100 (recall that our example set Brother John Doe's wages at $2,500) reduces his benefits by a proportion of one dollar for each two dollars earned over $2,100, or, in our example, by Religious and Social Security $200. Upon retirement, Brother John Doe would receive the full amount of his retirement benefit and would no longer pay the Social Security tax. Upon his death, a cash benefit of $251 is paid the beneficiary of Brother John Doe. However, for Social Security purposes Brother John Doe has no dependent survivors; after the deathbenefit is paid, no further benefits are paid on Brother John Doe's account. The Question Facing Each Religious Order Each religious order is now faced with a rather complex question-- what would be the economic consequence of exercising the option of joining the Social Security system. The order becomes liable to the Social Security tax on all its present members add all future members; it also gradually qualifies its members through quar.ters of coverage for the benefits of the Social Security program, chiefly disability, retirement, and Medicare. The order must make a careful evaluation of its age profile, its wage level, and its health and mortality experience.', to arrive at a prudent judgment as to lhe advisability of joining the Social Security program. The retroactive feature of P.IS. 92.605, Section 123, requires special consideration. This will allow religious who have recently retired, or those who will retire in the next several years, to qualify for full coverage, but the price that must be paid is the back Social Security tax for all members of the order who were active at the effective retroactive date. This date may be any number of quarters up to '~a maximum of 20 prior to the date of election of coverage. The effect of not choosing the retroactive feature is that some of the present older religious will not qualify for Social Security benefits, nor will they be eligible for Part A of Medicare after reaching age 65. Detailed information on Social Security matters is contained in the .publications listed below. Also, more specific reference to Social Security as it affects religious with a vow of poverty is given in the series of questions and answers that follow. Critical Social Security Questions Question 1. For purposes of the law relating to the Social Security coverage of religious (P.L. 92.603), what are considered wages? Answer. Wages for the purpose of this law shall include the fair market value of any board, lodging, clothing, and other perquisites furnished to a member by the order or autonomous subdivision thereof or by any other person or organization pursuant to an agreement with the order or subdivi-vision. Question 2. Does the law provide for a minimum or maximum amount for evaluated maintenance? Answer. The legislation specifically provides that the evaluated mainte-nance shall not be less than $100 per month. The maximum of course 214 / Review [or Religious, Volume 32, 1973/2 would be $10,800 under the 1972 amendments. The committee reports emphasize that the evaluation shall be on a reasonable basis. There is no indication that cost accounting principles must be applied. The committee reports also emphasize the understanding that there will be one established or evaluated wage for all of the members of the order regardless of the position which they occupy. Question 3. Are religious subject to both Social Security and income taxes? Answer. This law does not affect the vow of poverty but rather confirms it. Therefore, there would be no income tax liability on evaluated board and lodging. The Social Security taxes imposed on wages are limited by the law to orders which waive their tax exempt status for the limited purpose of Social Security coverage. Question 4. Will the religious be required to file any income tax forms? Answer. No, this law is not based on the self-employment concept as in ~the case of ministers. The only form filed is that which is required of tile employer; that is, the order or a subdivision thereof. Question 5. Who determines the level of income for a particular religious order or autonomous subdivision thereof? Answer. This is determined by the religious super:,or, based on a study of the actual situation existing with the members of the order or subdivi-sion thereof. Question 6. The order or subdivision thereof decides whether or not to come into the Social Security System; how is this decision made? Answer. The law does not specify how the decision is to be made. The provincial may get to~ether with the council and make the decision. Alterna-tively, the entire membership might be polled on the question. Question 7. If the order elects to come under Social Security, is this election irrevocable? Answer. Yes. Question 8. How many quarters of coverage are necessary in order to be fully insured under Social Security? Answer. Ultimately, the answer depends on the date of birth of the person being considered. It is necessary to go to a table supplied by the Social Security Administration to find the answer to this question. It should be observed here that, depending on the age of the individual, it may not be necessary to have as many quarters of coverage to secure Medicare coverage. This too depends on Social Security Administration tables. Question 9. Is it economically advantageous for a religious order to participate in Social Security? Answer. It is difficult to give a generalized answer to this question. It must be determined for each individual order. Three of the most signifi-cant factors are: the level of wages of the members of the order, the age distribution of the members of th+ order, and the benefits which would be Religious and Social Security / :215 receivable, that is, old age and survivors benefits, Medicare coverage and disability insurance and death benefits. Question 10. What retirement benefits are paid to a retired religious who has been fully insured under Social Security? Answer. This depends on the level of "income" on which the religious paid Social Security taxes during the years he was acquiring the necessary number of quarters of coverage; however, there is a minimum benefit paid to everyone who has the requisite number of quarters. At present this minimum is $84.50 per month or $1,014 per annum. Question 11. What is the situation with respect to a religious who pays Social Security taxes for ten years and then leaves the order? Answer. The credits a religious earns toward Social Security coverage belong to him/her as an individual; should the religious leave the order he takes the earned eligibility with him into secular life. Question 12. A religious man with sufficient quarters of coverage to be fully insured reaches age 65 but continues to work; that is, he is not retired in the technical sense of the term. What is his status under Social Security? Answer. Upon reaching the age of 65 the religious who has earned the required quarters of coverage may apply for Social Security benefits and he would be entitled to the same. If he continues to work, that is, he is not retired, the order must pay the Social Security taxes on his wages even though he is receiving old age benefits. If his wages are $2,100 or less, there would be no reduction of his old age benefits. If, on the other hand, they are in excess of $2,100 there would be a reduction of one dollar for every two dollars in excess of $2,100. The above answer would apply to a member of a religious order of women with the exception that she would be eligible for Social Security at the age of 62. Her benefits, however, would be somewhat reduced. Under the 1972 amendment a man may likewise be retired at 62 but his benefits would be reduced. Question 13. Is there any significant difference in the Social Security law as it applies to men or to women? Answer. The age at which women may receive benefits, and is the nor-mal retirement age for women, is 62, whereas it is 65 for men; however, men may retire at 62 and receive i'educed benefits. The required quarters of coverage to be fully insured differs for men and for women. The exact details should be checked with table~ supplied by the Social Security Administration. Question 14. Is there any time limit in which to elect coverage? Answer. No, an election may be made at. any time the order so desires. Question 15. Is there any time limit for electing retroactive coverage? Answer. No; however, if. the order defers the election of retroactive coverage for a significant amount of time it will be more costly when the order does elect to come in on a retroactive basis. The rate for the retro-active purchase of coverage is determined by, existing tax rates during the :216 / Review ]or Religious, Volume 32, 1973/2 five year period. For example, if an order elected five years retroactive cov-erage in December the tax rate for 1967 and 1968 would be 8.80%; for 1969 and 1970 it would be 9.60 and for 1971 and 1972 it would be 10.40. In 1973 the rate will be 11.70 and by 1978 it will rise to 12.10. In addi-tion to the increased costs it is possible that some religious will not be covered if the retroactive buy-in is deferred for a substantial period of time. Some members, for example, may retire and, consequently, will not be cov-ered in the retroactive purchase. Question 16. Must one elect for a retroactive period of five years or may one elect for a lesser number of years? Answer. The order may elect to "buy in" for any number of years it wishes, the maximum being five. Question 17. If a religious is active during the retroactive period and alive at the time of election but no longer a member of the order should he be counted in determining retroactive coverage? Answer. Yes. Question 18. When must the order pay for the retroactive coverage? Answer. By the end of the quarter in which the election is made. This payment must be made in a lump sum; there is no provision for an install-ment buy-in. Question 19. May an order elect coverage before the forms and regula-tions are finalized? Answer. Yes; notification of election of coverage may be sent to your district Social Security office. Question 20. When should a religious secure a Social Security number? Answer. As soon as possible. It is not necessary to have Social Security coverage in order to acquire a number. Acquisition of a number might speed receipt of benefits when an election is finally made. Question 21. If a religious subject to a vow of poverty performs ser-vices not required by the order but merely with the approval of his or her superior may he or she receive the benefit of this law? Answer. No, the services performed must be at the requirement of the religious order or subdivision thereof. Question 22. If a religious receives board and lodging from another organization (parish) how shall the wages be determined for Social Se-curity purposes? Answer. The tlat rate which is adopted for all religious shall prevail. Question 23. How much would it cost to buy in retroactively for a five year period at an evaluated wage of $100 per month? Answer. It would cost $612 per member who was active during the five year period and alive at the time of election. Some Available Literature 1. Social Security Handbook (SSI 135). This is available from the Religious and Social Security / 217 Superintendent of Documents and provides o]~erall ~nformatlon but nothing more recently than 1969. It will be 3 to 6 rrionths, before anything like its counterpart will be brought out. The volume c~sts $2.25. 2. Your Medicare Handbook (DHEW ,Publication; SSA 72-10050). This is available from the Superintendent of Documents at 35 cents in bulk rate, free for a few copies. The Handbook is available to anyone entitled to Medicare. 3. Your Social Security (DHEW SSA 72-10035). This provides gen-eral information and is available free from the Superintendent of Documents. 4. If You Become Disabled (SSA 73-10029). Available free even in bulk. 5. Your Social Security Earnings Recordi (DHEW 73-10044). Avail-able from the Superintendent of Documents. 6. How Medicare Helps You When You Go to the Hospital (DHEW 72-10039). This may be free in bulk. 7. Estimating Your Social Security Retirement Check (SSI 47). Avail-able free. Theological Reflections on the Ordination of Women Committee on Pastoral Research and Practices The Committee on Pastoral Research and Practices is a committee of the' National Conference of Catholic Bishops. Foreword This report prepared by the Committee on Pastoral Research and Practices has been approved for publication by the Administrative Committee of the National Conference of Catholic Bishops. The report is not definitive. It deals only with the question of ordination to diaconate and priesthood, leaving aside the question of installation of women in ministries of lector and acolyte. It is a contribution to the con-tinuing dialogue on a subject of great importance. Its purpose is to encour-age further study and discussion while making honest efforts to identify the major questions which must be examined in depth before conclusive answers can be given. We are conscious of the deep love for the Church which underlies the growing interest of many women in the possibility of ordination. Our own appreciation of their indispensable contribution to the life of the Church underlies this effort at honest dialogue. Other churches are also engaged in a study of this question. While their reflections have been helpful to us, we hope ours may be helpful to them. Theological Reflections on the Ordination ot Women The question of ordaining women is an old one in the Church, but it has not yet been thoroughly researched for Catholic theology. There is no explicit authoritative teaching concerning the ordination of women that settles the question. The topic should be given exhaustive study. The theological reasons for and against the ordination of women need to be developed in careful and 218 The Ordination of Women / 219 objective fashion. A thorough study is required not because of sociological trends, but because of developments in the Church within the past decade. The encyclical Pacem in terris (no. 41) in 1963 listed the emancipation of women as a positive development of modern times. The Pastoral Constitution on the Church in the Modern World (nos. 9, 29) in 1965 rejected any discrimination based on sex. The admission of women as auditors to the last two sessions of Vatican II (1964-65), the proclamation of St. Theresa of Avila as Doctor of the Church (1970), the discussions on this subject in the Third Synod of Bishops (1971)--these trace a considerable recent development concerning woman's role in the Church. The revelation given in Galatians 3:28 shows the equality before God of every Christian: "There does not exist among you Jew or Greek, slave or freeman, male or female. All are one in Christ Jesus." In the Church then there is no distinction of persons: Discriminatory lines have been erased by Christ. In the Church there can be no discrimination. The basic text and basic teaching, however, do not mean that there are not different ministries in the Church, or that one ministry is to be pre-ferred over another--as the same St. Paul taught in 1 Cor 12:4-14: 1. In spite of this doctrine of the equality of all in Christ, no woman has ever been pope, bishop, or priest. At the present time it cannot be proven or disproven that women were ever ordained deacons. It is Church law (Canon 968) that women are not eligible for orders. Several scriptural and theological justifications have been proposed to explain why women are not eligible for ordination. They are here listed-- in a general order of increasing importance--with some brief comments. 1. In the Old Testament, authentic priesthood was limited to males. The Aaronic priesthood and the levitical service (a service somewhat analogous to the diaconate) were similarly limited to males (cf. Exodus 28, Leviticus 8). This was in keeping with the strongly patriarchal Hebrew society. Be-cause we accept the law as invested with divine authority, we accept this limitation of Old Testament priesthood to men of one family within one tribe of Israel as expressing God's will-for the Old Testament. The exclusion of most males and of all females was then also God's will. This entire presen-tation, however, seemingly has no direct bearing on the issue at hand. We of the New Testament are studying the will of God concerning the New Testa-ment priesthood of Jesus Christ. 2. In the New Testament there is mention of a woman who was called "deaconess" (Rom 16:1) and of other women serving as deacons (1 Tim 3:11). Similarly in the early centuries of the Church, and especially in the East, there were deaconesses. Unfortunately no clear conclusions can be drawn from this information. There is no way at present to determine whether these women were called by this title in a formal or an informal way, whether the women in scripture were wives of deacons .who aided their deacon hus-bands, whether they were ordained, whether any ordination they received 220 / Review for Religious, Volume 32, 1973/2 was sacramental, etc. The uncertainty of Scripture scholars concerning an "order" of deaconess is illustrated in the Jerome Biblical Commentary, 53: 136; 57: 21. A similar uncertainty seemingly exists concerning the deaconess in the early Oriental Church. This deaconess tradition is helpful in approach-ing the present question. However, we must beware of constructing a case for or against the sacramental ordination of women on such fragmentary and indefinite information. 3. Saint Paul repeatedly directed that women hold to a subordinate posi-tion in the Church, keep silence in the Church, keep their heads covered, tend the home and family, etc. (cf. 1 Cor 11:2-16; 14:33-36; Eph 5:22-24; Col 3: 18; Titus 2:5; cf. 1 Pet 3: 1-7). There seems to be little question but these texts are of Pauline authority alone. The developments of the past decade in the Church listed in this letter, and the authorized functioning of women as lectors and commentators, further demonstrate that these Pauline texts should not be cited as arguing against the ordination of women. 4. The New Testament doctrine on "headship" as reflected in the order of creation is given to justify the leadership of men and the subordination of women in the Church (cf. 1 Cor 11:3-12; 1 Tim 2:8-15). This same reasoning is advanced to explain the ordination to the priesthood of men but not of women. This doctrine of the dependence of woman on man is seem-ingly the teaching of Genesis (cf. JCB 2:18) as well as of Saint Paul (cf. supra). However, much further study is needed before conclusions can be drawn. 5. The incarnation is given as a reason for the ordination of men only. The word of God took on flesh and was made man--as a male. This then was the divine plan. It is stated that this divine plan is expressed in the person of Christ (cf. Decree on the Ministry and Li]e o[ Priests, no. 2). It is argued that a male priest is required to act in the person of the male Christ. 6. The selectivity of Christ and of the early Church presents another ap-proach. It is known that Jesus did not hesitate to contravene the law and sociological customs of his time. Yet Jesus selected only men as his apostles and disciples. Further, the replacement for Judas was to be specifically one of male sex (Acts, 1:21 in the Greek), even though women who fulfilled the other conditions were present and available. Similarly the seven assistants to the apostles (Acts 6:3) were all men, even though the work was to be that of serving widows. This limitation to men, it is argued, goes beyond socio-logical conditions of that day and points to a divine choice. 7. Revelation is made known to us from tradition as well as from Sacred Scripture (cf. Constitution on Divine Revelation, nos. 8-10). It is then necessary for theology in this question to look to the life and practice of the Spirit-guided Church. The constant practice and tradition of the Catholic Church has excluded women from the episcopal and priestly office. The-ologians and canonists have been unanimous until modern times in con- The Ordination of Women / 221 sidering this exclusion as absolute and of divine origin. Until recent times no theologian or canonist seemingly has judged this to be only of ecclesiasti-cal law. It would be pointless to list the many authorities and the theological note that each assigns to this teaching. However, the constant tradition and practice of the Catholic Church against the ordination of women, interpreted (whenever interpreted) as of divine law, is of such a nature as to constitute a clear teaching of the ordinary magisterium of the Church. Though not formally defined, this is Catholic doctrine. These seven approaches have been used to document the exclusion from ordination of women. From them we attempt to draw six somewhat tentative conclusions: 1. Reasons no. 5 and no. 6 call for considerable further study in order to measure their validity. 2. Reason no. 7 is of ponderous theological import. Its force will not be appreciated by those who look for revelation and theology in Scripture alone, and who do not appreciate tradition as a source of theology. Because of rea-son no. 7 a negative answer to the possible ordination of women is indicated. The well-founded present discipline will continue to have and to hold the entire field unless and until a contrary theological development takes place, leading ultimately to a clarifying statement from the magisterium. 3. This question is extraordinarily complex. It is influenced by the indi-vidual's point of departure, viewpoint, and choice of terminology. Even in this study some helpful distinctions have not been spelled out for the sake of brevity. It would seem that neither Scriptural exegesis nor theology alone can give a clear answer to this question. The ultimate answer must come from the magisterium, and the current question is whether the magisterium (as reason no. 7 explains) has already given a definite and final answer. And at this level of doubt, only the magisterium itself can give" ultimate clarification. 4. It is possible to draw distinctions between the diaconate and the epis-copal- priestly order, and within the diaconate itself. Assuming that the diaconate is of ecclesial and not divine, institution, and that it can be sep-arated from the sacrament of orders, it would seem possible that special study be given to the possibility of a diaconate of service, non-sacramental and non-liturgical, which would be conferred on women. It has been noted that Pseudo-Denys in the 5th century made such a distinction within the diaconate. 5. Some contemporary writings on this subject approach priestly ordina-tion as "power" rather than service, and speak of a "right to ordination." Such views appear to overlook the clear doctrine that priestly ministry is service to the People of God, that no Christian has any right to ordination, and that it involves the mystery of God's free election. One who is not an ordained priest is not thereby, a lesser Christian, a lesser minister, or a victim of discrimination. In the Church there are many ministries, but all Christians do not have all charisms, and the hearts of all should be set on the greater 222 / Review ]or Religious, l/olume 32, 1973/2 gifts of God's love (1 Cor 12:4-13:3). Further, all Christians share in the common priesthood of the faithful (cf. Constitution on the Church, no. 10); from among these some are chosen by God to minister to the others by priestly service. In such a context should this question be presented. 6. Beyond the question of theological possibility is the further considera-tion o~ what is pastorally prudent. For the present, however, we can see from theology only a continuation of the established discipline. Considering the strength of that discipline and the numerous uncertainties detailed in this paper, the needed study on this question is now just beginning. As is evident, every one of the points listed in this report calls for a major study. The German theologian Ida Friederike Gorres reminds us that it is God's will and plan that must be determinant in this question: The Catholic priesthood is a unique phenomenon, springing solely from the faith, the doctrine, the history, the growing self-consciousness of the Church: not from the religious needs of the Catholic people, certainly not from any principles or theories concerning the rights of men and women, nor yet from the necessity of particular functions which could be assigned at will to various persons. The one and only exemplar of the Catholic priest is the living person of Jesus Christ, in his relationship to the Church: in the mystery of the one, perfect, indissoluble life he leads, with her (Catholic Transcript, Dec. 17, 1965). Pluralism in the Works of Karl Rahner with Applications to Religious Life Philip S. Keane, S.S. Philip S. Keane, S.S., is the Vice Rector of St. Patrick's Seminary; 320 Middlefield Road; Menlo Park, California 94025. As a working theologian moves from place to place, he finds himself being asked questions on a wide variety of subjects and his interests tend naturally to move towards those questions which he is asked over and over again. In the past twelve to eighteen months there is no question which I have been asked about more frequently than the theological meaning of pluralism. The question has come from virtually all segments of the Christian community, but it has been asked with special urgency by the members of religious communities, with at least one religious community having enough concern about the issue that it has called for a serious study of pluralism in its newly adopted constitutions.1 Pluralism a Perennial P~oblem In a certain sense I have found the repeated questions about pluralism amusing. My amusement has come from the fact that my questioners (sisters in particular) so often seem to be presupposing that pluralism is a brand new issue, perhaps even a .brand new toy, which theologians have just lately discovered. Some of the questioners seem very excited about this new issue as if it will solve all their community living problems while others are quite frightened by it, but they all seem to have the idea that pluralism is a totally new problem. This I find amusing inasmuch as pluralism is a perennial problem which theologians have .wrestled with for centuries; it is hardly a new issue. Many of today's older theologians such as Karl Rahner aConstitutions o] the Sisters o] St. Joseph o] Carondelet, a Congregation o] Pontifical Right, St. Louis, 1972, p. 29. 223 224 / Review ]or Religious, Volume 32, 1973/2 have been working with pluralism for 30 or 40 years, that is, since before a number of my excited questioners were born. Thus perhaps the first point to be made to those who are either nervously or excitedly asking about theologi-cal pluralism today is that it is anything but a totally new theological concept. Nonetheless, theological plurfilism is a most important issue for the whole Church today and for religious communities in particular. Also, it is an issue which is not well understood especially from the theological view- . point. Hence, the goal of this article will be to aid our understanding of pluralism as a theological reality by presenting the concept of pluralism found in the works of Karl Rahner and by applying this concept to the situation of the religious community today. In the past 10 or 15 years Rahner has written very extensively and incisively on pluralism'-' and his work on the theme should surely be a help to us in forming a workable theological concept of pluralism. Divisions and Presuppositions Our reflections on the theology of pluralism will be divided into five parts: first, pluralism as a basic theological reality; second, the unique character of pluralism today; third, some consequences of today's pluralism for the Church as a whole; fourth, pluralism and the oneness of our faith; and finally the implications of pluralism for religious community life. The first four parts will gather and coherently organize Rahner's ideas on plural-ism. The final section will move beyond what Rahner says explicitly, but it will seek to be faithful to his views on pluralism. An important note before beginning the explanation of Rahner's writings on pluralism is that, as with any Rahnerian topic, the vastness and.depth of Rahner's total theological synthesis are such as to render the treatment of a particular Rahnerian theme such as pluralism somewhat difficult without at least some grasp of the whole of Rahner. In our particular case, for example, Rahner's metaphysics of human knowing as bipolar (explicit and implicit), his concept of God as indescribable mystery, his explanation of Christianity as an openness to all that is genuinely human, and his concept of man as ~Rahner's major articles on pluralism include "The Theological Concept of Con-cupiscentia," Theological Investigations (hereinafter T1) [8 volumes 1961-71; vs. 1-6, Baltimore: Helicon; vs. 7-8, New York: Herder and Herder], v. 1, pp. 347-82; "The Man of Today and Religion," TI 6, pp. 3-20; "A Small Question Regarding the Contemporary Pluralism in the Intellectual Situation of Catholics and the Church," ibid., pp. 21-30; "Reflections on Dialogue within a Pluralistic Society," ibid., pp. 31-42; "Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, pp. 17-29; "Philosophy and Theology," Sacramentum Mundi (New York: Herder and Herder, 1968-70), v. 5, pp. 20-4; "Theological Reflections on the Prob-lem of Secularization," Theology o] Renewal (New York: Herder and Herder, 1968), v. 1, pp. 167-92; "Pluralism in Theology and the Oneness of the Church's Profession of Faith," Concilium, v. 46 (1969), pp. 103-23; and "Glaube des Christen und Lehre der Kirche," Stimmen der Zeit, July 1972, pp. 3-19. Pluralism in Rahner / 225 a future-oriented being whose most fundamental virtue is hope are all themes which form a substratum for his theology of pluralism? These themes will be given brief explanations as needed and the reader less familiar with Rahner is advised to consider them carefully when they occur. Pluralism as a Basic Theological Reality First of all then, what is the basic theological meaning of pluralism? Rahner began to develop his thinking on this matter in his well known 1941 article on concupiscence.4 Therein while discussing Heidegger's distinction between human person and human nature, Rahner makes the point that the human person, the source of human freedom and human longing for God, can never fully dispose of himself in a single action. Instead, man's person finds himself limited by man's nature as a material or incarnate spirit. Man cannot make a total act of movement towards God, an act which is uni-formly effective in all the aspects of human nature. For man's person which freely seeks God lives in an insuperable tension with his nature which limits his ability to move towards God. Some years later (1959) Rahner explained this kind of thinking further in another context when writing about the mystery of God) Here the point is that the mystery of God so totally tran-scends human knowledge that no concrete human experience or human expression can ever fully encapsulate the mystery of God. This mystery which is at the very root of man's being constantly eludes man's efforts to grasp or formulate it. At the level of concrete human knowing man does not have a total understanding of God. Rather man in his materiality and there-fore in his limitation has only partial knowledge of the mystery of God. The more he learns about God the more there is to learn, for God will always be the mystery who exceeds the depths of our understanding.~ Our life then is a day by day effort to see, follow, and love God more clearly, nearly, and dearly as the popular song from Godspell puts it. All this of course is no new insight. St. Paul said the same thing centuries ago: "Oh, :~Good background reading on these themes includes "Dogmatic Reflections on the Knowledge and Self-Consciousness of Christ," TI 5, pp. 199-201; "The Concept of Mystery in Catholic Theology," TI 4, pp. 36-73; "Anonymous Christians," TI 6, pp. 390-8; "On the Theology of the Incarnation," T) 4, pp. 105-20; and "The Theology of Hope," Theology Digest, Sesquicentennial issue, 1968, pp. 78-87. ¯ ~"The Theologi~:al Concept of Concupiscentia," TI 1, pp. 347-82. For what follows see especially pp. 368-9. In recent articles Rahner has explicitly shown how his present thinking on pluralism is rooted in his early writings on concupiscence; for example, "Theological Reflections on the Problem of Secularization," Theology o] Renewal, v. 1, pp. 187-8. 5"The Concept of Mystery in Catholic Theology," TI 4, pp. 36-73, especially pp. 46-8. 6Rahner pushes this position about God as absolute mystery to its ultimate radicality when he argues that God will still be m. ystery for us in heaven (ibid., pp. 53-60), and that in God all the mysteries of our faith are ultimately one (ibid., pp. 61-73). 226 / Review ]or Religious, Vohtme 32, 1973/2 the depths and the richness of the wisdom of God; how incomprehensible his judgments are, how unsearchable his ways" (Rom 11:33). Unavoidable Pluralism Putting these ideas together, we can see that both man's unlimited desire to choose God in freedom and his ceaseless yearning to know God with his intellect are limited in such a way that in actual fact man only chooses and knows God through a series of particular or partial acts of choice or knowledge. His choice of God comes through a multiplicity of human choices, his knowledge of God comes through a multiplicity of human acts of knowing.; All this leads Rahner to a basic dictum of his religious or theological anthropology, namely, that the inherently limited and seriated character of all human choice and knowledge of God means that all human experi-ence of God has about it a necessary and unavoidable element of multiplicity or pluralism. Since man cannot fully embrace the mystery of God in single actions, he must experience God through many actions. Pluralism thus be-comes a basic or fundamental element of man's relationship to God. Rahner states this in many ways in his works. He states that man is ever subjected to the agony of pluralism,s and even more strongly he calls pluralism a radical or irreducible fact of human existence.'~ Because God made man as a material or embodied spirit, man cannot escape from pluralism, from the fact that he must learn about God, and indeed about all of life bit by bit, part by part. There just is no other way for the human spirit. Any form of mysticism which tries to escape from man's bodiliness and multiplicity is a pseudo-mysticism in the opinion of Rahner?° It is particularly important to note that since Rahner's concept of plural-ism is founded upon man's way of knowing and choosing God, it is a radi-cally theological concept, that is, a concept asserting a basic aspe.ct of man's relationship to God. This is significant today because very often pluralism is bandied about as a sociological or political concept, whereas Rahner's idea of it is much deeper. The trouble with those who limit their concept of pluralism to sociology or political science is that, whether they like pluralism or not, they can very easily look upon it as a fad which will pass away. In :Rahner uses both Scotist approaches (the limitations of our freedom) and Thomist approaches (the limitations of our knowledge) in explaining pluralism theologically. In later years he tends mostly towards knowledge oriented or Thomist examples, perhaps most celebratedly with his concept of "gnoseological concupiscence" ("The-ological Reflections on the Problem of Secularization," Theology o] Renewal, v. 1, p. 187). But both ways are possible for him. Slbid., pp. 190-1. :"'Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, p. 22. 1°Hearers o] the Word (New York: Herder and Herder, 1969), pp. 77-9. Pluralism in Rahner / 227 particular those threatened by pluralism will wait for it to pass if they view it as a fad. But pluralism is not a passing fad. Its basic point is that no two of us ever experience and formulate our approach to God in exactly the same way. We are truly moving towards the "many mansions in our father's house." Ultimately then we must see pluralism as a theological issue. Problems of Pluralism Rahner's language in describing the fundamental phenomenon of pluralism raises some interesting questions. Why does he describe man as "subjected" to pluralism? Why does he call pluralism agonizing? Why did he begin to develop his treatment of it in the context of a theology of con-cupiscence? The answer to all these questions is that in Rahner's view it is man's irreducible pluralism which makes it possible for man to sin. It is precisely man's ability to explicitly grasp only partial goods or values which enables him to sin, to sin by absolutizing one or some of these partial values and thus shutting himself up in the finite,~1 closing himself to the unfathom-able mystery of God. The agony for man is that he experiences or perceives value only in partial and thus plural realizations. His very way o~ being drives him towards the multiple or plural values. The temptation to ab-solutize such values is the temptation to sin. Rahner's whole theology of hope, of man as a being who must be open to the future, a being who must refuse to absolutize the partial values of the present, is, of course, echoed here.l~ These thoughts bring up another problem. Do pluralism's close connec-tions with concupiscence, and hence its status as the occasion which renders sin possible make pluralism a bad or evil thing? Definitely not! This rejection of a condemnation of pluralism is one of the most emphatic rejections in Rahner's entire theological system. His whole reason for beginning to write about man's concupiscent movement after multiple and partial values was to insist that such movement cannot be called fundamentally evil?:' Rahner holds that it was the all good God who made us .as material and pluralistic beings and that, therefore, we must accept ourselves as we are in faith, in hope, and in love. Rahner is determined to teach that we should love the nature God gave us and this means that we must openly embrace our radi-cal, God-given pluralistic state. We simply cannot flee from it, agonizing though it may be. Are we ready to accept Rahner's challenge on this point? The Unique Character of Pluralism Today Our reflections so far have shown us that pluralism is a basic constituent of man's experience of God affecting all men at all times. But another vital 11,,Thoughts on the Possibility of Belief Today," 7~1 5, p. 10. V-'For a position similar to Rahner's on this point see Wolfhart Pannenberg, What is Matt? (Philadelphia: Fortress, 1970), pp. 68-73. ~:t"'The Theological Concept of Concupiscentia," TI 1, pp. 369-71. 228 / Review ]or Religious, Volume 32, 1973/2 point needs to be made. Why is it that pluralism, always a part of man's situation before God, has become such a particularly pressing concern in our times? Why are so many in religious communities suddenly talking about it? Why has a man like Rahner written so much on pluralism in recent years? To put all these questions more precisely we should ask the following: Is there something specifically unique about pluralism in the 20th century? Are there new factors today which further complicate man's fundamentally pluralistic situation? In answer, the first assertion to be made is that Rahner very definitely feels that 20th century pluralism is a specifically unique phenomenon in the history of the human race. He explains the uniqueness of 20th century pluralism by referring to the tremendous, historically unparalleled explosion in human knowledge which is taking place in our century.TM Man has prob-ably learned more (and therefore appropriated more multiple or plural values) since the beginning of our century than he learned in all the previous centuries combined. Thus, specialization has become the byword of our age. Each individual human being is learning more and more about less and less. Human communication is becoming harder and harder. In the 19th century those who went to college or graduate school could be rela-tively certain that their studies would include a good deal of the "liberal arts" and that they would arrive at basically similar value systems. Even in the early 20th century this was still so. Today, however, people are sent away to school to study various disciplines (art, sociology, psychology, literature, mathematics, and so forth) and they come home with such varied value systems that for all practical purposes they are speaking in different languages. Many segments of society experience this problem in-cluding religious communities. The situation is especially burdensome for persons in authority insofar as persons in authority are never again going to be able to learn enough to understand all the varied value systems and languages of the people under them. A Qualitatively New Situation Rahner gives his position on the uniqueness of 20th century pluralism a deeply radical meaning when he refuses to explain today's pluralism on a merely quantitative basis, that is, on the basis of the increased number of plural values which different men are learning about today. Rather he holds that the numerical increase in man's knowledge of pluralistic values has placed mankind in a qualitatively new situation,x'' The qualitative l~"Reflections on the Contemporary Intellectual Formation of Future Priests," T! 6, pp. 114-20; "Reflections on Dialogue in a Pluralistic Society," ibid., pp. 39-40; and repeatedly elsewhere in Rahner's works on pluralism. ~z"Pluralism in Theology and the Oneness of the Church's Profession of Faith," Concilium 46 (1969), p. 104. Pluralism in Rahner / 229 difference is this: In the past the number of insights and values known to man was limited enough that it was at least possible in principle for one person or one group of persons to gather together the known human insights and values in such a way as to formulate one coherent worldview or philosophy of life which could be accepted and embraced by all men at least in a given part of the world. Further, in the past, the world's great civiliza-tions (Western, Oriental, African, American) were so insulated from one another by "cultural no-man's lands" that the fact of one civilization's philosophy of life not including the values known to other civilizations made no difference in practice,a'~ Today, however, the whole world is different; the barriers between the great civilizations are collapsing, and the number of pluralistic insights and values has so increased that it is simply impossible for any person or group to embrace all known values and thus establish a worldview which can attain anything approaching a universal acceptance by a civilization or civilizations.1~ This is why Rahner says that 20th century pluralism has put man in a qualitatively new situation: man can no longer thematize universally acceptable worldviews. 20th century pluralism is therefore radi-cally new. The adjectives which Rahner uses to describe it become stronger and stronger as the years pass. He describes today's pluralism as irreduc-ible, indomitable, unconquerable, unsurpassable, and so forth,as Another way of describing the qualitative difference between today's pluralism and that of the past might be to say that in former times the plural values perceived by man could be conquered by inclusion within one philosophical worldview so that they were reduced to diverse aspects of that worldview, to diversities within one philosophical system. But the differing values of today cannot be conquered or reduced to one system; thus we no longer have diversities within a system but instead we have something much more radical, we have a pluralism which is in Rahner's words unconquerable and irreducible. Rahner never precisely uses the words diversity and pluralism to characterize the old and new aspects of human multiplicity, but such a terminology certainly seems to fit in with his description of the qualitative difference between today's pluralism and that of former centuries. In any case the point is that pluralism, while ~"Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, p. 22. ~r"A Small Question Regarding the Contemporary Pluralism in the Intellectual Situa-tion of Catholics and the Church," TI 6, p. 22, and in a number of other places in Rahner's works. ~SAmong many examples of Rahnerian language of this type are: "Theological Reflec-tions on the Problem of Secularization," Theology o] Renewal, v. 1, pp. 188-90; "Reflections on the Contemporary Intellectual Formation of Future Priests," TI 6, p. 117; "The Man of Today and Religion," ibid., p. 20; "Pluralism in Theology and the Oneness of the Church's Profession of Faith," Concilium 46 (1969), p. 107. Review ]or Religious, Volume 32, 1973/2 always a fact for man before God, presents us with a new series of problems in our times. Consequences of Today's Pluralism for the Church What should be the attitude or response of Christianity towards the qualitatively new phenomenon of 20th century pluralism? Six different aspects of Christianity's response to today's pluralism can be distinguished. The first of these aspects is a general picture of Christianity's response to pluralism; the remaining five are specific consequences of the new pluralism for the Church. First then and in a general way, it can be said that throughout his writings Rahner comes across very strongly as a man who is deeply con-vinced that one of Christianity's most vital and essential tasks for our times is to accept and embrace the pluralistic situation which God has given us today just as all men in ages past have had to accept the experience of pluralism which God gave them. This open thinking is found in Rahner's works on non-Christian religions,19 on the secularity and godlessness of today's world (which Rahner says we must bravely and courageously accept because it has a positive meaning and challenge for us),-°° and on the pluralistic sciences which he espouses and encourages.21 Even the shrinking of the Church in today's pluralistic world must be accepted ~vithout fear and loved by the Christian as part of God's plan for us, part of salvation history?-° Definitely, theret~ore, Rahner sounds a clarion call to the 20th cen-tury Church to face without fear or escapism the task which God has given us of coping with the new pluralism. I have little doubt but that in future centuries, Rahner's brilliant and insightful challenge to the Church on this matter will be one of the things for which he will be most remembered. In so many ways it can be said that for Rahner the name of the game for the Christian today is to be open. The whole thrust of Rahner's thinking on anonymous Christianity suggests this. Specific Consequences Secondly and more specifically, Rahner holds that in the light of modem pluralism Christianity must give up the idea that its entire message and value system can be embraced in any one philosophical system and in par: ticular it must give up the idea that the Thomistic philosophical system can continue to be the one decisive dialogue partner in which all Christian in-ag" Christianity and the non-Christian Religions," TI 5, pp. 115-34. =°"The Man of Today and Religion," TI 6, pp. 1 I-2. '-'1"Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, p. 27. "-'~"The Present Situation of Christians: A Theological Interpretation of the Position of Christians in the Modem World," The Christian Commitment (New York: Sheed and Ward, 1963), pp. 3-37. Pluralism in Rahner / 231 sights can be expressed to the world. Rather in the future Christianity will simply have to accept a who~le host of diaiogue partners (the arts, the be-havioral, social, and pure sciences, Oriental philosophies, and so forth) in expressing the Gospel messa'ge to the world. Rahner says this explicitly at least twice~3 and gives many other hints of it as well. For instance, he says that we must study all the great philosophies of the world because in an anonymous way they may be,' as much or more Christian than our explicitly Christian philosophy. In other words we are moving into an age of Christian philosophies and worldview!, instead of an age of a univocal Christian philosophy and worldview. Note carefully that Rahner who is a Thomist never says that Thomism sl~ould be abandoned as a philosophy. What he does say is that Thomism can no longer be given the absolute, monolithic status ascribed to it in the 15ast by the Church. Instead it must constantly criticize itself, realizing that it can never express the fullness of the truth of God. It must relentlessly op.en itself to the lns~ghts of other philosophies, which must in their turn be~ open to it. No longer will there be any one philosophy of life (in the sense values) upon which the Chu~rch or communities within it can operate.~' Thirdly as a consequence of pluralism for the Church Rahner holds that since theology depends on philosophical thinking for its mode of ex-pression, the fact that there can no longer be only one exclusively Christian philosophy suggests directly that there can no longer be one theology in the Church. Instead there Will be many theologies, a fact that the Church I ¯ " must bravely accept as Rahner puts it. no way denies our oneness of faith (Rahner calls it credal oneness) but it does demand that in the future our expressions of the one faith will be plural, in accord with the plu~iformtty of human experience. Next, and closely related to the idea of many theologies, Rahner argues I . that the magisterium or teac, hmg office of the Church finds itself cast into a whole new situation by tod.ay's pluralism.-oG Rahner points out that on rare occasions the teaching office[of the Church will have to continue to operate in the traditional mode, that [is, by rejecting this or that theological formula-tion as inconsistent with the faith,z7 Much more often, however, Rahner holds that in today's plurahst~c world the magisterium will have to take on z~"Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial ~ssue, 1968, p. 18; 'Phdosophy ~nd Theology" Sacramentum Mundt, v. 5, p. 23. ~4This position does not deny the underlying unity of our faith, a matter we shall consider later. '-'SIbid., pp. 23-6. Rahner does speak herein of a sense in which there is still one theology, but this will emerge in our forthcoming consideration of our one faith. "-'Glbid., p. 26; "Pluralism in Theology and the Oneness of the Church's Profession of Faith," Concilium 46 (1969), pp. 112-3. ~7"Pluralism in. Theology and the Oneness of the Church's Profession of Faith," Concilium 46 (1969), p. 113. 232 / Review for Religious, Volume 32, 1973/2 a new function, a function which can be well described as a challenge func-tion rather than a judgment function. The idea of this challenge function of the magisterium is that no longer can the teaching Church understand all the formulations of all the theologians as it did in the past. Thus the Church will often not be in a position to judge the works of an individual theologian. But she can challenge him. She can urge him to be certain that his formula-tions are faithful to the Christian tradition. By so doing the teaching Church can render real service to the individual theologian and to the Christian community as a whole. Obviously a magisterium which challenges more than it judges will have to be more trusting of its theologians, trusting that they are faithful to our traditions even when the magisterium is not totally clear on how the new formulas of theology relate to the faith. Rahner states that this new challenge aspect of the Church's teaching office is already occur-ring. 2s The whole situation also suggests to Rahner that today's magisterium will generally refrain from proclaiming new dogmas, as it refrained at Vatican II. A fifth consequence of pluralism for the Church today is a fact which we previously alluded to, namely, that persons bearing authority in the Church (including bishops, pastors, religious superiors, and so forth) are placed in an extremely difficult but still very important position by con-temporary pluralism. All of us, therefore, should be deeply sensitive to the burdens of those who hold ecclesial office. Rahner points out that at times such authorities may have to exercise authority traditionally, saying no to this or that.-09 In most cases, however, office bearers in today's Church will follow the style of the new magisterium by challenging their subjects rather than judging them. In this context a particularly important task for Church authority figures will be to maintain openness, that is, to keep any of their subjects or groups of subjects from so locking themselves to a partial set of values (whether liberal values or conservative values) that they fail to be genuinely open to the mystery of God and thus commit the ultimate human sin of absolutizing finite values. Need for Constant Dialogue The last and perhaps most important implication of contemporary plural-ism is that in our times Christianity must engage in a constant and genuine dialogue with itself and with the world around it. Since today's man realizes that his philosophy of life can never be a total or absolute system, he must constantly seek to correct and expand his own viewpoint by dialoguing with other men. Rahner points out that genuine Christian dialogue is truly possible in a pluralistic society because for the man of faith all true values in 2s"Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, p. 27. 29"The Future of Religious Orders in the World and Church of Today," Sister Forma-tion Bulletin, Winter, 1972, p. 7. Pluralism in Rahner / 233 various philosophical and theological systems are seen to be rooted in the one mystery of God. Values not rooted in the mystery of God are not true values and will be shown as such in the dialogue. Hence as we journey through history together, there is hope that men can come to understand how their partial expressions of value are integrated in the absolute mystery or absolute future of man which is God. Those of course who lack faith will not see human differences as resolvable even in our future in God. But for those of us who do believe, there is hope that full unity will be attained in the eschaton. And in this hope we can keep on talking with each other despite repeated misunderstandings. Our age is peculiarly an age of going to meetings, and no doubt many of us get tired of meeting after meeting. But, if we are to be Christians in these pluralistic times, it seems we must keep on having meetings no matter how boring they, become. As Rahner sees it, dialogue is the only possible mode of coexistence for mod-ern Christian persons."~° In ending this section an observation which ought to be made is that none of these consequences of pluralism we have just reviewed really solve the problem of how the Christian is to live and form community today. For in all honesty we have to face the fact that pluralism as it now exists is a new problem which the generations who have preceded us did not face in the way we face it. Thus nobody today really knows how to cope with our pluralism and our inability to form worldviews which large scale segments of society can accept. Rahner makes some suggestions on the matter for the Church as a whole, but even he admits that he is far more asking the question about pluralism than answering it.~1 This lack of answers to the challenge of pluralism may not make us feel comfortable, but we must realize that that is where we are. Pluralism and the Oneness of Our Faith An especially nagging question seems to underlie much that we have said. Is pluralism something like the dualisms of former centuries with their many gods? Does pluralism have some effect on our faith in one God? In the Rahnerian thought world the answer is quite simple. Theological plural-ism positively does not weaken the oneness of our faith; if anything it strengthens that oneness by focusing us on the true source of our faith instead 'of on the more superficial sources of unity upon which we too often relied in the past. To understand Our oneness in faith in Rahner's system, we must advert to a basic theme of Rahner's theological anthropology or vision of man, namely that there are two poles or levels to human exis- :~°"Reflections on Dialogue within a Pluralistic Society," TI 6, p. 35. The whole article is valuable on dialogue. :~lThis point is made clear by the title and substance of Rahner's article, "A Small Question Regarding the Contemporary Pluralism in the Intellectual Situation of Catholics and the Church," TI 6, pp. 21-30. 234 / Review lor Religious, Volume 32, 1973/2 tence.3~ One of these poles, in fact the more obvious of them, is the pole of concrete human activity and experience. This is the pole of human expres-sion, of human speech, of explicit consciousness and choice. On this pole or level the effects of man's materiality and limitation are clear, and thus man operates from this pole in a radically pluralistic fashion. He has many con-crete acts of learning and many forms of speech. He makes many choices. There is, however, another, a deeper and ultimately more significant level to human existence, a level which precedes the level of the concrete and multiple. This is the level of man's preconscious existence, of his deepest self-awareness before his God. Those who speak of man's funda-mental option are referring to this level of man's life. On this level rather than multiplicity and a myriad variety of human acts of knowledge and choice, man, if he is a believer, has a basic and simple openness to his God. On this level man in his radical openness no longer experiences a pluralism of values. Instead he knows one Lord and one faith. He and his neighbor may not be able to describe their faith in the same way, but as believers they are surely experiencing the one ineffable God. This level of transcen-dent human openness to God makes Christian faith community real. Our faith, therefore, is not hindered by pluralism. In fact, pluralism only serves to buttress our faith, because it forces us to realize that our faith can only be genuine faith if it is based on the unfathgmable mystery of God. No other source but this mystery can stand as an adequate ground for us as believers. Surely with this ground we can cry out in the words of Malachy: "Have we not all one father? Has not the one God created us?" (Mal 2:10). The Foundation in Tradition Rahner's position on human openness to the ineffability of God as the source of our faith and upon (he inevitable pluralism which begins to ensue as soon as we start expressing that faith finds much support both in the tradition of the Church and in modern authors. Traditionally, for instance, Christian authors have emphasized that the ways of knowing God by specific affirmation (via allirmativa) or negation (via negativa) had a validity .but still a clear limitation. Thus traditional authors appealed to a third way of knowing God, to the way of eminence or transcendence (via eminentiae), that is, to a primal recognition by man of the mystery of God. As Henri de Lubac has pointed out this third way is really the first and most fundamental way. a3 Among modern authors Bernard Lonergan in his new book, Method in Theology,34 gives particularly noteworthy support to Rahner's idea that we 3'-'"Dogmatic Reflections on the Knowledge and Self-Consciousness of Christ," TI 5, pp. 199-201. a:~Henri de Lubac, The Discovery o! God (New York: Kenedy, 1960), pp. 122-3. 34New York: Herder and Herder, 1972. In our context see especially pp. 265, 323, 326-30. Pluralism in Rahner / :235 all share one ineffable faith despite our various perceptions of that faith. Lonergan's insistence that true objectivity in man is not an "out there now real" set of facts, but rather man's honest habit of mind as he keeps him-self attentive, intelligent, reasonable, and responsible would seem to place faith on the deepest level of human openness while realizing that faith will be expressed in various formulations. Even more explicitly, Lonergan's carefully reasoned argument that what is permanent in our dogmas is their meaning, not their formula supports Rahner's effort to place faith at the core of the human person while being open to pluralism on other levels of human perception or choice. Perhaps the title of Rahner's article "Pluralism in Theology and the Oneness of the Church's Profession of Faith" sum-marizes all this very nicely?5 We may have to use many words but we still have the Word of God. Pluralism thus creates no fundamental faith problem. It helps us to see that our faith must be based on the mystery of God. Our openness to this mystery is the primary source of our existence as a faith community. It is true, of course, that Christians need other levels of communal togetherness and organization besides this primary mystery of faith level. Some of these other or "second level" approaches to community will be considered in what follows about religious communities. First, however, we must realize that none of these other levels will have any meaning unless we begin by seeing ourselves as united on the primal level of faith in God. Implications of Pluralism for Religious Community Life~ With less specific guidance from Rahner, but in the spirit of all that we have seen, what can be said about the implications of contemporary plural-ism for religious communities in the Church? First, if we accept the idea that a religious community is called to be a genuine sign of hope to the whole Church and if contenlporary theological pluralism is one of the most critical and fundamental challenges facing the Church today, the task of opening itself to and coping with man's radically pluralistic situation is one of the most formidable and vital tasks facing the religious community today. It seems to be the kind of issue concerfiing which the religious community must live up to its eschatological nature as a sign of transcendent hope for the whole Church, a sign that real Christianity is possible in the modern pluralistic world, a sign to the Church of where she is going. It is an historical fact that over the centuries, religious com-munities have been leadership organizations in the Church in times of crisis. :~SA section of Lonergan's new book has almost exactly the same title (pp. 326-30). a6White the title of this section speaks of religious communities, surely the remarks herein can be taken as referring to the various n6ncanonical religious groups in the Church today as well as to the canonically approved religious communities. Indeed, the noncanonical groups may have an especially important task in showing religious communities their possibilities in our pluralistic world. 236 / Review ]or Religious, Volume 32, 1973/2 In our times pluralism is the crisis and millions of persons throughout the world are seeking to overcome the alienation which can exist in our plural-istic world. New experiments in communal living abound. In the crisis of pluralism can the religious community live up to its historic role of leader-ship for the future? Second, if religious communities do face up to this challenge of assuming a leadership function in showing the Church its role in a pluralistic society, probably the most realistic forecast which can be made is that the days ahead are going to be days of agony and suffering for religious communi-ties, agony because of the very nature of pluralism, and because no one right now knows precisely what to do about pluralism. This does not mean at all that religious communities should give up hope or lose faith, but it does mean that the years ahead and the paths to adapting to pluralism are going to be most difficult. Just one example of this difficulty will be that almost in-evitably more religious will have crises of faith and perhaps leave com-munities, even later in life?7 For an honest facing of pluralism will create more options for the religious and these options will create more crises. Third, it would seem that the option being taken by a few communities of refusing virtually all change and forward movement simply is not a viable option in the light of the theology of pluralism. With the greatest respect for the good faith of the leaders and members of these communities, there is an honest question about how such nondialoguing communities can continue to exist in our pluralistic .world. It is true that these communities are doing rather well as far as incoming candidates are concerned. But are these candidates accepting the vocational task of building community amidst the pluralism which God has given us all? Or are they fleeing from that task and seeking after a security which refuses to admit that pluralism exists? The Option of Fragmentation Fourth, and of special importance, the option of "fragmentation," the option of a larger religious community dividing itself into two or more smaller groups with each group representing a particular viewpoint would also seem to be foreign, at least in principle, to Rahner's theology of plural-ism. Many religious are heard to call for this option today when there is so much clamor about the bigness of organizations and the value of small, intimate communities. While I can see real value in religious communities working out living arrangements based on small, relatively homogeneous groups, I would argue that the large community structure with its varying viewpoints should be retained in our pluralistic world. My reasons for saying this is that there would seem to be a great possibility that smaller groups of religious in cutting off dialogue with other thinking about religious ::rKarl Rahner, "The Future of Religious Commonities in the World and Church of Today," Sister Formation Bulletin, Winter, 1972, p. 4. Pluralism in Rahner / life would become ineffectual, would fail to grow in maturity, and would stand in a real danger of closing in on themselves in such a way as to become unresponsive to the demands of a pluralistic society. Incidentally, the danger of a select group becoming closed would be just as great for a progressive group as for a conservative group. The Pharisees are the classical example of a progressive group who closed in on themselves and subsequently became of little value to society. Further, the fragmentation option for religious seems to ignore another of Rahner's noteworthy themes, namely that the power inherent in a larger organization can be a genuinely redemptive value in a pluralistic society.3s The foregoing remarks against the fragmentation of religious com-munities should not be taken as an absolute stand against such fragmenta-tion. Rather these remarks are a general or "in principle" statement. Rahner himself points out that in some hopefully exceptional cases in life there is so little possibility of creating understanding that a particular dialogue must be broken off so that a group can keep dialoguing at all."~ In these cases other forms of dialogue must replace the broken ones, since genuine dialogue is essential for human coexistence in a pluralistic society. There have been a few cases in recent years of religious communities dividing; and who are we to say that these particular terminations of dialogue were not genuine in-spirations of the Holy Spirit, genuine efforts to establish other forms of dia-logue when one form had become impossible? In general, however, dialogue between differing viewpoints is so essential in a pluralistic society that the option of fragmentation should not be taken except under extreme and oppressive circumstances. Experimentation and Incarnationalism Fifth, if the religious community accepts its leadership mission for the world, and if it refuses the anti-change and fragmentation options, it be-comes clear that the most helpful (and also most difficult) option for a religious community today is to let its structures become open to genuine dialogue and pluralism in such a way that the community becomes truly re-flective of the actual condition of the whole Church today. This will mean as Rahner sees it that the religious community will be engaged in a constant process of. experimentation as it seeks to face up to new perceptions of value in our pluralistic world?" Such experimentation will stem from all levels in a community: individuals, groups, and organized authority. Only through such experimentation will a religious community achieve the true openness and dialogue needed in a pluralistic ~ociety. ~S"Theology of Power," TI 4, pp. 391-409. :~:~"Reflections on Dialogue within a Pluralistic Society," Ti 6, pp. 40ol. ¯ "~"The Future of Religious Communities in the World and Church of Today," Sister Formation Bulletin, Winter 1972, pp. 6-7. 238 / Review ]or Religious, Volume 32, 1973/2 Lastly, a religious community living amidst pluralism must advert to what Rahner calls the "incarnational principle" of Christianity.'1 This principle means that the ineffable faith unity which we share in the depth of our being must somehow become incarnate, must somehow be incorpo-rated into tangible structures. Otherwise we could never experience our faith unity. More particularly, a religious community as a small unit in the Church can never embrace all the possible incarnations or concrete ex-pressions of faith value. A religious community is thus only one form of faith expression. It is only one "social institutionalization''42 of Christianity. All this implies that in addition to its underlying faith unity, a religious community will necessarily have to embrace certain second level values (the first level is always our faith), certain particular incarnations of the mystery of God. Such second level values are genuinely worthwhile in a pluralistic society for they do lead us to the one God, though in a limited way. Traditionally, the second level values around which religious com-munities have been organized have included the confession of the members of a community (Roman Catholic), their apostolate, their sex, their vowed life, their prayer, their communal living, and so forth. Openness and Second Level Unifiers Now what, in our pluralistic society, can be said about religious com-munities' second level sources of unity? Two main points must be made. First, important though these second level unifiers are, they are not ab-solute expressions of the mystery of God. Thus the place, meaning, and even the continued existence of such second level unifiers of a religious community are subjects which cannot be exempted from dialogue if a re-ligious community is going to be genuinely open to the pluralism of today's world, to our inability to form a total worldview as we did in the past. A religious community which seeks to be open to the absolute mystery of God is not absolutely open to that mystery if it absolutizes any other points besides the one mystery. And when a religious community says that values such as the vows do not call for further dialogue and understanding, it is precisely absolutizing something other than the mystery of God; it is sub-mitting to the ultimate temptation created by our pluralistic situation, the temptation of seeking particular goods instead of the good. It would be most paradoxical if today's religious community were to submit to this temptation. The whole history of religious communities has been one of protest (by vows) against the absolutization of partial human goods such as marriage, wealth, and power. And even though this protest has had tremendous impact in the history of salvation, can a religious corn- 41"Membership of the Church according to the Teaching of Pius XII's Encyclical 'Mystici Corporis Christi,'" TI 2, p. 34. a~Karl Rahner, "Reflections on Dialogue within a Pluralistic Society," TI 6, p. 31. Pluralism in Rahner / 239 munity absolutize its means (and its understanding of this means) of dialoguing with the world, of showing the world where it must move in the spirit of Christian hope? Many examples of how a religious community must be open to dialogue about second level values could be cited. Apostolates obviously need to be reconsidered today. The vow of poverty is in great need of reassessment inasmuch as the mere fact that one cannot dispose of his or her own funds does not make one poor if he or she belongs to a rich community.4'~ To take another example which has probably been thought of a good deal less, who are we to say that religious communities are always going to remain ex-clusively Roman Catholic? Granted that Vatican II has already described the other Churches as true ecclesial realities, granted that Eucharistic Inter-communion is probably not too far off, granted that many young people in the other Christian confessions (especiall.y young women) find an idealism, way of life and apostolic zeal in Catholic-religious communities for which there is no parallel in their own confessions, and finally granted that more and more the real need is for a united Christianity to show its value to a secular (and sometimes atheistic) world rather than for Catholicism to show its value to Protestantism or vice versa, might it not ultimately be-come a genuine call of the Spirit for the Catholic religious communities to accept members from other confessions? While not offering an absolute answer, I hope the example at least helps make the point that dialogue on the values which I have called second level in the religious life seems to be an inescapable consequence of the theology of pluralism. Necessity of Second Level Unifiers Our second major observation on religious communities and second level values or unity sources is a strong reminder that, granted that these values are a constant subject of dialogue, growth, and change, a religious community movement simply cannot exist without some sort of second level value commitment and organization. The religious community must operate through a concrete value-unity structure in order to be open to ultimate value. It must have a concrete vocation if it is going to have a vocation at all. It cannot have its absolute, transcendental goal (the mystery of God) without expressing this goal in concrete goals. A religious community's concrete vocation and concrete goals are so necessary sociologically that, in the midst of all the open dialogue about them, they should be seen as a requirement for membership in the community. Those who do not agree with a religious community's particular goals may be perfectly good Christians, but a community will only retain its societal identity insofar as its members agree upon a particular sociological format for moving towards the mystery of God. This is why Rahner argues that authority in a religious community 43On this point see Karl Rahner, "The Theology of. Poverty," TI 8, especially p. 172. 240 / Review jor Religious, Volume 321 1973/2 may sometimes have to operate in the traditional yes or no method. Surely the yeses or noes of a religious community's authority can never be more than provisional since the community's self understanding and consequent second level values will grow and change in dialogue. But the fact remains that the growth process of permanent religious commitment (and this is what permanent commitment is, a growth process) can only function at a particular point in space and time through the acceptance of second level goals.44 Religious communities which have forgotten this point in recent years have had their troubles as a result. Conclusion By way of a concluding thought, especially for those who are fearful of what will happen to religious communities as they face their future with all its pluralism, I would like to make the very joyful and hopeful point that there are already some indications that an honest, pluralistic dialogue on religious life's second level values will probably do a great deal more to reinforce rather than to downgrade the traditional wisdom of the Church on religious life even though this wisdom may not be asserted as absolutisti-cally as it was in the past. For instance, I have noted and been truly inspired by the fact that Christian virginity has been emerging as a very deep seated value in the lives of some members of the noncanonical religious com-munities in which it is required neither by Church law nor by any public vow. In an era when so many priests, brothers, and sisters are questioning celibacy and virginity, this is most refreshing; it suggests that our pluralistic, open-ended society (which is, after all, God's gift to us) is not so much a thing to be feared as it is a genuine opportunity for spiritual growth. Per-haps it will teach us some things we have been trying to learn all along. ¯ ~4The insistence of second level goals does not of course imply anything like the detailed agreement which existed when religious communities operated from a homogeneous worldview. But some admittedly evolutionary sociological coherence on the second level is a necessity. Pluralism and Polarization among Religious George M. Regan, C.M. Father George Regan is associate professor of theology at St. John's University; Grand Central and Utopia Parkways; Jamaica, New York 11432. The recently published sociological and psychological studies of priests in the United States have no counterpart as yet in special studies about religious men and women. Tempting hypotheses could be constructed on the basis of personal experience and impressions about the levels of maturity and self-actualization among religious, about their attitudes toward authority, and about their opinions on specific issues such as birth control, celibacy, divorce, and liturgical practices. The surveys of priests indicated that widespread disagreement exists among various segments of the Catholic clergy on such issues and that deeply polarized attitudes seem rooted in profound ideologi-cal differences. In the absence of hard data leading to actual percentages of religious who hold certain views, one can nevertheless reflect on the divergence experienced firsthand in contacts with religious communities these days. Pluralism of approach, outlook, and conviction characterize religious at all levels of the same community at times, and comparison of one community with others easily substantiates this impression of diversity, which has re-placed the former uniformity. Pluralism reaches into all levels of community life, encompassing not only particular questions such as order of day, con-crete regulations on government, poverty, and style of dress, but also more fundamental aspects of the institute's l!fe, such as its purpose and nature in the larger Church, its basic ideals and values, and its charismatic qualities for today's world. Members thus find themselves split deeply at official chapters and in less formal gatherings on the most fundamental meanings of their religious life and on many more superficial issues. Coupled with this pluralism has arisen a sense of alienation, an outright bitterness about 241 242 / Review ]or Religious, Volume 32, 1973/2 the frustrating experience of division, or an aimless confusion. Polarization of groups may be discerned not infrequently. The vitality of individual religious and of entire communities has suffered immeasurably as a conse-quence. This extensive pluralism and the resulting polarization constitute a rich and inviting ground for thorough exploration by specialists in various fields. At times in recent years, some religious have tended to look upon their problems as mainly theological in nature, but further reflection casts grave doubt on the accuracy of this claim. In particular, the psychological and social factors of given attitudinal differences and divisions often feed into the situation more than do the theological and philosophical viewpoints espoused. This may be seen clearly in many contemporary divisions which have emerged between young and old, or between liberals and conservatives. Such divergences often manifest features closely resembling matters dis-cussed in development psychology or sociology in general. This article will concentrate principally on the more theoretical and intellectual roots of today's pluralism which underlie the theological, psychological, and sociological differences. In a sense, it will address the issue of the basic framework within which various groups of religious operate. It will not offer a litany of the specific differences which separate religious, nor will it provide a "medicine chest" of remedies. Our more limited purpose is simply to reflect on the different levels and .origins of pluralism in the ways of thinking and acting among relig!pus and to inquire into some possible means of coping with its sometimes unhappy results. The Death of Old Theory In an address to a committee of American bishops in which he inter-preted the results of the sociological survey of priests, Andrew Greeley claimed that "we have not yet discovered that our fundamental problem is the collapse of old theory combined with the non-appearance of new theory." In his usage, theory means those goals, values, models, and basic assumptions that allow the given human grouping to interpret and order phenomena, to justify its own existence, to explain its purposes to outsiders and new members, to underwrite its standard procedures and methodologies, and to motivate its members toward its goals. Though Greeley's comments regarding such theory concern priests alone, his approach has direct bear-ing on the question of the emergence of pluralism in all areas of American Church life, including religious communities. According to Greeley, the old theoretical structure began to crumble in the United States about ten years ago, and it has now disappeared, never to be restored. This rigid and unconscious theory emerged as a mixture of post-Tridentine garrison Catholicism and American immigrant Catholicism. It laid stress on loyalty to the Church, certainty and immutability of an-swers, strict discipline and unquestioning obedience, a comprehensive Pluralism and Polarization Catholic community, suspicion of the world beyond the Church, avoidance of re-examination of fundamental principles, and clearly defined models of behavior. The reasons substantiating .this theory were largely extrinsic and suasive, not decisive, for they were justified by one's loyalty to the teachings and structures of the Church and not by their intrinsic rationality. When various elements of this theoretical structure were thrown into doubt, the entire theoretical structure collapsed without warning. Since all rules, however minor, were viewed as immutable and unquestioned, change in even a few rules such as "meat on Friday" exposed the shaky foundations of the whole structure. The very suddenness of the change had excluded any opportunity to rethink the grounds of past assumptions and when these assumptions fell into disrepute, confusion resulted. Greeley believes that there exists virtually no theoretical perspective to replace the old theory, for the fads and fashions, clich6s and slogans of recent years lack sound and solid scholarship. His remedies for this situation center on the indis-pensability of scholarship in all areas of Church life. Scholars must get to work on building a new theory; and all levels of the Christian community must manifest openness, respect, and understanding for the results of their scholarship. One might justifiably criticize various elements of Greeley's presenta-tion, which sometimes verges more on polemical journalism than on ob-jective analysis. Sweeping generalizations about the old theory's "avoidance of re-examination of fundamental principles," and about the former lack of rational foundations do not ring completely accurate. One may well disagree with the actual cogency of the intrinsic reasons advanced for many past approaches, but it strikes one as gross exaggeration to deny their very existence, as Greeley seems to do. Consequences ot the Loss o~ the "Old Theory" His overall analysis seems true enough, however, and its application to the current situation which exists in many religious communities also seems clear. In a peculiar fashion and perhaps more strongly than in the priesthood, many religious institutes had embodied the chief marks of the "old theory" which Greeley describes. Disappearance of these characteristics or questionings about their presentday relevance have split many a com-munity or left it adrift aimlessly. The basic goals, values, and assumptions of past approaches to religious life constitute the kind of "old theory" which has undergone increasing challenge. Debates about such funda-mentals have obviously far more import than does disagreement about more superficial features in religious communities. How often does one not hear religious, usually older in age, wondering about the seeming decrease in loyalty to the community and its traditions among some members, the ever-changing views of the young, the lack of discipline and compliance with authority which has grown, the intrusion ~/44 / Review for Religious, Volume 32, 1973/2 of what seems a worldly spirit, the lessening in time devoted to formal prayer, an overstress on personal fulfillment, an endless questioning of basic goals, values, and principles, and the advancement of vague and im-precise models of religious conduct? It takes little effort to draw the sharp contrast between these tendencies and the "old theory" formerly in effect. Another group of members, on the other hand, may criticize the present situation and urge change from precisely an opposite vantage point: Why has the community not updated more its apostolate, life style, government, and spirituality? Why do institutional requirements outweigh personal needs? Such conflicting comments and complaints signal at the least that the members of the religious community have failed to agree on some essential aspects of their life together. Onguing Crisis If one were to accept Greeley's views, then a religious community which lacks agreement on a theory in this deep sense of goals, values, and basic assumptions must of necessity expect ongoing crisis, for it lacks the founda-tions needed by any human organization. Without such organizational ele-ments agreed to substantially by the members, the religious community will lack the tools to provide a rationale for its existence, thereby undercutting its ability to attract new candidates and to motivate its present members. The conflicting expectations of its members, furthermore, would in all likeli-hood lead to frustration and anger, which may become repressed and then manifested only in hidden agendas. The real issues which separate may appear rarely in open discussion; a superficial facade of friendly toleration may mask underlying divisions. Instead of religious' testing one another's assumptions in healthy confrontation and seeking to incorporate whatever seems of value, defensive listening may begin whereby one person listens caret~ully in order to gather information, or better ammunition, to contra-dict. In extreme cases, open hostility or full withdrawal into silence may eventuate. Such problems parallel closely communications difficulties de-scribed extensively in marriage counseling literature. In such an atmosphere, not only deterioration of the human relationships involved, but also de-terioration of the persons themselves must set in eventually. Need for Substantial Agreement This sobering prospect lends a special urgency to the continuing task of striving to clarify and reach substantial agreement on the fundamentals of each religious community. If the members differ broadly on the very purpose and values of the community, how can they realistically expect one another to pursue vigorously and in unison some common goals? The various issues which polarize groups may, in fact, be symptoms of the deeper pathology in the religious community: a lack of common goals, values, and assump-tions essential to the life of the organism. For example, when large numbers Pluralism and Polarization / 245 of religious in a teaching community favor direct social work for the poor, the issue of the apostolic purpose of the institute should be addressed courageously. Similarly, communities which experience sharp and immense diversity among the members on their inner identity as contemplatives or apostolically oriented religious should discuss the matter openly, rather than avoiding the problem or simply drifting indecisively into a new identity through the sheer force of circumstances. When religious of the same community differ enormously on such a basic point of their common life as that of the character of the institute, they have little reason to hope for harmonious concord on lesser ideals and values. The more that significant pluralism enters these foundational areas of goals, values,, and basic assumptions regarding the community itself, the more the members should expect a sense of aimlessness, disunity, and confusion, it would seem. Unless some shared meanings emerge at these deep levels of their life together, religious must prepare for the inevitable results which flow from vague and overly general goals and values. Un-fortunately, dialogue may at times neglect these basic levels of religious life and concentrate on the more superficial, day-to-day aspects or happenings. Such failure may even carry over into official discussions at chapter and the like where extreme defensiveness or closed-mindedness can prevent needed exchange of opinions among the members. In a positive way, therefore, it seems incumbent on religious, especially those in higher authority, to raise these issues when disagreement exists below the surface and to foster free airing of views in the hope of clarifying goals and values. This seems a healthier solution than pretending outwardly that the members amicably share the same opinions. Some meeting of minds may follow more readily in this unhampered atmosphere, despite the anxieties created by confronta-tion. The Roots of Change Greeley's analysis of the contemporary situation in the Church and in the American priesthood is professedly that of a sociologist. When he speaks of the disappearance or collapse of the old theory, therefore, he refers hardly at all to the philosophical and theological underpinnings of the old theory, which he discusses more in empirical terms. Appreciation of these more theoretical dimensions may assist us in gaining additional insight into the roots of pluralism and in evaluating proposed means of coping with it. We shall direct our attention to two matters in particular: the emergence of pluralism in ecclesiology today, and the shift from a classicist to an his-torically conscious worldview. Pluralism in Ecdesiology Though Greeley mentions the death of post-Tridentine garrison Cathol-icism, he does not explore the highly juridical theology of the Church which 246 / Review ]or Religious, Volume 32, 1973/2 had justified these tightly knit patterns of behavior. This ecclesiology often found direct application to the models of authority and the corresponding structures employed in religious communities. The overcentralization, lack of sufficient subsidiarity, and overly juridical conception of authority found in the Church at large and in diocesan structures existed in religious com~ munities as well and rested its common roots in this understanding of the Church. This former approach to a theology of the Church had the added implication of overstressing the divine element of the holy Church, in too great contrast at times with the so-called profane world. In failing to give enough weight to positive elements outside the Church and to see God present there among men, "this understanding lent a basis to a spirituality tinged with suspicion of the world, "merely natural" or human values, and human institutions. God's self-communication seems relegated more readily to the more narrowly institutional context of the Church and open dialogue with the world appears foreign or dangerous in this conception. Religious communities which operated within this conceptual framework more natur-ally took on reservations about contacts with the world and the need to separate oneself from its perverting influences gained favor. By way of contrast, many contemporary writings which view the Church as servant and healer of the total human society understand her as essentially related to the world; and they take a far more accepting view of human values and institutions: the Church "goes forward together with humanity and experiences the same earthly lot which the world does. She serves as a leaven and as a kind of soul for human society as it is to be renewed in Christ and transformed into God's family" (The Pastoral Constitution on the Church in the Modern World, no. 40). The more that individual religious communities as a whole have taken on this more openly secular approach, which views the world and human values more favorably, the more they customarily take a somewhat negative view of factors which are viewed as separating the religious from the world or from human customs. Resulting Disagreements Inevitable disagreements must exist in religious communities and throughout the entire Church so long as disagreement exists on such funda-mental approaches to a theology of the Church. Pluralism among religious in this basic theological area sometimes underlies the members' differing convictions on contact with or separation from other people, openness or closedness to human standards and patterns of conduct, and general in-volvement with or disassociation from ordinary human events. Disputes about religious garb, about freedom to come and go, about visiting with laity or entering into friendship with them, and about attendance at or participa-tion in recreational or sports activities sometimes stem from more profound differences about the way in .which religious are conceived of in their rela-tionship to "the world." An implicit ecclesiology often seems at work in the Pluralism and Polarization / 247 way people think about such concrete matters. Similarly, disagreements in ecclesiology are bound to influence one's notions of Church authority. These disagreements become manifest frequently in the comments or criticisms by religious that they find their community's authority too centralized in the person of the provincial authorities or the local superior; or that col-legial bodies such as consultations of the local house are given mere lip service by the local superior; or that decisions which can be reached by themselves individually or at the local level are reserved to higher authority. Once again, these issues seem symptomatic of the more profound ideological differences in ecclesiology which separate Catholics today. Though such disagreements seem inevitable in today's climate of plural-ism, the destructive manner of coping with them found so often need not exist. More comments will be made on this topic later in this article, but some reflections seem pertinent even at this stage. Disagreement can at times be a constructive and enriching force in human relationships, within toler-able limits and depending on how people react. Deep differences should be faced squarely in a climate of open communication, if some valid hope remains of fostering closer harmony and unity in community. To bury di-vergences o~r to treat only the symptoms or external manifestations of pluralism and the resulting polarization insures an eventual destruction of interpersonal sharings promotive of personal growth. It would be more worthwhile to plunge tactfully into the more basic levels of disagreements, which in this case touch on the very nature of the Church and of ecclesiasti-cal authority. One's assumptions, spoken and outspoken, should be brought to light in mutual respect and openness. A willingness to temper one's views, to grant honesty and good will to the other party, and to speak about issues, not personalities, seems a minimum condition in such dialogue. In this deeper context where lie the roots of more shallow differences, mere pragmatic techniques for bettering the current situation will prove in-sufficient. Though the American passion for such practical programs may obscure one's vision, religious communities must accept the need of dealing with these more profound, theoretical dimensions of these issues. If reli-gious communities are to adopt even more moderate thrusts of contemporary theologies of the Church and of ecclesiastical authority, for example, they should at least acquaint all members with a more positive view of the world beyond the Church. Leaders in each community must also embody the con-viction that authority means service, not naked power disguised under new forms; that collegial functioning flows from Christian coresponsibility as members of the community; that love, trust, and friendship must be present in any effective Church leader and perhaps even more in a leader within a religious community. This kind of new theory, if it be that in contrast to some past distorted notions, surpasses mechanical techniques of improving government and the community's stance vis-?a-vis the rest of mankind. To expect that religious superiors familiar with another approach to authority 248 / Review ]or Religious, Volume 32, 1973/2 can automatically learn and adopt this new theory and behavior seems rather unrealistic. Practice based on such theory would go a long way in alleviating some tensions which exist among those who doggedly hold to outmoded con-ceptions of the Church and of authority, and those who stridently favor newness uncritically, perhaps urging the abandonment of most structures and of practically any interpretation of authority. Once more, unless some attempt is made to deal with issues below their surface and to strive for some limited agreement in fundamentals, religious communities cannot rightfully expect polarization to lessen, let alone disappear. A Changed Worldview Beyond Greeley's empirical analysis and the implications of the ecclesi-ological factors described above, we can explore still further to the deeper roots of today's pluralism in religious communities. Catholic authors in recent years have noted a significant shift in the basic worldview whereby we do philosophy and theology these days, and whereby we approach prac-tical solutions to questions in Church life. By worldview, these authors mean the fundamental framework whereby one interprets and orders reality and thus arrives at more detailed convictions. Bernard Lonergan in dogmatic theology, Charles Curran in moral theology, John Courtney Murray in matters pertaining to religious freedom, and Avery Dulles in ecclesiology have all referred to a contemporary change from a classicist worldview to an historically conscious worldview, which they all see as having immense ramifications in their areas of concern. Greek philosophy and Christian thought represented by thinkers ranging from Augustine to Thomas Aquinas to nearly all Catholic theologians until quite recently employed an approach which emphasized man's ability to grasp the essence of reality through his reasoning faculty. This so-called "classicist worldview" left little room for change, variation, or uncertitude. Since reason can easily enough penetrate to the essence of reality, im-mutability, certitude, timelessness, and absoluteness characterized such varied matters as moral principles, images of the Church, Church laws, and inherited patterns of conduct. In moral issues, for example, this thought pattern leaves little room for variability and relativity because of cultural diversity, historical development, or concrete circumstances. A variety of universal, negative norms, "Thou shalt nots," became part and parcel of the moral theology built on this worldview. In ecclesiology, this approach favored descriptive notes which emphasized similar qualities of unchange-ableness, universality, absoluteness, and certainty. The canon law elaborated in former times also mirrored this conception of reality. Modern influences of personalism, phenomenology, and existentialism and the scientific spirit of modern times bore in on Catholic philosophers and theologians in recent decades and turned the tide against this classicist Pluralism and Polarization / 249 worldview for many an author and, seemingly, for our entire Western cul-ture. The historically conscious worldview embodied in many Catholic writ-ings today views man and his world as evolving and historical, rather than as static and unchanging. Progress, development, and growth are seen as marking man and his world, and these qualities should carry into all philosophical, theological, and practical understandings of Christian life. A stress on the human person in his subjectivity and concreteness, on this man or men, rather than simply on "man," characterizes the contemporary in-quiry. The individual's feelings and non-rational states understandably receive more attention in this approach. Since concreteness, change, and diversity are such prominent features, tentativeness and openness to excep-tion replace the past tendency to formulate a host of absolute understand-ings. Pluralism and Worldviews Results of this shift in worldviews can be seen clearly in recent debates in the field of Christian moral theology. The uniqueness and unrepeatability of the individual person and his myriad moral situations have eroded for some authors the very possibility of articulating general moral norms with an absolute force, the "Thou shalt nots" so familiar in past presentations of Catholic morality. Rather than centering their treatment of a question like divorce, contraception, or pre-marital relations on the essence of marriage and human sexuality, for instance, authors writing in this vein will tend to discuss the empirical consequences and concrete circumstances of divorce, contraception, and pre-marital relations in order to arrive at their moral reflections on the proposed conduct. Nearly all authors show some reliance these days on this historically conscious view of man, though most have combined this with some continuing reliance on man's essential structures. This eclecticism does, however, lead inevitably to a spectrum of theological opinions, instead of the one "Catholic opinion" found in moral writings in use even into the past decade. A main result of this shift in worldviews and the accompanying eclecti-cism, consequently, has been the emergence of pluralism in many areas of Catholic thinking and living. One answer no longer exists for many issues in theology, philosophy, and Church life. Catholics' opinions run the spectrum from the essentialism inherited from past approaches through all shades of combinations to the other pole, new approaches heavily conditioned by existentialism, process thought, and consequ.entialism. Many common em-phases can, of course, be discerned in contemporary writings: a stress on the human person in his freedom, dignity, and personal fulfillment; the possibility of more room for change in previously accepted theological opinions, in social customs and law, and in Church structures; a thrust toward service in the world, rather than an emphasis on the dangers of con-tamination from the world; and an understanding of the Church more in 250 / Review ]or Religious, Volume 32, 1973/2 terms of the persons involved than in terms of institutions. These common emphases do not, however, lead to one new theory; they lead instead to new theories, new theologies, new understandings of the Church and ecclesiastical laws, customs, and structures. In a real sense, a new theory has developed which permits and even fosters a plurality of theories, of theologies, and of understandings. Pluralism constitutes a key-note of such "new theory." Disappointment may well await those who urge and expect some new univocal theory in the sense of an all-comprehensive and wholly coherent system of goals, values, and models of appropriate behavior and assumptions for the Church at large. Such a theory seems un-likely to appear on the horizon in the foreseeable future, if at all. What seems far more plausible and realistic to expect is an acceptance of pluralism in theology, philosophy, Church structures, and social customs and laws. Worldviews and Polarization This contrast between the classicist and historically conscious worldviews has influenced greatly the polarization so evident in religious communities today. At the roots of the various groupings whose labels have become pop-ularized-- liberal vs. conservative, old vs. young, secular-minded vs. cultic --often lies this more fundamental difference in the very approach to reality which religious and other Catholics now have. Inevitably, religious working within the historically conscious worldview will be more prone to accept or even to foster change in structures, in theological understandings, in the manner of doing Christian service to the world, in the proper exercise of authority in their community, and in traditional laws and customs. Since their entire outlook on reality promotes change and development in the name of human and Christian progress, and diversity and tentativeness in all formulations, which must of necessity be time-conditioned, they will urge these qualities in all aspects of religious life. Bedause their worldview con-centrates more on the human person in his concreteness and uniqueness, they will react strongly against whatever structures, institutions, and under-standings hinder the individual's fulfillment. A deeper interpersonal sharing at a different level of friendship than found in traditional approaches to religious life will leave these religious unsatisfied with forms of life which they find impersonal, institutionalized, and shallow. De~ires for small group-living frequently result from their reaction to such weaknesses, which they discern in large religious houses. Such issues as those of optional celibacy for secular priests, the ordination to priestly ministry of women, freedom of life style for priests and religious in such matters as dress, residence, and occupation, remarriage or readmis-sion to the sacraments of the divorced, and collegial living without a local authority in the person of a superior flow more naturally from a person whose fundamental outlook remains open to newness and progress in the sense described and whose value system places great emphasis on the indi- Pluralism and Polarization / :251 vidual person's development. Often enough, the individual religious will not have clearly articulated the theoretical foundations of his basic worldview or framework for thinking and judging; he simply finds himself doing it rather consistently without much reflection. No more than for many a person operating within the classicist worldview, his basic presuppositions and unarticulated theory rarely enter formally into discussion. Unless other members of religious communities come to appreciate this basic contrast in worldviews, they will find it most difficult to understand the rationale for many present-day movements and for viewpoints like those described previously. They will greet each new issue in the community with dismay, wondering why large numbers of their own community fail to see things their way. "Where have they gone wrong?" may be their continuing puzzled query. They will not grasp that an entirely different framework, the historically conscious worldview, has its own inner logic, as compelling for its adherents as their own classicist approach. One need not, of course, actually agree with the historically conscious worldview in its main lines or certainly in its applications. Unless one has some minimal understanding ot~ its overall thrust, however, one seems doomed to confusion, so far-reaching has been its influence and acceptance. Rancor and anger leading to hardened opposition of polarized camps may eventually set in. This seems already to have occurred in numerous instances in religious communities and rela-tions have become strained or, in some cases, non-existent. The Danger of Worsening The pluralism of opinions has threatened and disturbed many religious precisely because it has unsettled the foundations of their entire worldview and the conclusions which flow from it. The wonder, at times is that more polarization fails to exist, given the chasms in viewpoints. A hankering after the former uniformity in outlook and the accompanying security may under-standably have crept into one's (onsciousness in this charged atmosphere. Condemnation of unexamined new approaches as untenable or foofish may prove the only sustainable defense for the threatened and vulnerable person trained in another way in a different era. Conversely, religious who operate within the historically conscious Worldview may retreat into an unsubstan-tiated dogmatism in reaction to this rejection which they sense in their fellow religious. The wounded feelings they experience may lead some into frustrated withdrawal, whose sequel will be loneliness and depression. In overreaction, others may lash out negatively against traditional values and customs, denying in the process the continuity with the past which will insure the future. This unhealthy and mutally destructive atmosphere will breed a polarization far removed from the ideals of Christian community. Unless some steps toward amelioration of this situation can be under-taken, the current crisis in some religious communities seems likely to con-tinue and to deepen. An already bad situation may worsen. In particular, 252 / Review ]or Religious, l/olume 32, 1973/2 the strong, balanced, and idealistic candidates needed so badly in religious communities will not be attracted to a divided and polarized group who seem unable to live the unity their very notion implies. A deep and urgent crisis exists; yet the tone of given communities sometimes manifests business as usual in an atmosphere of unrealistic hope for a better future. Doomsday prophets are usually proved wrong and their message hardly accords with Christian hope. Yet Christian hope has always avoided the twin shoals of despair and presumption. Both undue pessimism and unwarranted optimism remain excluded. Coping With Pluralism and Polarization What suggestions can be offered for coping with pluralism and its fre-quent companion, polarization? At the outset, it would be profitable to recall that any such discussion should proceed within the prayerful recol-lection of Jesus' prayer "that they may all be one, even as you Father in me and I in you; that they may all be one in us." Religious communities' unity must fit within this larger context of the unity among men and the unity of the Church, as prayed for by Jesus. Constant prayer for faithfulness to the gospel ideal of loving union with all one's neighbors should mark every Christian. I-Iow much more so in those situations when religious experience disunity, discord, and polarization? Prayer for one another, reflection on those features which the religious share in common, and a positive desire for loving union should receive more emphasis than often seems the case. Besides these most fundamental suggestions, several more come to mind. First, it would seem helpful as a starting point to realize and expect that pluralism will be unavoidable in the years ahead in most areas of Church life and theology. Pluralism will not simply go away overnight, if at all. The fundamental differences in outlooks among Catholic moral theologians, for example, in such basic matters as the existence of absolute norms, the epistemology of theological ethics, the use of Sacred Scripture, the binding force of the Church's teachings on moral matters, the importance of esti-mating consequences and employing empirical data, all point to long-reaching splintering into various camps of moral theologians for the fore-seeable future. Logically, authors who disagree on such basic items must disagree also in matters pertaining to medical ethics, sexual ethics, social issues, or any other concrete moral question. Similarly, the different worldviews employed by religious who live under the same roof or in the same province dictate perforce some degree of continued divergence on matters pertaining to their religious lives. Keeping these facts in mind, expectation of pluralism in a realistic way may cut away some of the unnecessary emotional defenses which hinder rational analysis of the new premises and conclusions. In this unhampered atmosphere, de-fensiveness will diminish, hopefully, and reasoned consideration and genuine dialogue, in the sense of a candid exchange of views, may follow the more Pluralism and Polarization / 25
The rapid growth in Islamic Finance Industry such as in Islamic banking, takaful, waqf, and sukuk gain more awareness and interest from around the world including Islamic countries and non-Islamic countries such as Singapore, South Korea, Japan, Europe, Australia, Brazil, and America Latin. Based on Islamic Financial Services Board (IFSB) and Ernst & Young Report in 2016 it stated that Islamic finance industry had reached a gross value USD 1.88 trillion in 2015. In addition, it also maintained double-digit growth rates despite sustained low energy prices, geopolitical conflicts and economic uncertainty. Meanwhile, Global Islamic Finance Report 2017 reported that in December 2016 global Islamic financial service industry stood at USD2.293 trillion. According to El-Qorchi (2005) that highlights there have three motivation of shifting to Islamic finance because strong demand for Shariah compliant products and services, demand from Gulf region or oil rich nation for Shariah compliant investment and lastly non-muslim investor also attracted with competitiveness of Shariah compliant products and services. Furthermore, there have numerous capital structure modern theories that have been developed since 1958 begin with MM Irrelevance Theory and continue with Trade-off Theory, Pecking Order Theory, Agency Theory and Market Timing Theory. As an example, trade-off theory is encouraging the firms to use debt financing rather than retained earnings and equity financing in order to utilise the tax deduction benefit from interest on debt financing. Each of this theory has different vi approach to manage and oversee the capital structure decision. Unfortunately, not all these theories explain adequately the effect of capital structure on corporate performance for Shariah compliant companies. Therefore, the question that can been arisen which is the most appropriate and suitable capital structure theory under Shariah principles? Firstly, this study intends to determine until to what extent the capital structure of Shariah compliant companies (SCC) can be different from Non Shariah compliant companies (NSCC). Many studies have been done on capital structure. However, most of the studies focused on the capital structure determinants, impacts of capital structure on financial performance, how the tax affected capital structure and short-term debt during financial crisis period. All of these past studies using financial institution, small and medium enterprises (SME) and public listed companies (PLC) as samples in their study. Nevertheless, there are few studies relate to the impact of capital structures on corporate performance during financial crisis. Shariah compliant companies presume to be more resilent during financial crisis based on their characteristic. However, there is no study on how SCC manages their capital structure during financial crisis period. Therefore, in order to fill the research gap, it is necessary to carry out a study on impact of capital structure on corporate performance during financial crisis by using SCC as sample. The main objective of this study is to investigate the impact of capital structure on corporate performance of SCC predominantly during financial crisis period. To the best of our knowledge, there is no such empirical study that has been conducted until nowadays. As information, Shariah compliant companies (SCC) are deemed to comply with Shariah principles, rules, values and restrictions when dealing with the financing activities. In order to ensure SCC comply with all the Shariah principles and free from prohibited elements such as interest (riba), gambling (masyar) and speculation (gharar), Shariah advisory board (SAC) are established to monitor the SCC's activities. Besides, before being listed in Islamic index all the firms must be complying with the qualitative and quantitative criteria for screening process that are set by the index provider. This study will take the sample from FTSE Shariah global index series, therefore under this index provider, Yasaar Ltd is an impartial consultancy and leading authority on handling Shariah matters including the screening process. Under quantitative screening, there have several financial vii benchmarks that the firms need to follow in order to acquire the shariah-compliant status. According to Haron and Ibrahim (2012) due to the benchmark that are set by index provider, it leads SCC to raise capital via equity financing. Empirically, firms that rely more on equity-based financing tend to be more resilient during financial crisis period. Gitman and Zutter (2012, p.508) defines the capital structure as "the mix of debt and equity maintained by the firm". Thus, the main concern is how the firm decision to optimize the capital structures by combining debt and equity financing. There have a number of previous studies that explored how the firms or financial managers determine the optimum capital structure to ensure they can maximize the firm's corporate performance. Based on the empirical results it shows that there has numerous factor that influenced the firms and financial manager in order to make the capital structure financing decision such as profitability, growth, size, tangibility, tax, leverage, liquidity, and industry. Meanwhile, this study will focus on some financial benchmarks in order to achieve the objective of this study. Such example this study uses corporate performance, debt to equity ratio, debt financing ratio (short-term debt ratio and long-term debt ratio), tangibility ratio, cash plus account receivables ratio, growth ratio, and size ratio. Corporate Performance In this study, two proxies will be used to measure the corporate performance of the firm. Firstly, this study decides to use profit before tax and zakat over total asset or it called pre-tax return on assets (Pre-tax ROA) to measure the firm's corporate performance. This ratio is to measures how the efficiency of the firm can earn on its investment in its assets. In other words, how the firm used its assets effectively to generate the income or profit from that assets. Like the previous study that have been used earnings before interest and tax (EBIT) over total assets and profit before interest and tax to measure the firm's corporate performance. Initially, this study intends to show the different significant impact to the firm's corporate performance if the firm paying taxes or zakat or both. It is due to the SCC has special taxes that are called 'zakat' under Shariah term and it viii has fixed-rate 2.5 percent from the net profit or income. However, until nowadays zakat still voluntary basis in most of the Muslim countries. Based on the sample in this study, Malaysia is the only country that implemented zakat system however it based on voluntary basis and none of the samples shows the zakat amount in their financial statement. The second proxy in this study for dependent variables that represents for firm's corporate performance is return on equity ratio (ROE) ratio. Based on the previous studies, there has been used net income after tax over total equity to measure the ROE in their studies. Therefore, this study also decides to use the same measurement as the prior studies. This ratio will measure by the firm's profitability using net profit after interest, tax and preference dividend divided by ordinary share capital plus reserves at the end of the financial year. ROE ratio is one of the main profitability ratios that concentrate on the firm's ordinary shareholders and compares the profit that has been earned and its capital. Some of the investors are using this ratio to measure the firm's ordinary shares desirability. Debt to Equity Ratio Some of the Islamic index provider set the financial benchmark that the total debt must be less than 33 percent from the total equity. Such an example, Dow Jones Global Islamic Index (DJIM) set the debt to equity ratio as one of their financial benchmarks. However, FTSE Global Equity Shariah Index does not include this benchmark under their screening process. Therefore, this study intends to use this benchmark to see whether there have significant differences between SCC and NSCC. This study decides to use total debt divided by total equity as a measurement of debt to equity ratio. It supported by other studies such as Margaritis and Psillaki (2010) and Memon et al., (2012) that also used the same measurement in their studies. This ratio is to evaluate a firm's financial leverage by measuring the degree of firm financing based on debt to equity or wholly-owned funds. In case if the company downturn, it measures the ability of the shareholder equity to cover all the debts in the firms. ix Debt Financing Under FTSE Global Equity Shariah Index quantitative screening, the debt ratio must be less than 33 percent of total assets. Due to this study's objective to determine the impact of capital structure on corporate performance during financial crisis, therefore the debt ratio divided into two categories, which are short-term debt financing and long-term debt financing. Based on Fosberg (2013) conducted a study on public listed companies in US and found that short-term debt financing increased from 1.3 percent in 2006 to 2.2 percent in 2008 which represent $34 million increase due to the financial crisis that are happened in 2008. It supported by numerous studies (see Brealey et al., 2008; Almeida et al., 2011; Federal Reserve, 2012; Fosberg, 2013) that during the stock market collapsed in 2008, the borrowing power of firms becomes fewer than before due to the credit supply was limited. Therefore, firms intend using more STD financing during financial difficulties. Hassan and Samour (2016) added that it highlighted that capital structure financing decision were impact during financial crisis period. Cheema et.al (2017) and Shahar and Shahar (2015) found that SCC using long-term debt (LTD) financing more than short-term debt (STD) financing. It might be due to the restriction for limited interest and risk sharing under Shariah guidelines. However, for NSCC, they are using more STD in order to meet the working capital requirement. On the other hand study by Sahudin, Ismail, Sulaiman, Rahman, and Jaafar (2019) found that SCC using more STD financing compared to LTD financing. STD financing is more widely used compared to LTD financing by the SCC in Malaysia because the majority of Islamic debt instruments issued short-term debt rather than long-term debt (Aggarwal & Yousef, 2000). This also supports agency theory whereby it justifies the function of STD financing as a mechanism to control the debt and mitigate the agency problem. Therefore, this study intends to examine the significant differences in financing patterns particularly before, during and after the financial crisis period. x Tangibility Ratio Tangibility assets become more popular as a measurement for bank viability after the financial crisis occurred. Bank viability means the bank's judgment on the ability of the firms to meet ongoing financial obligation with the additional investment and financing such as from the banks and investors. One of the reasons because tangible assets are liquid compared to intangible assets. It supported by Charalambakis and Garrett (2012) that stated tangible assets are the main point in explaining the capital structure within the firms. As a result, tangible assets have a higher value in the market and even if firms have financial problem or going to bankrupt, the firms can easily and quickly in selling their tangible assets. Scott (1977) and Titman and Wessels (1988) stated that less profitable firm intends to have a high value of tangible assets and the firms will use tangible assets as collateral in order to get more debt financing. Therefore, any firm that has higher tangibility ratio will issue more debt financing. This is in line with trade-off theory that highlight, firms need to enjoy the advantage of tax with issuing more debt financing while having more profit to the firm. Ahmad and Azhar (2015) added that this would give assistance to the firms that have default in their debt to use the tangible asset to avoid being bankrupcy. Cash plus Account Receivables Ratio Most of the previous studies used the liquidity ratio in order to measure the firm's ability to meet the short-term financial obligation. Even Thabet and Hanefah (2014) found in their study that liquidity were one of the factors that have the impact on the corporate performance to the firm. This ratio is important to ensure the firms have cut limit for total cash and account receivables in one time in order to avoid excess or lack of cash in the firms. In addition, it also to reduce the agency cost. To the best of our knowledge, this is the first study that examines the impact on total cash plus account receivables over total assets (CashAR) to the corporate performance. This variable is chosen as an independent variable for this study due to the characteristics for SCC must be following and passed the benchmark in order to be listed in the Islamic index. Farooq xi and Alahkam (2016) also mentioned that the Islamic financial system was more stable and resilient because of the economy based on Islamic guidelines. Growth Ratio This study decides to use the different amount of this year sales minus last year sales divided by this year sales as a proxy of firm growth ratio. It is supported by prior studies (Salim and Yadav, 2012; Bundala, 2012; Proença et al., 2014; Cheema et al., 2017) that are also used the same measurement for growth ratio in their studies. According to Titman & Wessel (1988) and Rajan & Zingales (1995) shows that the firms with high future growth turns out to be used less leverage in the financing decision. It is because the firm will shift from debt financing to equity financing. In addition, growth ratio are influence by the profitability of the firm. This study will be focused on selected countries from Southeast Asia, which are Malaysia, Indonesia, Vietnam, Singapore, and Thailand. The selection sample is justified that Southeast Asia is the most progressive region in the Islamic capital market in the Asia region (Yakcop, 2002). Initially, this study has identified 595 samples of Public Listed Companies under industrial sector in Southeast Asia. Nevertheless, 114 samples have been excluded due to the several reasons such as incomplete financial statement and change of accounting year during the period of study. Thus, the final samples selected are 197 PLC from Shariah-compliant companies and 284 PLC from Non-shariah compliant companies. All the sample are collecting through DataStream that is published by Thomson Reuter Eikon. This study gathers all the financial statements such as balance sheet, income statement and cash flow statement in order to achieve the objective of this study. The unique for this study, the data is analyzed using Python Pandas programming software. This is the first study using Python Pandas to analyze the impact of capital structure on corporate performance during the financial crisis. As information, Pandas are the software library written for the Python programming language for data manipulation and analysis. Undoubtedly, Pandas offer data structures and operations for manipulating numerical tables and time series. Therefore, the first step to do to analyze the data by creating the coding system that is xii required for this study. In order to accomplish the objective in this study, the regression equations have been developed as follows: 1. Y (Pretax ROA) = β0 + β1D/Eit + β2Tangit + β3STDit + β4LTDit + β5CASH/ARit + β6GRWit + β7SIZEit + β8(X) + ε 2. Y (ROE) = β0 + β1D/Eit + β2Tangit + β3STDit + β4LTDit + β5CASH/ARit + β6GRWit + β7SIZEit + β8(X) + ε Whereby: Pre-tax ROA = Return on asset before tax ratio ROE = Return on equity ratio D/E = Debt to equity ratio STD = Short term debt ratio LTD = Long term debt ratio TANG = Tangibility ratio CASHAR = Cash plus account receivable ratio GRW = Growth ratio SIZE = Size ratio ε = Error term X = dummy variable 0: Non-Shariah Compliant Companies (NSCC) 1: Shariah Compliant Companies (SCC) The analysis begins with the multicollinearity test and the purpose of this test to ensure there is no problem of multicollinearity among the variables. Based on the result, none of the tolerances value is less than 0.2 and none of the Variance Inflation Factor (VIF) is greater than 10. As a result, it found that there is no multicollinearity problem in this study. The analyses continue with the descriptive statistic analysis that found the corporate performance of Shariah compliant companies (SCC) is higher than Non Shariah compliant companies (NSCC) during the financial crisis and after the financial crisis for both proxies, pre-tax return on assets (Pre-tax ROA) and return on equity (ROE). However, for independent variables those are debt to equity ratio, short-term debt ratio, long-term debt ratio, cash plus account receivables ratio shows that SCC has lower ratio through out the periods which are before, during and after financial crisis. These results have been expected due to the benchmarks that are set xiii by index providers during the quantitative (financial) screening process. Furthermore, SCC requirements to follow all the time the benchmark in order to be listed in Shariah index and maintain as shariah status. Due to this reason, we can observe that SCC always has a lower leverage ratio compare to NSCC. In addition, firms that have lower ratio are better because high leverage ratio or debt financing ratio contributes to the high risk of solvency and instability of the firms. Tangibility ratio for SCC is higher than NSCC before, during and after the financial crisis period. This ratio becomes more important after the financial crisis period. It is because it uses as a measurement for bank viability and indicate the firm's collateral level. Therefore, SCC with a higher tangibility ratio can issue more debt financing. It becomes more secure in case of bankruptcy; the firm can sales its tangible assets in order to pay their debt financing. Cash plus account receivables ratio is lower than NSCC before, during and after financial crisis period. Even though high liquidity can attract more lender and manager to make investment easily however there have high risk of bankruptcy and high risk of non-payment. Besides, the lower liquidity can contribute to the lower agency problem. Growth ratio shows before and during financial crisis period NSCC have higher ratio than SCC. However, after financial crisis period, SCC demonstrates higher ratio than NSCC. It indicates that SCC's growth better after financial crisis period. In addition, it proved that SCC gets more attention from the investor after financial crisis period. The second major finding are from multiple regression analysis based on pre tax ROA as the first proxy for corporate performance. It found that all the independent variables are significant except for debt to equity ratio before the financial crisis period. However, during the financial crisis period, only long-term debt ratios not significant and after the financial crisis period both short-term debt and long-term debt do not significant. Shariah-compliant companies only have a significant level after the financial crisis period. The impact of capital structure on corporate performance, pre-tax ROA for SCC is 1.6617 times higher than NSCC after financial crisis period. xiv Second proxy of corporate performance is a return on equity (ROE). All the independent variables are significant with the ROE except for debt to equity ratio and cash plus account receivable ratio before the financial crisis period, while long-term debt ratio during and after the financial crisis period. SCC significantly with ROE before the financial crisis and it shows that the impact of capital structure on SCC for corporate performance, ROE is -2.9264 times lower than NSCC. However, after the financial crisis period, the impact of capital structure on corporate performance, ROE for SCC is 4.3171 times higher than NSCC. The findings in this study posed an important implications for academicians, researchers, regulatory bodies as well as the management of the firms particularly Shariah compliant and non-shariah compliant companies, as they pave for further exploration. It offers knowledge to the regulatory bodies and related government agencies to come out with the guidelines and framework regarding shariah compliant status. Therefore, in order to set up with the new regulations and guidelines, these agencies need to understand the needed of investors and the characteristics of SCC itself in order to develop new guidelines to attract more investors. Such cases in Malaysia, the government give incentive to the new shariah compliant companies with five years tax exemption. Other, in UK and France they have amended their tax structure to compatible with Islamic finance guidelines. There have several limitations encountered in conducting this study. This study did not take into consideration the effects of the Asian financial crisis because there have different impact between the countries due to the different level of development in the financial market, the policies of the government and the sensitivity of that country to external incidents. In addition, due to this was the cross country study, therefore the differences are expected due to difference law system and regulation, bureaucracy, dissimilar costs and benefits that the companies face in each country. These limitations have paved the way to future research. Therefore, in the future it hopes to take consideration for these limitations in order to fill the research gap in this area ; slami finans özellikle son zamanlarda, İslami bankacılık, tekaful, vakıf ve sukuk gibi bir çok alanda hızlı bir büyüme göstermektedir. İslami finans İslam ülkelerinin yanında, Singapur, Güney Kore, Japonya, Avrupa, Avustralya, Brezilya ve Amerika Latin gibi İslami olmayan ülkeleri de kapsayacak şekilde dünyanın dört bir yanından, gittikçe daha fazla farkındalık ve ilgi kazanmaktadır. İslami Finansal Hizmetler Kurulu (IFHK) ve 2016'da Ernst & Young raporuna dayanarak, İslami finans sektörünün 2015 yılına kadar brüt 1,88 trilyon ABD doları değerine ulaştığını belirttimektedir. Üstelik bu sektörün büyüme hızı, düşük enerji fiyatlarının sürmesine, jeopolitik çatışmalara ve ekonomik belirsizliğe rağmen, çift haneli büyüme oranlarını korumuştur. Örneğin, 2017 yılına ait Küresel İslami Finans Raporunda, Aralık 2016'da küresel İslami finansal hizmet sektörünün 2,293 trilyon ABD doları bulduğu raporlanmıştır. El-Qorchi'ye (2005) göre İslami finansa geçiş konusunda üç motivasyon bulunduğu vurgulamaktadır: Şeriat uyumlu ürün ve hizmetlere yönelik güçlü talep, Körfez bölgesindeki petrol zengini uluslardan gelen Şeriat uyumlu yatırım için talep ve ve son olarak Şeriat uyumlu ürün ve hizmetlerin rekabet gücünden etkilenen gayrimüslim yatırımcıların ilgisi. Ayrıca, 1958'den bu yana geliştirilen ve MM Teorisi ile başlayan ve Takas Teorisi (Trade-Off Theory), Finansman Hiyerarşisi Kuramı (Pecking Order Theory), Vekâlet Maliyeti Teorisi (Agency Theory) ve Piyasa Zamanlama Teorisi (Market xvi Timing Theory) ile devam eden çok sayıda sermaye yapısı teorisi vardır. Örnek olarak Takas teorisi, firmaları borcun faizinden faydalanmak için birikmiş karlar ve özkaynak finansmanı yerine, borç finansmanı kullanmaya teşvik etmektedir. Bu teorilerinin her birinin sermaye yapısı kararını yönetmek ve denetlemek için farklı bir yaklaşımı vardır. Bu çalışmanın temel amacı, finansal kriz döneminde sermaye yapısının kurumsal performans üzerindeki etkisini incelemektir. İlk olarak, bu çalışma Şeriat uyumlu şirketlerin (ŞUŞ) sermaye yapısının Şeriat uyumlu olmayan şirketlerden (ŞUOŞ) ne kadar farklı olabileceğini belirlemeyi amaçlamaktadır. Sermaye yapısı üzerinde çok sayıda çalışma yapılmıştır. Bununla birlikte, çalışmaların çoğu sermaye yapısı belirleyicileri, sermaye yapısının finansal performans üzerindeki etkileri, verginin finansal yapıdaki sermaye yapısını ve kısa vadeli borçları nasıl etkilediğine odaklanmıştır. Bu geçmiş çalışmalarda örneklem olarak, finansal kurumlar, küçük ve orta ölçekli işletmeler ve halka açık şirketler kullanmaktadır. Ancak Şeriate Uygun Şirketlerin sermaye yapıları ve sermaye yapısının finansal performans üzerindeki etkisi konusunda az sayıda çalışma vardır. Özellikle ŞUŞ'lerin sermaye yapıları göz önünde bulundurulduğunda, bu şirketlerin kriz döneminde daha avantajlı olmaları beklenmektedir. Ancak ŞUŞ'lerin finansal yapılarının, fiannsal kriz döneminde onlar için nasıl bir avantaj sağladığı bugüne kadar bir araştırma konusu yapılmamıştır. Bu nedenle, araştırma boşluğunu doldurmak için, ŞUŞ'lerin örnek olarak kullanıldığı, finansal kriz sırasında sermaye yapısının finansal performans üzerindekini araştıran bir çalışma yapılması gerektirmektedir. Bildiğimiz kadarıyla, bugüne kadar yapılmış böyle bir ampirik çalışma yoktur. Şeriat uyumlu şirketler (ŞUŞ), finansman faaliyetlerini yürütürken Şeriat ilkelerine, kurallarına, değerlerine ve kısıtlamalarına uymaktadır. ŞUŞ'in tüm Şeriat ilkelerine uyması, ayrıca riba, masyar ve gharar gibi yasaklanmış unsurlardan arındırılmasını sağlamak için, Şeriat Danışma Kurulu (ŞDK) ŞUŞ'lerin faaliyetlerini izlemek üzere kurulur. Bunlara ek olarak İslami endekste listelenmeden önce, tüm şirketler, endeks sağlayıcısı tarafından belirlenen tarama süreci için nitel ve nicel kriterlere uymalıdır. Bu çalışmada kullanılan örneklem, FTSE şeriat küresel sermaye endeksinde yer alan şirketlerden oluşturulmuştur. Bu endeks sağlayıcısı altında, xvii tarama süreci de dahil olmak üzere Şeriat konularının ele alınmasında Yasaar Ltd. tarafsız bir danışmanlık ve lider otorite olarak kabul edilmektedir. Şirketlerin Şeriat uyumlu statüsünü elde edebilmesi için, nicel tarama başlığı altında, uyması gereken bir dizi finansal kriterler de vardır. Haron ve Ibrahim'e (2012) göre, endeks sağlayıcı tarafından belirlenen kriter nedeniyle, ŞUŞ'ler sermaye arttrırımı yoluyla finansmanı tercih etmek durumunda kalmaktadır. Ampirik olarak, özkaynağa dayalı finansmana daha fazla ağırlık veren firmalar, finansal krizler sırasında daha dirençli olma eğilimindedir. Gitman ve Zutter (2012, s.508) sermaye yapısını "firma tarafından tutulan borç ve özkaynak karışımı" olarak tanımlar. Bu tanım doğrultusunda asıl amaç, borç ve özkaynak finansmanını çeşitli bileşimleri ile sermaye yapılarının nasıl optimum hale getirileceğidir. Ayrıca, sermaye yapıları aslında borç sahiplerini borç sahipleri olarak, özkaynakları ise hissedarlar veya hissedarlar olarak temsil etmektedir. O halde ortaya çıkan soru, şeriat ilkeleri uyarınca en uygun sermaye yapısı teorisi hangisidir? Firmaların veya finansal yöneticilerin, şirket performansını en üst düzeye çıkarabilmelerini sağlamak için optimum sermaye yapısını nasıl belirlediğine dair daha önce yapılmış çok sayıda çalışma vardır. Ampirik sonuçlar, kârlılık, büyüme, büyüklük, maddi varlık, vergi, kaldıraç, likidite ve sanayi gibi finansman kararını vermek için firmayı ve finans yöneticisini etkileyen çok sayıda faktöre sahip olduğunu göstermektedir. Bu arada, bu çalışmada, çalışmanın amacına ulaşmak için bazı finansal ölçütlere odaklanılacaktır. Bu örnekte, bu çalışmada kurumsal performans, borç / özsermaye oranı, borç finansman oranı, maddi duranlık oranı, nakit artı hesap alacakları oranı, büyüme oranı ve büyüklük oranı kullanılmıştır. Kurumsal Performans Bu çalışmada, kurumsal performansı ölçmek için iki bağımlı değişken kullanılmıştır. Şirketin kurumsal performansını ölçmek için il olarak vergi ve/veya zekat öncesi karın toplam varlığa olan oranıyla elde edilen ve varlıkların vergi öncesi getirisi (Vergi Öncesi Varlık Getirisi- Pre-tax Return of Asset) denilmektedir. Bu oran, işletmenin varlıklarına yaptığı yatırımdan elde ettiği getiri ile işletmenin xviii etkinliğini ölçer. Diğer bir deyişle, işletmenin varlıklarını gelir veya kârı elde etmek içine ne kadar etkin kullandığını gösterir. Önceki çalışmalarda olduğu gibi şirketin finansal performansını ölçmek için toplam aktifler üzerinden faiz ve vergi öncesi kazanç (faiz ve vergi öncesi kâr) kullanılmıştır. Öncellikle, bu çalışma, şirketin vergi veya zekat veya her ikisini birden ödemesi durumunda, işletmenin kurumsal performansının bundan önemli derecede etkilendiğini göstermeyi amaçlamaktadır. ŞUŞ'lerin Şeriat yönergelerine göre 'zekat' olarak adlandırılan, kâr veya gelirden yüzde 2,5 sabit oranda ödenen özel vergilere tabidir. Ancak, günümüze kadar zekat Müslüman ülkelerin çoğunda hala gönüllü olarak kullanılmaktadır. Bu çalışmadaki örneklem ile ilgili olarak, zekat sistemini uygulayan tek ülke Malezya'dır. Ancak burada da gönüllülük temeline dayanmaktadır ve örneklemdeki şirketlerin hiçbiri mali tablolarında zekat miktarını göstermemektedir. Bu çalışmada, firmanın kurumsal performansını temsil eden ikinci bağımlı değişken, özkaynak karlılığı (ÖKK) oranıdır (Return Of Equity-ROE). Önceki çalışmalara dayanarak, çalışmalarında ÖKK'nı ölçmek için vergi sonrası toplam özsermaye üzerinden net kar kullanılmıştır. Bu nedenle, bu çalışma daha önceki çalışmalarla aynı ölçümü kullanmaya karar verilmiştir. Bu oran, faiz, vergi ve imtiyazlı temettü sonrası net karın kullanılması suretiyle şirketin kârlılığına göre hesaplanır. ÖKK oranı, firmanın olağan hissedarlarına odaklanan ve kazanılan kar ile sermayelerini karşılaştıran ana karlılık oranlarından biridir. Bazı yatırımcılar bu oranı firmanın adi hisse senedinin cazibesini ölçmek için kullanmaktadır. Borç / Varl k Ora Bazı İslami Finans Endeksleri, örneğin Dow Jones Küresel İslam Endeksi (DJIM) tarafından yapılan nicel gözetimde, finansal kriterlerden biri özkaynak oranıdır. Toplam borç, toplam özkaynağa göre % 33'ten az olmalıdır. Bununla birlikte, bu çalışmanda kullanılan 'FTSE Global Equity Shariah Index' serisi bu oranın gözetim sürecine dahil etmemektedir. Bundan dolayı, bu çalışmada, ŞUŞ'ler ve ŞUOŞ'ler arasında önemli farklılıklar olup olmadığını genel olarak görmek için, bu oranın kullanılmasına karar verilmiştir. Toplam borcun toplam özkaynağa bölünmesiyle bulunan özkaynak oranını, bağımsız bir değişken olarak çalışmada yer xix almıştır. Margaritis ve Psillaki (2010) ve Memon ve diğerleri, (2012) gibi diğer bazı çalışmalar özkaynak oranı için, aynı ölçümü kullanmışlardır. Bu oran, borç / özkaynak veya tamamen sahip olunan fonlara dayalı şirket finansman derecesini ölçerek, bir şirketin finansal kaldıracını değerlendirmektir. Bu gösterge, şirketin bir finansal sorun yaşaması halinde, özkaynakların şirketteki tüm borçları karşılama kabiliyetini ölçer. Borç Fi a s a FTSE Global Equity Shariah Index nicel gözetimi kapsamında borç oranı, toplam varlıkların yüzde 33'ünden az olmalıdır. Bu çalışmanın amacı nedeniyle, finansal kriz sırasında etkisini daha ayrıntılı görmek amacıyla, borç oranı ikiye ayrılmıştır. Nitekim Fosberg (2013), ABD'de borsada işlem gören şirketler üzerinde bir çalışma yürütmüş ve kısa vadeli borç finansmanının 2006'da yüzde 1,3'ten 2008'de yüzde 2,2'ye yükseldiğini ve bunun 2008'de meydana gelen finansal kriz nedeniyle 34 milyon dolarlık bir artışı temsil ettiğini bulmuştur. 2008 yılında borsada çöktüğünde, kredi arzının sınırlı olmasından dolayı, şirketlerin borçlanma gücünün daha önce olduğundan daha zayıf hale geldiği sayısız çalışma ile desteklenmiştir (bakınız Brealey ve ark., 2008; Almeida ve ark., 2011; Federal Rezerv, 2012; Fosberg, 2013). Bu nedenle, firmalar finansal zorluklar sırasında KVYK finansmanını daha çok kullandılar. Hassan ve Samour (2016) sermaye yapısı finansman kararının finansal kriz sırasında etkili olduğunu açıkça belirtmişlerdir. Cheema ve arkadaşları (2017) ve Shahar ve Shahar (2015), ŞUŞ'lerin uzun vadeli borç finansmanını kısa vadeli borç finansmanından daha fazla kullandığını bulmuşlardır. Bunun nedeni, Şeriat yönergelerine göre sınırlı ilgi ve risk paylaşımının kısıtlanması olabilir. Bununla birlikte, ŞUOŞ'ler, işletme sermayesi ihtiyacını karşılamak için daha fazla KVYK kullanmaktadır. Ancak Sahudin, Ismail, Sulaiman, Rahman ve Jaafar (2019) tarafından yapılan çalışma, ŞUŞ'lerin UVYK'a kıyasla daha fazla KVYK kullandığını buldurmuştur. Malezya'daki ŞUŞ'ler uzun vadeli borcuna kıyasla daha yaygın olarak kısa vadeli borç kullanılmaktadır, çünkü İslami borçlanma araçlarının çoğu uzun xx vadeli borçtan ziyade kısa vadelidir (Aggarwal ve Yousef, 2000). Bu aynı zamanda, kısa vadeli borç fonksiyonunun, borcu kontrol etme ve acente sorununu azaltma mekanizması olarak haklı kıldığı kurum teorisini de destekler. Bu nedenle, bu çalışma özellikle finansal kriz öncesinde, sırasında ve sonrasında finansman modellerindeki önemli farklılıkları incelemeyi de amaçlamaktadır. Maddi Varl k Ora Maddi duran varlıklar, bankaların finansal krizden sonra işletmelerin yaşayabilirliğini ölçtükleri için daha popüler hale gelmektedir. Bunun nedeni maddi duran varlıkların maddi olmayan duran varlıklara göre daha fazla likidit olmasıdır. Charalambakis ve Garrett (2012) maddi duran varlıkların firma içindeki sermaye yapısını açıklamada ana nokta olduğunu belirtmiştir. Sonuç olarak, maddi duran varlıklar piyasada daha yüksek değere sahiptir ve firmalar finansal problemleri olsa veya iflas ederse bile, firmalar maddi varlıklarını kolayca ve hızlı bir şekilde satabilmektedirler. Scott (1977) ve Titman ve Wessels (1988), daha az kârlı firmanın maddi duran varlıkların yüksek değerine sahip olma eğiliminde olduğunu ve firmaların maddi duran varlıklarını daha fazla borç almak veya daha fazla borç almak için teminat olarak kullandıklarını belirtmiştir. Bu nedenle, daha yüksek somutluğu olan herhangi bir firma daha fazla borç alacaktır. Bu işletmenin daha fazla borç finansmanı sağlayarak verginin avantajından faydalanması gerektiğini vurgulayan değiş tokuş teorisine uygun şekilde, işletmenin daha fazla kâr elde etmesini sağlar. Ahmad ve Azhar (2015) bunun borcunda temerrüde düşüren işletmelere, iflastan kaçınmak için bu maddi varlığı kullanmaları için bir seçenek oluturduğunu eklediler. Naki e Alacak Topla Ora Önceki çalışmaların çoğu, işletmelerin kısa vadeli finansal yükümlülüğünü yerine getirme kabiliyetini ölçmek için likidite oranını kullanmıştır. Thabet ve Hanefah (2014) da çalışmalarında likiditenin işletmelerin kurumsal performansı üzerinde etkili olan faktörlerden biri olduğunu bulmuşlardır. xxi Bu oran, işletmenin aşırı nakit veya nakit eksikliğinden kaçınmak için, nakit ve alacakları için bir limit belirlemek açısından önemlidir. Buna ek olarak, temsil maliyetini de düşürmektedir. Bildiğimiz kadarıyla bu çalışmamızda, nakit ve alacaklar toplamı, toplam varlıklar içindeki yerinin (CashAR) kurumsal performansa etkisini inceleyen ilk çalışmadır. Bu değişken, ŞUŞ için İslami endekste listelenmesi için yerine getirmesi gereken bir ölçüt olduğu için, bu çalışmada bağımsız bir değişken olarak seçilmiştir. Farooq ve Alahkam (2016), İslami esaslara dayanan ekonomi nedeniyle, İslami finansal sistemin daha istikrarlı ve dayanıklı olduğunu çalışmalarıyla desteklemişlerdir. Büyüme Ora Bu çalışmada, cari yılki satış eksi geçmiş yılki satışların cari yılki satışlara bölünmesi, işletme büyüme oranının bir göstergesi olarak kullanılmıştır. Çalışmalarında büyüme oranı için aynı ölçümü kullanan önceki çalışmalar (Salim ve Yadav, 2012; Bundala, 2012; Proença ve diğerleri, 2014; Cheema ve diğerleri, 2017) bulunmaktadır. Titman & Wessel'e (1988) ve Rajan & Zingales'e (1995) göre, gelecekteki büyümesi yüksek olan firmaların finansman kararlarında daha az kaldıraç kullanıldığını göstermektedir. Çünkü firma borç finansman yerine özkaynakla finansmanı tercih edecektir. Ayrıca, büyüme firmanın karlılığını etkileyecektir. Bu çalışma Güneydoğu Asya'dan Malezya, Endonezya, Vietnam, Singapur ve Tayland gibi seçilmiş ülkelere odaklanacaktır. Örneklem seçimi, Güneydoğu Asya bölgesindeki İslami sermaye piyasasının en ilerici bölgelerini içermektedir (Yakcop, 2002). Bu çalışmanın başlangıcında, Güneydoğu Asya'da sanayi sektörü altındaki Halka Açık Şirketlerden 595 örnek tespit edilmiştir. Bununla birlikte, tamamlanmamış finansal tablolar ve hesap dönemi boyunca muhasebe yılı değişikliği gibi çeşitli nedenlerden dolayı 114 şirket, örneklemden çıkarılmıştır. Bu nedenle, seçilen son örnekler ŞUŞ'lerden 197 ve ŞUOŞ'lerden 284 halka açık şirketten meydana gelmektedir. Tüm örnekler, Thomson Reuter Eikon tarafından yayınlanan DataStream aracılığıyla toplanmıştır. Bu çalışma, amacına ulaşmak için bilanço, gelir tablosu ve nakit akım tablosu gibi tüm finansal tabloları bir araya getirmektedir. Bu çalışmada veriler, Python Pandas yazılımı kullanılarak analiz edilmiştir. Bu, sermaye yapısının xxii finansal kriz sırasında kurumsal performans üzerindeki etkisini analiz etmek için Python Pandas'ın kullanıldığı ilk çalışmadır. Pandas veri işleme ve analiz için Python programlama dili için yazılan yazılım kütüphanesidir. Pandas sayısal tabloları ve zaman serilerini değiştirmek için veri yapıları ve işlemler sunar. Bu nedenle, bu çalışma için gerekli olan kodlama sistemini oluşturmak, verileri analiz etmek için ilk adım olarak gerçekleştirilmiştir. Bu çalışmada amacına ulaşmak için regresyon denklemleri aşağıdaki gibi geliştirilmiştir: 1. Y (Pretax ROA) = β0 + β1D/Eit + β2Tangit + β3STDit + β4LTDit + β5CASH/ARit + β6GRWit + β7BOYUTit + β8(X) + ε 2. Y (ROE) = β0 + β1D/Eit + β2Tangit + β3STDit + β4LTDit + β5CASH/ARit + β6GRWit + β7BOYUTit + β8(X) + ε Vasıtasıyla: Pre-tax ROA = Vergi oranından önce varlığın getirisi ROE = Özkaynak karlılığı D/E = Borç / Özkaynak oranı STD = Kısa vadeli borç oranı LTD = Uzun vadeli borç oranı TANG = Maddi varlık oranı CASHAR = Nakit artı alacak oranı GRW = Büyüme oranı BOYUT = Boyut oranı ε = Hata terimi X = kukla değişken 0: Şeriat Uyumlu Olmayan Şirketler (ŞUOŞ) 1: Şeriat Uyumlu Şirketler (ŞUŞ) xxiii Analiz, çoklu doğrusallık testi ile başlar ve bu testin amacı, değişkenler arasında çoklu doğrusallık sorunu bulunmadığından emin olmaktır. Sonuçlara göre, tolerans değerlerinin hiçbiri 0,2'den az ve hiçbir Varyans Enflasyon Faktörü (VIF) 10'dan büyük değildir. Bu nedenle, bu çalışma için çoklu bağlantı sorunu yoktur denilebilir. Analizlere, tanımlayıcı istatistik analizleri ile devam edilmiştir. Şeriat uyumlu şirketlerin (ŞUŞ) kurumsal performansının mali kriz sırasında ve her iki bağımlı değişken için de, vergi öncesi varlık karlılığı (vergi öncesi AK) ve özkaynak kârlılığı (ÖKK), finansal krizden sonra şeriat uyumlu olmayan şirketlerde (ŞUOŞ) daha yüksek olduğu tespit edilmiştir. Ancak bağımsız değişkenler, borç / özkaynak oranı için kısa vadeli borç oranı, uzun vadeli borç oranı, nakit artı hesap alacakları hesap oranı, SCC'nin finansal öncesi, sırasında ve sonrasındaki tüm dönemler için daha düşük bir orana sahip olduğunu göstermektedir. Bu sonuçlar, niceliksel tarama işlemi sırasında endeks sağlayıcı tarafından belirlenen koşullar nedeniyle beklenen bir durumdur. Ayrıca Şeriat endeksinde yer almak ve Şeriat statüsü kazanmak için bir ŞUŞ'in, her zaman söz konusu koşulların yerine getirildiği takip etmesi gerekir. Bu nedenle, ŞUŞ'lerin ŞUOŞ'lere kıyasla her zaman daha düşük kaldıraç oranına sahip olduğunu gözlemleyebiliriz. Bu oranların düşük olması daha iyidir, çünkü yüksek kaldıraç oranı veya borç finansman oranı, şirketin ödeme gücü ve istikrarsızlık riskini arttırabilir. ŞUŞ için maddi varlık oranı finansal kriz öncesinde, sırasında ve sonrasında ŞUOŞ'lerden daha yüksektir. Bu oran mali kriz döneminden sonra, daha da önem kazanmaktadır. Çünkü, bankalar şirketin yaşama yeteneği için bu oranı dikkate alırlar ve şirketin teminat seviyesinin göstergesidir. Bu nedenle, daha yüksek maddi varlık oranına sahip ŞUŞ'e daha fazla borç verebilir. İflas durumunda daha güvenli hale gelir, şirketler, borçlarını ödemek için maddi duran varlıklarını satabilir. Toplam nakit ve alacak oranı, finansal kriz öncesinde, sırasında ve sonrasında ŞUOŞ'den daha düşüktür. Her ne kadar yüksek likidite ile daha fazla kredi hacmine ulaşmayı ve yöneticilerin yatırım yapmasını kolaylaşsa da, bu durum yüksek bir iflas riskini ve yüksek ödeme yapmama riskini beraberinde getirir. Ek olarak, düşük likidite temsil sorununun artmaması açısından bir avantaj sağlar. xxiv Öncesinde ve mali kriz döneminde ŞUOŞ'lerin ŞUŞ'lerden daha yüksek bir büyüme oranına sahip olduğunu göstermektedir. Ancak, mali kriz döneminden sonra ŞUŞ'ler, ŞUOŞ'lerden daha yüksek bir büyüme oranına sahiptir. Finansal kriz döneminden sonra ŞUŞ'lerin daha iyi büyüdüğünü göstermektedir. Ayrıca, finansal kriz döneminden sonra ŞUŞ'lerin yatırımcıdan daha fazla ilgi gördüğü kanıtlanmıştır. Kurumsal performans için ilk bağımlı değişken olarak, vergi öncesi AK'na dayalı çoklu regresyon analizinden elde edilen ikinci önemli bulgu, finansal kriz döneminden önceki borç / özkaynak oranı hariç tüm bağımsız değişkenlerin istatistiksel olarak önemli olduğunu ortaya koymuştur. Ancak finansal kriz döneminde sadece uzun vadeli borç oranları anlamlı değildir ve finansal kriz döneminden sonra hem kısa vadeli borç hem de uzun vadeli borç değişkenleri istatistiksel olarak önemli değildir. Şeriat uyumlu şirketler ancak finansal kriz döneminden sonra önemli bir seviyeye sahiptir. Sermaye yapısının vergi öncesi AK için ŞUŞ üzerindeki etkisi, finansal kriz döneminden sonra ŞUOŞ'lerden 1,6617 kat daha yüksektir. Kurumsal performansın ikinci bağımlı değişkeni ÖKK'dır. Finansal kriz döneminden önce borç / özsermaye oranı ve nakit artı hesap alacak oranı hariç, finansal kriz dönemi içinde ve sonrasında uzun vadeli borç oranı hariç tüm bağımsız değişkenler ÖKK açısından istatistiksel olarak önemlidir. Finansal krizden önce ÖKK ile ŞUŞ önemli ölçüde artmakta ve sermaye yapısının ÖKK için ŞUŞ üzerindeki etkisinin finansal kriz döneminden önce ŞUOŞ'lerden -2.9264 kat daha düşük olduğunu göstermektedir. Ancak, finansal kriz döneminden sonra, sermaye yapısının ÖKK için ŞUŞ üzerindeki etkisi ŞUOŞ'lerden 4.3171 kat daha fazladır. Bu çalışmada elde edilen bulgular, akademisyenler, araştırmacılar, düzenleyici kurumlar ve özellikle ŞUŞ ve ŞUOŞ gibi şirketlerin yönetimi için daha fazla araştırma yapmalarının gerektiğini sonucunu doğurmuştur. Bu çalışma düzenleyici kurumlara ve ilgili devlet kurumlarına, şeriat uyumlu statüye ilişkin yönergeler ve çerçeve çıkarmaları rehber olabilir. Bu nedenle, yeni düzenleme ve kılavuz ilkeler oluşturmak için, bu kurumların daha fazla yatırımcı çekmek için yeni kılavuzlar geliştirmek amacıyla yatırımcıların ihtiyaçlarını ve ŞUŞ'lerin özelliklerini anlamaları gerekmektedir. Malezya'da hükümet beş yıl vergi muafiyeti ile yeni xxv ŞUŞ'lere teşvik vermektedir. Ayrıca, İngiltere ve Fransa'da ŞUŞ'ler de dahil olmak üzere İslami finans sektörü için vergi yapılarını değiştirdiler. Bu çalışmanın yürütülmesinde bazı sınırlamalar bulunmaktadır. Bu çalışmada, finansal piyasadaki farklı düzeylerde gelişme, hükümet politikaları ve o ülkenin dış olaylara duyarlılığı nedeniyle Asya'daki finansal krizin ülke genelinde farklı olduğu göz önünde bulundurulmamıştır. Buna ek olarak, ülkeler arası bu çapraz çalışma nedeniyle, farklı hukuk sistemleri ve düzenlemeleri, bürokrasi, şirketlerin her ülkede karşılaştığı farklı maliyetler ve faydalar nedeniyle farklılıklar beklenmektedir. Bu sınırlamalar gelecekteki araştırmaların yolunu açmaktadır. Dolayısıyla, gelecekte sermaye yapısı alanındaki araştırma boşluğunu doldurmak için bu sınırlamaları dikkate alınmalıdır
Death Instinct In Mary Shelley's Frankenstein Panca Wisetioko English Literature Faculty of Language and Arts State University of Surabaya y.panca.wise@gmail.com Drs. Much. Khoiri, M.Si. English Department Faculty of Language and Arts State University of Surabaya much_choiri@yahoo.com Abstrak Naluri dapat digambarkan sebagai kekuatan manusia dan dianggap ada di balik ketegangan yang disebabkan oleh kebutuhan dari id. Id dapat berkembang menjadi kekuatan destruktif yang disebut sebagai insting kematian dan ekspresi insting kematian disebut sebagai agresi. Dalam Mary Shelley Frankenstein, dua karakter utama menggambarkan insting kematian yang mempengaruhi pikiran dan tindakan yang bertujuan untuk menghancurkan atau membunuh siapa pun. Studi ini berfokus pada dua masalah , ( 1 ) bagaimana insting kematian digambarkan dalam Mary Shelley Frankenstein? dan ( 2 ) Mengapa si monster dan Dr Frankenstein menggambarkan agresi sebagai komponen dari insting kematian dalam hidup mereka di Mary Shelley Frankenstein? Data tesis diambil dari novel sebagai sumber utama dan membaca secara intensif adalah langkah berikutnya dalam analisis. Konsep yang akan digunakan meliputi konsep naluri dan insting kematian oleh Freud dan Susan , dan juga istilah agresi oleh Subaidah. Untuk menjawab masalah pertama, penelitian ini menggunakan istilah Freud tentang insting kematian dan didukung oleh konsep dari Susan tentang insting. Masalah kedua dijawab dengan menggunakan konsep dari Subaidah tentang agresi. Yang terakhir, analisis mengungkapkan bahwa insting kematian digambarkan oleh monster melalui tindakannya ketika membunuh putra Dr Frankenstein, teman, dan anggota keluarga yang lain. Selain itu, Dr Frankenstein juga menggambarkan insting kematian melalui intensi untuk menghancurkan si monster. Keduanya mendapatkan kesenangan dan kepuasan dari tindakan mereka. Dr Frankenstein dan monster tersebut menggambarkan insting kematian karena rasa marah dan frustrasi antara satu sama lain. Kata kunci : insting kematian, sadar, id, agresi. Abstract Instincts can be described as the forces of human and assume to exist behind the tensions which are caused by the needs of the id. The id can develop into destructive force which is called as death instinct and the expression of death instinct called as the aggression. In Mary Shelley's Frankenstein, the two main characters depict the death instinct that influence their minds and actions which purpose to destroy or kill anyone. The study focuses on two problems, (1) how is death instinct depicted in Mary Shelley's Frankenstein? and (2) Why do the monster and Dr. Frankenstein represent the aggression as the component of death instinct in their life in Mary Shelley's Frankenstein? The data of thesis are taken from the novel as the main source and intensive reading is the next step of analysis. The concept that will be used includes the concepts of instinct and death instinct by Freud and Susan, and the terms of aggression by Subaidah. To answer the first problem, this study uses Freud's terms about death instinct and supported by Susan's terms about the concepts of instinct. The second problem is answered by using Subaidah's terms about the aggression. Last of all, the analysis reveals that death instinct depicted by the monster through his action in killing Dr. Frankenstein's son, friends, and his other family members. Besides, Dr. Frankenstein also represents death instinct through his intension to destroy the monster. Both of them get pleasure and satisfaction from their actions. Dr. Frankenstein and the monster represent death instinct because the feeling of anger and frustration each other. Keywords: death instinct, unconscious, id, aggression. INTRODUCTION Horror literature is focusing ondeath, theafterlife,evil, thedemonicand the principle of the thing embodied in the person. In stories, there are many gothic creatures, like witches,vam-pires,demonic, werewolves,and ghost. This genre has ancient origins which were reformulated in the 18th century asGothic horror, with publication of theCastle of Otranto(1764) byHorace Walpole. After that century, the Gothic tradition blossomed into the genre modern readers call horror literature in the 19th century. In this era, some great works and characters of horror have been adapted by some films and cinema. It shows to the world that some horror writers have given contributions. Some literary works concern with horror in genre are Mary Shelley'sFrankenstein(1818),Edgar Allan Poe's short stories, the works ofSheridan Le Fanu,Robert Louis Stevenson'sStrange Case of Dr. Jekyll and Mr. Hyde(1886),Oscar Wilde'sThe Picture of Dorian Gray(1890), andBram Stoker'sDracula(1897). One of the most famous horror novels is Frankenstein which was written by Mary Shelley in 19th century. In that era, the novel was also being a very important work in literature contributions that had made by women acceptable. Although Mary Shelley wrote many novels, none of her another works was popular like Frankenstein, which still gains its popularity until today. (www.famousauthors.org/mary-shelley) A study of the scientific aspects of the novel is so popular and timely that the present author and others have presented or published papers on this theme (Ginn, 2003; Ketterer, 1997). The National Library of Medicine has developed a traveling exhibit examining Frankenstein's science, and a conference dedicated to this theme (Frankenstein's Science: Theories of Human Nature in the 18thand 19thCenturies) was held in Canberra, in 2003. (nlm.nih.gov/hmd/frankenstein/frankhome.html) The author of Frankenstein, Mary Shelley, is often known asMary Wollstonecraft Shelley. She was one of the famous horror writers in the world. Mary was a British woman novelist, short story writer, dramatist, essayist, biographer, travel writer, and editor of the works of her husband, Percy Bysshe Shelley who was a Romantic poet and a philosopher. And she was the daughter of the political philosopherWilliam Godwinand Mary Wollstonecraft who was famous as the writer, philosopher, and feminist. She wrote many horror novels including Lodore (1835), Faulkner (1937), Mathilde (1959), Valperga or the Life and Adventures of Castruccia, Prince of Lucca (1823), The Last Man (1826), and The Fortunes of Perkin Warbeck (1830). She also wrote a number of short stories, travelogues and other works, but Frankenstein has been the unforgettable works of her. Mary Shelley herself is best remembered by literature world as the author of Frankenstein. The story of this novel tells about an ambitious inventor named Dr. Frankenstein who forces to create a human from various body parts taken from some corpses in graves. He believes that he can create a perfect human which is stronger and smarter than any ordinary human being. He finally finishes his project in making that creature. But, the result does not alike what he expects before. The creature looks like a monster rather than a human. It makes Dr. Frankenstein rejecting and dumping him. The monster cannot accept how the doctor treats him because the doctor himself is as the creator and the father of the monster who should love him and treat him well like God who creates and loves human beings. The doctor always mocks the monster about his physical appearance condition which is very ugly, even looks like a devil. The monster is very angry with the doctor. He hates the doctor a lot and he wants to kill the doctor as a revenge. Not only the doctor, but the monster also hates human being because people treats him as bad as the doctor even though the monster has given aid to humans. The other thing that makes him hate human is because there is no one wants to be his friends. Everyone who meets him always run, hit and shout that he is a monster. He feels depressed and desperate about his life and his condition. He always asks to himself why he cannot be an acceptable person in his real life. After he got many bad things, he says that he will kill all human being, especially a man who created him and all persons that he loves. One by one, everyone who loved by Dr. Frankenstein were killed by the monster. The doctor himself also promises to kill his creature because of those accidents. Both of them have death instinct to kill each other. In the end of the story, Dr. Frankenstein dies in the way when he looks for the monster. The monster feels very satisfied with his death, after that he falls down to the sea, and no one never see him again. Death instinct which is depicted in Frankenstein and it based on the concepts of Sigmund Freud. According to Orbach (2007), his conceptualization of the death instinct behaviors reflecting self-destructive tendencies, guilt feelings, suicide, melancholia, masochism and sadism are furnished with a motivational force of their own, as well as a specific mechanism of action, that is the repetition compulsion. The death instinct drives man to the ultimate state of quiescence – death through the urge inherent in organic life to restore an earlier state of things. This novel presents death instinct that is depicted by Dr. Frankenstein and the monster as the characters of Shelley's Frankenstein. There is a stage which is being the part of the story that represents the instinct. It is shown when the monster killed Frankenstein's son (Shelley, 1994: 179). The action that has been done by the monster is the representation of the death instinct, especially the purpose of death instinct. It depends on Freud terms (1949: 6), he explained that the purpose of death instinct is to kill someone or destroy something. The another things that are shown in this novel is the reason of the characters when they want to do aggression which is being the component of death instinct (Subaidah, 2012), she also said that anger feeling becomes the one of the reasons or factors to do aggression to another person. The reason is depicted in the part of the story when the monster becomes angry and wants to kill all human and the doctor who is being his creator (Shelley, 1994: 172) Depends on Schultz (2008: 56), Freud also developed three parts of mind. He drew that the parts are the conscious, the preconscious, and the unconscious. Aside from the three levels of consciousness, Freud believed there to be three parts of personality. There are the id, the ego, and the superego. That is why this study is being the study that analysis about death instinct and its reason because there are many statements and actions that has been represented by the characters of the novel, especially about death instinct and its reason. RESEARCH METHOD To reveal the death instinct of the characters, this study applies the concept of human instinct in analyzing the problems. The concept which will be applied to discuss the matter in this study is the psychoanalysis theory especially the concept of death instinct by Sigmund Freud. The main data source of this study is Mary Shelley's Frankenstein, while the data which is used in this study is in the form of statements which are taken from the novel Frankenstein that reveals the death instinct of the characters, Dr. Frankenstein and the monster. This study will be conducted by using descriptive-qualitative method. It means that this study provides descriptive analysis without using any statistic or number in analyzing the subject matter. The concept applied to discuss the matter in this study is death instinct which is mostly described by Mary Shelley in her novel which titled is Frankenstein. Since the focus of the study becomes clearer, data classification is needed. After collecting and classifying such complete data, the study arranges it in order, so that the study is able to get good understanding about the story of the novel and the issue which is going to be analyzed. In the next step, the story is being analyzed by using theory that is Instinct theory. Here, in analyzing death instinct of human being, this study tries to elaborate dialogue, conflict, and action in the novel and applies the concept. Then, the next step is to reveal how is the death instinct of the characters, which is viewed from the theory of psychoanalysis by Sigmund Freud. Finally, this research provides a deep analysis on the death instinct of Dr. Frankenstein and the monster in Mary Shelley's Frankenstein. DEFINITION OF INSTINCT The forces which human assume to exist behind the tensions caused by the needs of the id are called instincts. It can change their aim (by displacement) and also that they can replace one another-the energy of one instinct passing over another. This also consists in the satisfaction of its innate needs. (Freud, 1949: 5) Instinct also can be described as the basic elements of the personality, the motivating forces that drive behavior and determine its direction. Freud's German term for this concept is Trieb, which is best translated as a driving force or impulse (Bettelheim, 1984). Instincts are a form of energy—transformed physiological energy—that connects the body's needs with the mind's wishes. The stimuli (hunger or thirst, for example) for instincts are internal. When a need such as hunger is aroused in the body, it generates a condition of physiological excitation or energy. The mind transforms this bodily energy into a wish. It is this wish—the mental representation of the physiological need—that is the instinct or driving force that motivates the person to behave in a way that satisfies the need. A hungry person, for example, will act to satisfy his or her need by looking for food. The instinct is not the bodily state; rather, it is the bodily need transformed into a mental state, a wish. When the body is in a state of need, the person experiences a feeling of tension or pressure. The aim of an instinct is to satisfy the need and thereby reduce the tension. Freud's theory can be called a homeostatic approach insofar as it suggests that people are motivated to restore and maintain a condition of physiological equilibrium, or balance, to keep the body free of tension. Freud believed that people always experience a certain amount of instinctual tension and that people must continually act to reduce it. It is not possible to escape the pressure of our physiological needs as we might escape some annoying stimulus in our external environment. This means that instincts are always influencing our behavior, in a cycle of need leading to reduction of need. People may take different paths to satisfy their needs. For example, the sex Drives may be satisfied by heterosexual behavior, homosexual behavior, or auto sexual behavior, or the sex drive may be channeled into some other form of activity. Freud thought that psychic energy could be displaced to substitute objects, and this displacement was of primary importance in determining an individual's personality. Although the instincts are the exclusive source of energy for human behavior, the resulting energy can be invested in a variety of activities. This helps explain the diversity people see in human behavior. All the interests, preferences, and attitudes people display as adults were believed by Freud to be displacements of energy from the original objects that satisfied the instinctual needs. Freud grouped the instincts into two categories: life instincts and death instincts. The life instincts serve the purpose of survival of the individual and the species by seeking to satisfy the needs for food, water, air, and sex. The life instincts are oriented toward growth and development. The psychic energy manifested by the life instincts is the libido. The libido can be attached to or invested in objects, a concept Freud called cathexis. If you like your roommate, for example, Freud would say that your libido is cathected to him or her. The life instinct Freud considered most important for the personality is sex, which he defined in broad terms. He did not refer solely to the erotic but included almost all pleasurable behaviors and thoughts. Freud regarded sex as our primary motivation. Erotic wishes arise from the body's erogenous zones: the mouth, anus, and sex organs. He suggested that people are predominantly pleasure-seeking beings, and much of his personality theory revolves around the necessity of inhibiting or suppressing our sexual longings. In opposition to the life instincts, Freud postulated the destructive or death instincts. Drawing from biology, he stated the obvious fact that all living things decay and die, returning to their original inanimate state, and he proposed that people have an unconscious wish to die. One component of the death instincts is the aggressive drive, described as the wish to die turned against objects other than the self. The aggressive drive compels us to destroy, conquer, and kill. Freud came to consider aggression as compelling a part of human nature as sex. Freud developed the notion of the death instincts late in life, as a reflection of his own experiences. He endured the physiological and psychological debilitations of age, his cancer worsened, and he witnessed the carnage of World War I. One of his daughters died at the age of 26, leaving two young children. All these events affected him deeply, and, as a result, death and aggression became major themes in his theory. In his later years, Freud dreaded his own death, and exhibited hostility, hatred, and aggressiveness toward colleagues and disciples who disputed his views and left his psychoanalytic circle. THE CHARACTERISTICS OF INSTINCT According to Susan (2004: 42), there are some characteristics of instincts. She summarized the four aspects of instincts: source, pressure, aim, dan object. The first is source. All physic energy is derived from biological processes in some parts or organs of the body. There is no separate, exclusively mental energy. The amount of energy a person has does not change throughout a lifetime although it is transformed so that it is invested differently. At first, psychic energy is directed toward biological needs. As development occurs, this same energy can be redirected into other investment, such as interpersonal relationships and work. The second is pressure. It refers to its force or motivational quality. It corresponds to the strength of the instinctual drive; it is high when the drive is not satisfied and falls when the needs is met. For example, a hungry infant has a high pressure of the hunger drive: one just fed has hunger at a low pressure. When the pressure is low, the instinct may nt have noticeable effect; but when the pressure is high, it may break through, interrupting other activities. A hungry baby wakes up, for example, and it depends on Susan (2004: 42). The next characteristic is aim, the function of instinct according to a principle of homeostatis, or steady state, a principle borrowed from biology. Instinct aim to preserve the ideal steady state for organism (Susan, 2004: 42). Changes moving away from this steady state are experienced as tension. The aim of all instincts is to reduce tension, which is pleasurable. Instincts operate according to what Freud called the pleasure principle, they aim simply to produce pleasure by reducing tension, immediately and without regard to reality constraints. Tension reduction occurs when the original biological instinct is directly satisfied, for example, when a hungry infant is fed or when sexually aroused adult achieves orgasm. It would be a mistake, however, to conclude that only direct biological drive satisfaction can reduce tension. Some transformations of libido also allow tension reduction (Susan, 2004: 42). Such healthy, socially acceptable ways of reducing tension are termed sublimation. However, indirect expressions of libido do not always reduce the pressure of instinct. Thus a chronic deviation from a restful, homeostatic state occurs in individuals who have not found ways to reduce tension, such as neurotics (Susan, 2004: 42). The last is object, this characteristic of instinct is about the person or thing in the world that is desired so that the instinct can be satisfied, it based on Susan's terms about instinct (2004: 42). For example, the object of the hunger drive of an infant is the mother's breast: it brings satisfaction. The object of a sexually aroused adult is a sexual partner. Investment of psychic energy in a particular object is called cathexis. It is with respect to the object of an instinct that there is the most variation, the most influence of experience on a person's fundamental motivations. Some sexually aroused men look for a woman just like mother; others look for a very different kind of woman or for a man, or even for underwear or a child or any of a vast assortment of sexual objects. Women are also very widely in their choice of sexual objects. The fact that libido is capable of being directed toward so many diverse objects; not fixed biologically, is termed the plaslicily of instinct. This is much greater in humans than in lower animals, who seem to come with instinct "prewired" to very specific objects. Learning from experience-selecting objects from the possibilities in the environment and learning to adapt to reality-occurs in the ego. The ego, in contrast, the functions according to a very primitive mechanism, called primary process. DEATH INSTINCT (THANATOS) Freud believed that every human had a life and death instinct. The life instinct is callederoswhile death instinct is calledthanatos. Death instinct is a destructive force directing us inevitably toward death, the ultimate release from the tension of living. It motivates all kind of aggression including war and suicide. (Susan, 2004: 41) According to Orbach (2007: 266), Freud's conceptualization of the death instinct behavior reflecting self-destructive tendencies, guilt feelings, suicide, melancholia, mascochism and sadism are furnished with a motivational force of their own, as well as with a specific mechanism of action, that is the repetition compulsion. Death instinct drives man to the ultimate state of quiescence – death through the urge inherent organic life to restore an earlier state of things. The purpose of death instinct is to destroy things and to reduce living things to an inorganic state. (Freud, 1949: 5) Freud also explains that death instinct is intended to individuals typically two ways, to himself or others to outside themselves. Death instinct is redirected looking at people in an action of suicide, while the instinct redirected to death outside or anyone else to do something when they want to kill, persecute, or destroy others. Death instinct also encourages people to ruin people, and the aggressive drive pushes the distribution of people who are not killed. To maintain them, death instinct will against life with generally energy which steer out, intended to others. Freud assumes that every human in their subconscious part, will have a passion for dead, a desire is always mightily repressed by ego. The component of the death instincts is aggression. (http://12013pus.blogspot.com/2013/06/sigmund-freud.html) The most influenced component of the death instincts is the aggressive drive. It is described as a wish to against objects rather than a self. The aggressive drive compels us to destroy, conquer and kill. Freud comes to consider aggression as compelling a part of human nature. Freud also recognizes that the object of the aggressive instinct is fighting, and it is always for the gratification of the id. Most aggressive behavioral traits are destructive. They are considered to be the consequence of dysfunctional character formation. However, some of these instinctual traits may be momentary. Freud suggests that the aggressivity is related to death threat. This means that it can apply to the individual as well as to his or her relation with others. According to Subaidah (2012), aggression is a behavior that can hurt others. There are several factors that influence the aggression. Each factors may differed from one's act of aggression in which it is more dependent on an act of aggression itself and where the act of aggression took place. Lately a lot of aggression is going on in the social sphere such as at school and other social spheres. She explains that there are several factors that cause aggression or aggressiveness: 1. Biological factors There are several biological factors that influence aggressive behavior: a. The gene seems to affect the formation of the neural systems that regulate the aggressive behavior. b. Brain systems which are not involved in aggression were found to reinforce or inhibit the neural circuits that control the aggression. c. Blood chemistry (particularly the sex hormones which is partly determined heredity) can also influence aggressive behavior. 2. The Instinct According to Sigmund Freud, he explains that in humans there are two kinds of instincts which are called as eros (life instinct) and thanatos (death instinct). Aggression is an expression of the death instinct and it may be directed to other people or other targets (external) and can also to themselves (internal). 3. The Anger feeling Anger is the emotion that has the characteristics of the parasympathetic nervous system activity which is high. It is the feeling of strong dislike feeling commonly conducted due to an error, which may be manifestly wrong or maybe not. At the moment, there is a desire to attack which includes by angry, punching, destroy or throw something, it usually arises cruel mind. When things are distributed and there is aggressive behavior. 4. Frustration feeling Frustration occurs when someone blocked by something in achieving a goal, needs, desires, expectations or specific actions. Aggression is the way to respond the frustration feeling. Poor time naughty teen is a result of frustration which is related to the amount of unemployed time, financial mediocre and the requirements that must be fulfilled but difficult to achieve. As a result, they become irritable and aggressive. (jambeekidul.blogspot.com/2012/05/agresi.html) The Death Instinct depicted by Dr. Frankenstein and The Monster in Mary's Frankenstein In the novel, death instinct depicted is firstly depicted by Dr. Frankenstein when he meets the monster in the field of ice. When he enjoys the atmosphere of the nature around him, suddenly he sees the figure of man and the creature comes nearly to him with super human speed. He really surprised when he sees the creature that stands in front of him. The creature is the monster that was made by him, but the doctor never wants to see the monster because it looks so ugly and scary. So the doctor wants to kill that monster by himself. The next part which depicts the death instinct is shown by the monster. It happens when the doctor sees something like a human but it looks different from the ordinary human. The creature comes nearly to him, and the doctor is surprised because the creature is the person who is seemed like a monster. The doctor said many bad words to him, but there is the time when the monster wants to make a deal with Frankenstein. The monster is being the unacceptable person in the real life, there is no one can accept his condition. The monster wants to ask about something which is related to his condition but he says that if the doctor refuses his request, the monster will kill him. The next quote is shown by Dr. Frankenstein and his creature. After the monster asked something with the doctor and want to make a deal with the doctor, Frankenstein who is being the creator of the monster answered the kind of thing that has been asked by the monster. Death instinct is depicted in the some words. In those words, the doctor want to take the monster's life or in another meaning, it means that the doctor want to kill the monster. It depends on Freud terms about death instinct, he explains that the purpose of death instinct is to kill someone. The next part which shows death instinct in the novel, there is no deal between Dr. Frankenstein and the monster. The doctor feels very angry and hates the monster because the condition of the monster itself. After that, the doctor does the action that is shown in the quotation as the part of the story. In some parts of the statements, the doctor wants to attack the monster by himself. It shows that Frankenstein want to expressing his feeling that represent the purpose of death instinct. It is like Freud terms, he explains that the purpose of the death instinct of human being is to destroy or kill another creature. The next statement is said by Dr. Frankenstein, it happens when the doctor tries to hit the monster. But the monster can dodge the action of the doctor. The monster still wants to make a deal with the doctor. The monster tells about his sadness feeling to the doctor. But the words that were said by the monster cannot make the doctor's heart follow what the monster wants. In the time of the novel, the doctor feels angry and says many words to the monster. There are some words which depicts the death instinct of the doctor and describe that Frankenstein want to fight with the monster and kills him. The next statement is said by the monster, he continuous his journey, and after that he arrives at Geneva. Directly, he looks for the hiding place. Then he takes a rest, and suddenly the little boy comes to him. He thinks that this boy does not have a negative thought like the other people. But he is wrong, this boy looks so scared, he tries to talk with the boy. Suddenly, the boy says many bad words to him, and he tells Frankenstein as a name of the person that the monster really hates. Finally, the monster wants to kill this boy, it is depicted in the some words. He describes the death instinct and his actions that he will do in this part of the statement. Based on Freud (1949: 6), the purpose of death instinct is to kill or destroy something. The Reason of the Characters Who Represent the Aggression In this Mary Shelley's Frankenstein, there are many aggressions that are depicted in the some parts or in the some statement that were said by the characters, and there are many things that are being the reason of the character to do their aggression to another. Dr. Frankenstein and the monster show the causes or the factors of aggression based on their actions and quotations. The factors will be explained in these parts of thesis based on Subaidah's terms of aggression (2012). Aggression is firstly shown by Dr. Frankenstein when he sees a person in the ice field. When he really enjoys the natural situation around him, suddenly he finds the figure of human and the creature comes nearly to him with super human speed. He really surprised when he sees the creature which stands in front of him. The creature is the monster that was made by him, but the doctor never wants to see the monster because it looks so ugly and scary. In some statement, there is a factor that will be explained. There are some words which show the anger feeling of the doctor as the main factor which influences him and it is the reason of him to do the aggression to the monster. The next statement is continuing the conversation before that happened between Dr. Frankenstein and his creature. After the monster asked something with the doctor and want to make a deal with the doctor, Frankenstein who is being the creator of the monster answered the kind of thing that has been asked by the monster. He said some words to answer what the monster want. Those words describe the anger feeling of the doctor and also show that the doctor really does not like the monster because the psychical condition of the monster. It is to be his reason to do the aggression to the monster. This explanation similar with Subaidah's terms, she explains that the anger is one of the factors that can influence a person to do aggression to another person, and the thing that can cause the anger is because the feeling of dislike so strong. The next part of the story in the novel, there is no deal between Dr. Frankenstein and the monster. The doctor feels very angry and hates the monster because the condition of the monster itself. After that, the doctor does the action that is shown in the quotation as the part of the story. There are some words which show the reason of the doctor when he wants to destroy the monster. The doctor describes his feeling which influences him to be aggressive clearly in this part of his statement. These feeling can influence someone to be an aggressive person, it means that the person wants to kill or destroy the other person. This is has similarity with Subaidah's term, she explains that the reason of the person to do aggression is because their angry feeling. The next statement is said by the monster. It is continuing from the statements before. After the doctor asked him to go, the monster is still trying to tell about the experiences that he got in his life. He tells many things to the doctor, he hopes the doctor will agree to make a deal with him. And in the situation that is described in the novel, the monster says something about his feelings to the doctor. He says the words to Dr. Frankenstein. There are some words that show the anger feeling of the monster. The words describe the reason of him when he wants to do the aggression to his enemies and he really wants to destroy them. Based on Subaidah (2012), anger is the factor for the people to do aggression to another, and the dislike feeling because of the mistaken things that has been done by a person will influence a person angry with the another people. There are also some words which show the mistakes of the doctor and the human that cause the anger of the monster. Dr. Frankenstein has done something that make the monster feel dislike and angry with him, this is also done by the other person. The next statement is still based on the story of the monster. After he went to forest, he lived in a place. He felt desperate because of human actions. He remembered the accident that he got from De Lacey family, especially from Felix. He felt so angry, he wanted to destroy everything near him. There are some words which represent the anger feeling of the monster, it is described clearly in the part of the statement. It becomes his main feeling when he thinks to destroy something or injury the human and it also shows the factor that influences him when he cannot control himself and change into an aggressive person. The anger feeling is the dominant feeling that becomes the reason for him to do aggression to human being. This is similar with Subaidah's terms which describes the aggression can be done by a person because the anger feeling that were caused by the mistake of the another person, it can grow up the dislike feeling of the person. CONCLUSION Based on the analysis in the previous chapter, there are two important conclusions drawn: the death instinct and the aggression which is being the component of death instinct based on the characters. First, it represents death instinct which is shown by Dr. Frankenstein and the monster who is his creature. Death instinct has some steps which include unconscious and id, it also has a purpose to destroy something or kill someone. By those steps and the purposes of death instinct, it can be concluded that the doctor has death instinct when he wants to kill or destroy the monster, and the monster wants to kill the doctor and all people who gave him many bad experiences in his life, such as when he killed Frankenstein's son. They show death instinct by killing or destroy something based on their main feelings and instinct itself. The unconscious is being the important part of instinct because it drives and controls all human mind and action that they want to do to another people. The next step that becomes the part of unconscious is the id of the characters. They will do something that will give them a pleasure or satisfied feeling, it based on their id. These part will develop to death instinct when they have some wishes to destroy anything or kill anyone. It is shown when the monster killed the doctor's wife, some his families member, and his friends, it is also depicted when the doctor really wants to take the monster life by himself because he killed many person that he really loves. The other things which are depicted in those parts are the characteristics of instinct. it includes the pressure, the aim, and the object of instinct. The pressure is described as the motivational things which influence person to do something to get pleasure. It is shown by the monster when he wants to kill all human because his revenge feeling, and the doctor when he wants to fight with the monster because his rage feeling. The second characteristic is the aim of instinct which describe as the actions or wishes that will be done by the person to get pleasure in their life. It is depicted in the characters when the doctor wants to take the monster life with his own hands, and when the monster wants to kill the doctor because he created him with the bad physical condition which make the monster as the unacceptable person in his social life. The last characteristics which is shown by the characters is the object of instinct, it means that the person who do the actions based on their instinct, will get the satisfied feeling from the object of instinct itself. It is shown when the doctor wants to destroy the monster's head, the monster is being the object of instinct that can give a satisfied for the doctor when Frankenstein really can kill the monster by himself. And it is also shown when the monster killed Elizabeth who is being the doctor's wife. She is being the object of instinct that will give the satisfied feeling for the monster when he can kill her by his hands. Besides finding how death instinct is done by the characters, this study also find the reasons why aggression is done by them. Based on aggression terms, there are some factors that influence people to do aggression. They includes the biological factor, instinct, anger and frustration feeling. Those factors are shown by the characters, such as Dr. Frankenstein and the monster. It is described when the doctor hunts the monster, he wants kill the monster because he is very angry, it related to the accidents that has been done by the monster to his friends and families in the novel. It is also shown by the monster, when he destroyed many inanimate things such as tress around him, he feels frustration because he cannot injure a human. These feelings become the reason for them to do aggression to another person or thing. REFERENCES Abrams, M.H. 1999. A Glossary of Literary Terms. Seventh Editio. U.S.A : Thomson Learning, inc. Cloninger, Susan. 2004. Theory of Personality : Understanding Person. Fourth Edition. : Pearson Prentice Hall. Feist, Jess and Gregory J. Feist. 2008. Theories of Personality, Seventh Edition. New York: McGraw – Hill Co. Klein, Melanie. 1988. Development In Theory and Practice Volume 1. New York: Taylor & Francis e-Library. Orbach, Israel. 2007. Isr J Psychiatry Relat Sci Vol 44 No. 4. Israel : Bar-Ilan University. Rickman, Richard M. 2008. Theories of Personality Ninth Edition. Belmont: Thomson Higher Education. Rivers, William H.R. 1920. Instinct and The Unconscious A Contribution to A Biological Theory of The Psychoneuroses. Ontario: Christopher D. Green. Schultz, Duane P and Sydney Ellen Schultz. 2009, 2005. Theories of Personality Ninth Edition. Belmont: Wadsworth, Cengage Learning (http://www.phobosdeimos.com/History/Frankenstein/Frankenstein%20History.htm. Retrieved on June, 20th 2013) (http://12013pus.blogspot.com/ 2013/ 06/ sigmund-freud.html. Retrieved on June, 20th 2013) (http://jambeekidul.blogspot.com/2012/05/agresi.html. Retrieved on June, 20th 2013)
1. Introduction Biodiesel (BD) is a liquid biofuel that is defined as a fatty acid methyl ester fulfilling standards such as the ones set by European (EN 14214) and the American (ASTM 6751) regulations. BD is obtained by the transesterification (Scheme 1.1) or alcoholysis of natural triglycerides contained in vegetable oils, animal fats, waste fats and greases, waste cooking oils (WCO) or side-stream products of refined edible oil production with short-chain alcohols, usually methanol or ethanol and using an alkaline homogeneous catalyst (Perego and Ricci, 2012). Scheme 1.1. Transesterification reaction. BD presents several advantages over petroleum-based diesel such as: biodegradability, lower particulate and common air pollutants (CO, SOx emissions, unburned hydrocarbons) emissions, absence of aromatics and a closed CO2 cycle. Refined, low acidity oilseeds (e.g. those derived from sunflower, soy, rapeseed, etc.) may be easily converted into BD, but their exploitation significantly raises the production costs, resulting in a biofuel that is uncompetitive with the petroleum-based diesel (Santori et al., 2012; Lotero et al., 2005). Moreover, the use of the aforementioned oils generated a hot debate about a possible food vs. fuel conflict, i.e. about the risk of diverting farmland or crops at the expense of food supply. It is so highly desirable to produce BD from crops specifically selected for their high productivity and low water requirements (Bianchi et al., 2011; Pirola et al., 2011), or from low-cost feedstock such as used frying oils (Boffito et al., 2012a) and animal fats (Bianchi et al., 2010). The value of these second generation biofuels, i.e. produced from crop and forest residues and from non-food energy crops, is acknowledged by the European Community, which states in its RED directive (European Union, RED Directive 2009/28/EC): ''For the purposes of demonstrating compliance with national renewable energy obligations […], the contribution made by biofuels produced from wastes, residues, non-food cellulosic material, and ligno-cellulosic material shall be considered to be twice that made by other biofuels''. However, the presence of free fatty acids in the feedstock, occurring in particular in the case of not refined oils, causes the formation of soaps as a consequence of the reaction with the alkaline catalyst. This hinders the contact between reagents and the catalyst and makes difficult the products separation. Many methods have been proposed to eliminate FFA during or prior to transesterification (Pirola et al., 2011; Santori et al., 2012). Among these the FFA pre-esterification method is a very interesting approach to lower the acidity since it allows to lower the acid value as well as to obtain methyl esters already in this preliminary step (Boffito et al., 2012a, 2012b; 2012c Bianchi et al., 2010, 2011; Pirola et al., 2010, 2011). Aims of the work The aims of this work are framed in the context of the entire biodiesel production chain, ranging from the choice of the raw material, through its standardization to the actual biodiesel production. The objectives can be therefore summarized as follows: Assessing the potential of some vegetable or waste oils for biodiesel production by their characterization, deacidification and final transformation into biodiesel; To test different ion exchange resins and sulphated inorganic systems as catalysts in the FFA esterification; To assess the use of ultrasound to assist the sol-gel synthesis of inorganic sulphated oxides to be used as catalysts in the FFA esterification reaction; To assess the use of sonochemical techniques such as ultrasound and microwave to promote both the FFA esterification and transesterification reaction. 2. Experimental details 2.1 Catalysts In this work, three kinds of acid ion exchange resins were used as catalysts for the FFA esterification: Amberlyst®15 (A15), Amberlyst®46 (A46) (Dow Chemical) and Purolite®D5081 (D5081). Their characteristic features are given in Tab. 2.1. Various sulphated inorganic catalysts, namely sulphated zirconia, sulphated zirconia+titania and sulphated tin oxide were synthesized using different techniques. Further details will be given as the results inherent to these catalysts will be presented. Catalyst A15 A46 D5081 Physical form opaque beads Type Macroreticular Matrix Styrene-DVB Cross-linking degree medium medium high Functional group -SO3H Functionalization internal external external external Form dry wet wet Surface area (m2 g-1) 53 75 514a Ave. Dp (Ǻ) 300 235 37a Total Vp (ccg-1) 0.40 0.15 0.47 Declared Acidity (meq H+g-1) 4.7 0.43 0.90-1.1 Measured acidity (meq H+g-1) 4.2 0.60 1.0 Moisture content (%wt) 1.6 26-36 55-59 Shipping weight (g l-1) 610 600 1310a Max. operating temp (K) 393 393 403 Tab. 2.1. Features of the ion exchange resins used as catalysts. The acidity of all the catalysts was determined by ion exchange followed by pH determination as described elsewhere (López et al., 2007; Boffito et al., 2012a; 2012b). Specific surface areas were determined by BET (Brunauer, Emmett and Teller, 1938) and pores sizes distribution with BJH method (Barrett, Joyner and Halenda, 1951). XRD, XPS SEM-EDX and HR-TEM analyses were performed in the case of catalysts obtained with the use of ultrasound (Boffito et al. 2012a). Qualitative analyses of Lewis and Brønsted acid sites by absorption of a basic probe followed by FTIR analyses was also carried out for this class of catalysts (Boffito et al, 2012a). 2.2 Characterization of the oils Oils were characterized for what concerns acidity (by acid-base titrations) as reported by Boffito et al. (2012a, 2012b; 2012c), iodine value (Hannus method (EN 14111:2003)), saponification value (ASTM D5558), peroxide value and composition by GC analyses of the methyl ester yielded by the esterification and transesterification. Cetane number and theoretical values of the same properties were determined using equations already reported elsewhere (Winayanuwattikun et al., 2008). 2.3 Esterification and transesterification reactions In Tab. 2.2, the conditions adopted in both the conventional and sonochemically-assisted esterification are reported. For all these experiments a temperature of 336 K was adopted. Vials were used to test the sulphated inorganic oxides, while Carberry reactor (confined catalyst) (Boffito et al., 201c) was used just for the FFA esterification of cooking oil. Rector oil (+ FFA) (g) MeOH (g) catalyst amount vial 21 3.4 5%wt/gFFA sulphated inorganic catalysts slurry 100 16 - 10 g ion exchange resins - 5%wt/gF FA sulphated inorganic catalysts Carberry 300 48 10 g (5 g in each basket) Tab. 2.2. Free fatty acids esterification reaction conditions for conventional and sonochemically-assisted experiments. All the sonochemically-assisted experiments were performed in a slurry reactor. FFA conversions were determined by acid-base titrations of oil samples withdrawn from the reactors at pre-established times and calculated as follows: "FFA conversion (%)=" (〖"FFA" 〗_"t=0" "-" 〖"FFA" 〗_"t" )/〖"FFA" 〗_"t=0" " x 100" In Tab. 2.3, the conditions of both the conventional and ultrasound (US)-assisted transesterification are reported. KOH and CH3ONa were used for conventional experiments, while just KOH for the US-assisted experiments. The BD yield was determined by GC (FID) analysis of the methyl esters. Method Reactor Step gMeOH/100 goil gKOH/100 goil Temp. (K) Time (min) traditional batch step 1 20 1.0 333 90 step 2 5.0 0.50 60 US-assisted batch step 1 20 1.0 313, 333 30 US-assisted continuos step 1 20 1.0 338 30 Tab. 2.3. Transesterification reaction conditions. 3. Results and Discussion 3.1 Characterization and deacidification of different oils by ion exchange resins: assessment of the potential for biodiesel production In Tab. 3.1 the results of the characterization of the oils utilized in this work are displayed. The value in parentheses indicate the theoretical value of the properties, calculated basing on the acidic composition. The acidity of all the oils exceeds 0.5%wt (~0.5 mgKOH/g), i.e. the acidity limit recommended by both the European normative (EN 14214) and American standard ASTM 6751 on biodiesel (BD). The iodine value (IV) is regulated by the EN 14214, which poses an upper limit of 120 gI2/100 g. The number of saturated fatty chains in the fuel determines its behaviour at low temperatures, influencing parameters such as the cloud point, the CFPP (cold filter plugging point) and the freezing point (Winayanuwattikun et al., 2008). The IV are in most of the cases similar to the ones calculated theoretically. When the experimental IV differs from the theoretical one, it is in most of the cases underestimated. This can be explained considering the peroxide numbers (PN), which indicates the concentration of O2 bound to the fatty alkyl chains and is therefore an index of the conservation state of oil. Oils with high IV usually have a high concentration of peroxides, whereas fats with low IV have a relatively low concentration of peroxides at the start of rancidity (King et al., 1933). Moreover, although PN is not specified in the current BD fuel standards, it may affect cetane number (CN), a parameter that is regulated by the standards concerning BD fuel. Increasing PN increases CN, altering the ignition delay time. Saponification number (SN) is an index of the number of the fatty alkyl chains that can be saponified. The long chain fatty acids have a low SN because they have a relatively fewer number of carboxylic functional groups per mass unit of fat compared to short chain fatty acids. In most of the cases the experimental SN are lower than the ones calculated theoretically. This can be explained always considering the PN, indicating a high concentration of oxygen bound to the fatty alkyl chains. Oil Acidity (%wt) IV1 (gI2/ 100 g) PN2 (meqO2 /kg) SN3 (mg KOH/g) CN4 Fatty acids composition (%wt) animal fat (lard)* 5.87 51 2.3 199 62.3 n.d. soybean* 5.24 138 3.8 201 42.4 n.d. tobacco1 1.68 143 (149) 21.9 199 (202) 41.6 (39.8) C14:0 (2.0) C16:0 (8.3) C18:0 (1.5) C18:1 (12.0) C18:2 (75.3) C18:3 (0.6) C20:0 (0.1) C22:0 (0.2) sunflower* 3.79 126 3.7 199 45.4 n.d. WSO5 0.50 118 (129) 71.3 187 (200) 48.9 (44.6) C16:0 (6.9) C18:0 (0.9) C18:1 (40.1) C18:2 (50.9) C18:3 (0,3) C20:0 (0.1) C20:1 (0.4) C22:0 (0.4) palm 2.71 54.0 (53.0) 12.3 201 (208) 61.3 (60.6) 16:0 (43.9) 18:0 (5.6) 18:1 (40.5) 18:2 (8.6) WCO6 2.10 53.9 (50.7) 11.0 212 (196) 59.9 (62.7) C16:0 (38.8) C18:0 (4.1) C18:1 (47.9) C18:2 (4.2) WCO:CRO =3:1 2.12 69.0 (75.5) 30.1 200 (212) 58.1 (55.1) C16:0 (30.1) C18:0 (3.1) C18:1 (51.9) C18:2 (12.0) C18:3 (2.%) C20:0 (0.2) C22:0 (0.1) WCO:CRO =1:1 2.19 76.8 (90.7) 51.3 188 (203) 58.1 (52.8) C16:0 (21.5) C18:0 (2.1) C18:1 (55.8) C18:2 (14.7) C18:3 (5.1) C20:0 (0.8) C22:0 (0.1) WCO:CRO =1:3 2.24 84.5 (104) 62.4 177 (202) 58.1 (49.9) 14:0 (0.1) 16:0 (14.7) 16:1 (0.7) 18:0 (6.85) 18:1 (40.0) 18:2 (37.0) 18:3 (0.25) 20:0 (0.25) 22:0 (0.15) rapeseed (CRO7) 2.20 118 (123) 71.6 165 (200) 52.8 (45.9) C16:0 (4.1) C18:0 (0.1) C18:1 (63.7) C18:2 (20.2) C18:3 (10.2) C20:0 (1.5) C22:0 (0.2) rapeseed* 4.17-5.12 108 (107) 3.5 203 (200) 48.9 (49.5) C16:0 (7.6) C18:0 (1.3) C18:1 (64.5) C18:2 (23.7) C18:3 (2.4) C20:0 (0.5) Brassica juncea 0.74 109 (110) 178 (185) 52.4 (51.1) C16:0 (2.4) C18:0 (1.1) C18:1 (19.9) C18:2 (19.2) C18:3 (10.9) C20:0 (7.2) C20:1 (1.7) C22:0 (0.9) C22:1 (34.8) 24:0 (1.9) safflower 1.75 139 48.9 170 47.1 n.d. WCO: tobacco2 =1:1 4.34 119 (112) 56.0 191 (203) 48.1 (48.0) C16:0 (22.5) C18:0 (3.2) C18:1 (32.0) C18:2 (42.1) C18:3 (0.2) tobacco2 6.17 141 (151) 33.4 183 (201) 44.4 (39.5) C16:0 (8.7) C18:0 (1.6) C18:1 (12.8) C18:2 (76.0) C18:3 (0.7) C20:0 (0.1) C22:0 (0.1) 1Iodine value; 2Peroxide number; 3Saponification number; 4Cetane number; 5Winterized sunflower oil, 6Waste cooking oil; 7Crude rapeseed oil; * refined, commercial oils acidified with pure oleic acid up to the indicated value. Tab. 3.1. Results of the characterization of the oils. The results of the FFA esterification performed on the different oils are given in Fig. 3.1. Fig. 3.1. Results of the FFA esterification reaction on different oils. The dotted line represents a FFA concentration equal to 0.5%wt, i.e. the limit required by both the European and American directives on BD fuel and to perform the transesterification reaction avoiding excessive soaps formation. The FFA esterification method is able to lower the acidity of most of the oils using the ion exchange resins A46 and D5081 as catalysts in the adopted reaction conditions. High conversion was obtained with A15 at the first use of the catalyst, but then its catalytic activity drastically drops after each cycle. The total loss of activity was estimated to be around 30% within the 5 cycles (results not shown for the sake of brevity). A possible explanation concerning this loss of activity may be related to the adsorption of the H2O yielded by the esterification on the internal active sites, which makes them unavailable for catalysis. When H2O molecules are formed inside the pores, they are unable to give internal retro-diffusion due to their strong interaction with H+ sites and form an aqueous phase inside the pores. The formation of this phase prevents FFA from reaching internal active sites due to repulsive effects. What appears to influence the FFA conversion is the refinement degree of the oil. WCO is in fact harder to process in comparison to refined oils (Bianchi et al., 2010; Boffito et al., 2012c), probably due to its higher viscosity which results in limitations to the mass transfer of the reagents towards the catalyst. Indeed, the required acidity limit is not achieved within 6 hours of reaction. A FFA concentration lower than 0.5%wt is not achieved also in the case of WCO mixture 3:1 with CRO and 1:1 with tobacco oil and in the case of the second stock of tobacco oil (tobacco2). This is attributable to the very low quality of these feedstocks due to the waste nature of the oil itself, in the case of WCO, or to the poor conservation conditions in the case of tobacco oilseed. In this latter case, the low FFA conversion was also ascribed to the presence of phospholipids, responsible for the deactivation of the catalyst. BD yields ranging from 90.0 to 95.0 and from 95.0 to 99.9% were obtained from deacidified raw oils using KOH and NaOCH3 as a catalyst, respectively. In Fig. 3.2, the comparison between A46 and D5081 at different temperatures and in absence of drying pretreatment (wet catalyst) is displayed. As expected, D5081 performs better than A46 in all the adopted conditions. Nevertheless, the maximum conversion within a reaction time of 6 hours is not achieved by any of the catalysts both operating at 318 K and in the absence of drying pretreatment. A more detailed study on the FFA esterification of WCO and its blends with rapeseed oil and gasoline was carried out. In Tab. 3.2 a list of all the experiments performed with WCO is reported together with the FFA conversion achieved in each case, while in Fig. 3.3 the influence of the viscosity of the blends of WCO is shown. Fig. 3.2. Comparison between the catalysts. D5081 and A46 at a) different catalysts amounts and b) temperatures and treatments. The results show that Carberry reactor is unsuitable for FFA esterification since a good contact between reagents and catalyst is not achieved due to its confinement. A15 deactivated very rapidly, while A46 and D5081 maintained their excellent performance during all the cycles of use due to the reasons already highlighted previously. The blends of WCO and CRO show an increase of the reaction rate proportional to the content of the CRO, that is attributable to the decreases viscosity (Fig. 3.3), being all the blend characterized by the same initial acidity. Also the use of diesel as a solvent resulted in a beneficial effect for the FFA esterification reaction, contributing to the higher reaction rate. Feedstock %wtFFAt=0 Reactor Cat. gcat/100 goil gcat/100 g feedstock Number of cat. re-uses FFA conv. (%), 1st use, 6 hr 1 WCO 2.10 Carberry A15 3.3 3.3 6 15.4 2 WCO 2.10 slurry A15 10 10 6 71.7 3 WCO 2.10 Carberry A46 3.3 3.3 6 7.7 4 WCO 2.10 slurry A46 10 10 6 62.0 5 WCO 2.10 slurry D5081 10 10 6 63.7 6 CRO 2.20 slurry A46 10 10 10 95.9 7 CRO 2.20 slurry D5081 10 10 10 93.7 8 WCO 2.10 slurry A46 10 10 0 62.0 9 WCO 75 CRO 25 2.12 7.5 71.3 10 WCO 50 CRO 50 2.19 5.0 79.9 11 WCO 25 CRO 75 2.24 2.5 86.1 12 CRO 2.20 10 95.9 13 WCO 75 DIESEL 25 1.74 7.5 76.8 14 WCO 50 DIESEL 50 1.17 5.0 58.7 15 WCO 25 DIESEL 75 0.65 2.5 40.4 16 WCO 25 DIESEL 75 (higher FFA input) 2.44 2.5 63.5 Tab. 3.2. Experiments performed with waste cooking oil. . Fig. 3.3. FFA conversions and viscosities of the blend of WCO with rapeseed oil. 3.2. Sulphated inorganic oxides as catalysts for the free fatty acid esterification: conventional and ultrasound assisted synthesis Conventional syntheses In Tab. 3.3, the list of all the catalyst synthesized with conventional techniques is reported together with the results of the characterization. Catalyst Composition Prep. method precursors T calc. SSA (m2g-1) Vp (cm3g-1) meq H+g-1 1 SZ1 SO42-/ZrO2 one-pot sol-gel ZTNP1, (NH4)2SO4 893 K O2 107 0.09 0.90 2a SZ2a SO42-/ZrO2 two-pots sol-gel ZTNP, H2SO4 893 K 102 0.10 0.11 2b SZ2b SO42-/ZrO2 two-pots sol-gel ZTNP, H2SO4 653 K 110 0.10 0.12 3 SZ3 SO42-/ZrO2 Physical mixing ZrOCl2.8H2O (NH4)2SO4 873 K 81 0.11 1.3 4 SZ4 Zr(SO4)2/SiO2 Impregnation Zr(SO4)2.4H2O SiO2 873 K 331 0.08 1.4 5 SZ5 Zr(SO4)2/Al2O3 Impregnation Zr(SO4)2.4H2O Al2O3 873 K 151 0.09 0.67 6 ZS Zr(SO4)2.4H2O (commercial) - - - 13 0.12 9.6 7 STTO_0 SO42-/SnO2 Physical mixing + impregnation SnO2 TiO2 P25 H2SO4 773 K 16.8 0.10 3.15 8 STTO_5 SO42-/95%SnO2-5%TiO2 773 K 15.9 0.11 3.43 9 STTO_10 SO42-/ 90%SnO2-10%TiO2 773 K 16.5 0.09 5.07 10 STTO_15 SO42-/ 85%SnO2-15%TiO2 773 K 14.9 0.11 7.13 11 STTO_20 SO42-/ 80%SnO2-20%TiO2 773 K 16.9 0.09 7.33 Tab. 3.3. Sulphated inorganic catalysts synthesized with conventional techniques. The FFA conversions of the sulphated Zr-based systems are provided in Fig. 3.4a and show that Zr-based sulphated systems do not provide a satisfactory performance in the FFA esterification, probably due to their low acid sites concentration related to their high SSA. Even if catalysts such as SZ3 and SZ4 exhibit higher acidity compared to other catalysts, it is essential that this acidity is located mainly on the catalyst surface to be effectively reached by the FFA molecules, as in the case of ZS. In Figure 3.4b, the results of the FFA esterification tests of the sulphated Sn-Ti systems are shown. Other conditions being equal, these catalysts perform better than the sulphated Zr-based systems just described. This is more likely due to the higher acidity along with a lower surface area. With increasing the TiO2 content, the acidity increases as well. This might be ascribable to the charge imbalance resulting from the heteroatoms linkage for the generation of acid centres, (Kataota and Dumesic, 1988). As a consequence, the activity increases with the TiO2 content along with the acidity of the samples. For the sake of clarity, in Fig. 3.4c the FFA esterification conversion is represented as a function of the number of active sites per unit of surface area of the samples. Ultrasound- assisted synthesis In Tab. 3.4, the list of all the catalyst synthesized with conventional techniques is reported together with the results of the characterization. Samples SZ and SZT refer to catalysts obtained with traditional sol-gel method, while samples termed USZT refer to US-obtained sulphated 80%ZrO2-20%TiO2. The name is followed by the US power, by the length of US pulses and by the molar ratio of water over precursors. For example, USZT_40_0.1_30 indicates a sample obtained with 40% of the maximum US power, on for 0.1 seconds (pulse length) and off for 0.9 seconds, using a water/ZTNP+TTIP molar ratio equal to 30. SZT was also calcined at 773 K for 6 hours, employing the same heating rate. This sample is reported as SZT_773_6h in entry 2a. Further details about the preparation can be found in a recent study (Boffito et al., 2012b). Entry Catalyst Acid capacity (meq H+/g) SSA (m2g-1) Vp (cm3g-1) Ave. BJH Dp (nm) Zr:Ti weight ratio S/(Zr+Ti) atomic ratio 1 SZ 0.30 107 0.20 6.0 100 0.090 2 SZT 0.79 152 0.19 5.0 79:21 0.085 2a SZT_773_6h 0.21 131 0.20 5.0 n.d.1 n.d 3 USZT_20_1_30 0.92 41.7 0.12 12.5 80:20 0.095 4 USZT_40_0.1_30 1.03 47.9 0.11 9.5 81:19 0.067 5 USZT_40_0.3_30 1.99 232 0.27 4.5 81:19 0.11 6 USZT_40_0.5_7.5 1.70 210 0.20 5.0 78:22 0.086 7 USZT_40_0.5_15 2.02 220 0.20 5.0 80:20 0.13 8 USZT_40_0.5_30 2.17 153 0.20 5.0 78:22 0.12 9 USZT_40_0.5_60 0.36 28.1 0.10 10 79:21 0.092 10 USZT_40_0.7_30 1.86 151 0.16 5.0 78:22 0.11 11 USZT_40_1_15 3.06 211 0.09 7.0 80:20 0.15 12 USZT_40_1_30 1.56 44.1 0.09 7.0 80:20 0.17 Tab. 3.4. Sulphated inorganic Zr-Ti systems synthesized with ultrasound-assisted sol-gel technique. Some of the results of the characterizations are displayed in Tab. 3.4. The results of the catalytic tests are shown in Fig. 3.5 a, b and c. In Fig. 3.5a and 3.5b the FFA conversions are reported for the samples synthesized using the same or different H2O/precursors ratio, respectively. Fig. 3.5. FFA conversions of sulphated inorganic Zr-Ti systems synthesized with ultrasound-assisted sol-gel for a) the same amount of H2O, b) different amount of H2O used in the sol-gel synthesis, c) in function of the meq of H+/g of catalyst Both the addition of TiO2 and the use of US during the synthesis are able to improve the properties of the catalysts and therefore the catalytic performance in the FFA esterification. The addition of TiO2 is able to increase the Brønsted acidity and, as a consequence, the catalytic activity (compare entries 1 and 2 in Tab. 3.4). The improvement in the properties of the catalysts due the use of US is probably caused by the effects generated by acoustic cavitation. Acoustic cavitation is the growth of bubble nuclei followed by the implosive collapse of bubbles in solution as a consequence of the applied sound field. This collapse generates transient hot-spots with local temperatures and pressures of several thousand K and hundreds of atmospheres, respectively (Sehgal et al., 1979). Very high speed jets (up to 100 m/s) are also formed. As documented by Suslick and Doktycz (Suslick and Doktycz, 1990), in the presence of an extended surface, such as the surface of a catalyst, the formation of the bubbles occurs at the liquid-solid interface and, as a consequence of their implosion, the high speed jets are directed towards the surface. The use of sonication in the synthesis of catalysts can therefore improve the nucleation production rate (i.e. sol-gel reaction production rate) and the production of surface defects and deformations with the formation of brittle powders (Suslick and Doktycz, 1990). For the samples obtained with the US pulses with on/off ratio from 0.3/0.7 on, the conversion does not increase much more compared to the one achieved with the sample obtained via traditional sol-gel synthesis. Their conversion is in fact comparable (see samples USZ_40_0.3_30, USZ_40_0.5_30, USZ_40_0.7_30 and SZT in Fig. 3.5a. The similarity in the catalytic performance of these catalysts may be ascribable to the fact that they are characterized by comparable values of SSA (entries 2, 5, 8, 10 in Tab. 3.4) and, in the case of the catalysts obtained with pulses, also by comparable acidities (entries 5, 8, 10 in Tab. 3.4). A high SSA may in fact be disadvantageous for the catalysis of the reaction here studied for the reasons already highlighted in the previous sections. The best catalytic performance is reached by the sample USZT_40_1_30, i.e. the one obtained using continuous US at higher power. This catalyst results in fact in a doubled catalytic activity with respect to the samples prepared either with the traditional synthesis or with the use of pulsed US. In spite the acidity of this catalyst is lower than that of the samples obtained with the US pulses, it is characterized by a rather low surface area (entry 12 in Tab. 3.4) that can be associated with a localization of the active sites mainly on its outer surface. As evidenced by the FTIR measurements (not reported for the sake of brevity), it is also important to highlight, that only in the case of the USZT_40_1_30 sample, a not negligible number of medium-strong Lewis acid sites is present at the surface, together with a high number of strong Brønsted acid centres. The XRD patterns of the samples were typical of amorphous systems, due to the low calcination temperatures. Samples calcined for a long time (SZT_773_6h) exhibit almost no catalytic activity (results not reported for the sake of brevity). This catalytic behaviour might be ascribable to the loss of part of the sulphates occurred during the calcinations step that result also in a very low acid capacity (see Tab. 3.4). For the sake of clarity, in Fig. 3.5c the FFA conversions as a function of the concentration of the acid sites normalized to the surface area are reported for the most significant samples. For what concerns how the water/precursors ratio affects the catalysts acidity, some general observations can be made: increasing it up to a certain amount increases the H+ concentration (compare entries from 6 to 9 and 11 to 12 in Tab. 3.4) because the rate of the hydrolysis and the number of H2O molecules that can be chemically bounded increases. Nevertheless, increasing the water/precursor ratio over a certain amount (30 for pulsed and 15 for continuous US, entries 8 and 11 in Tab. 3.4, respectively), seems to have a negative effect on the acidity concentration. In fact, the risk of the extraction of acid groups by the excess of water increases as well and the US power density decreases. 3.3 Sonochemically-assisted esterification and transesterification Esterification In Tab. 3.5 a list of the sonochemically-assisted esterification experiments is displayed together with the final acidities achieved after 4 hours of reaction. The reactor used for these experiments, provided with both an US horn (20 kHz) and a MW emitter (2450 MHz) is described elsewhere in detail (Ragaini et al., 2012). Standard calorimetric measurements were carried out to measure the actual emitted power (Suslick and Lorimer, 1989). Considering entries from 1 to 6 (rapeseed oil with high acidity), a final acidity lower than 0.5%wt is achieved within 4 hours operating at the conventional temperature of 336 K with all the methods, while this does not happen operating at lower temperatures. In particular, the lowest acidity is achieved at 336 K with MW. Considering entries from 7 to 12, inherent to the raw tobacco oilseed, final acidities lower than 0.5%wt are achieved only with the use of US. It is remarkable that at the temperature of 293 K the FFA esterification reaction rate results 6X faster than the conventional process at the same temperature. In the case of the rapeseed oil with low acidity (entries from 13 to 20), the use of MW increases the FFA conversion at 293 K and 313 K but not at 336 K. Moreover, the higher the applied power, the higher the FFA conversion. Oil Initial acidity (%wt) Cat. Technique Temp. (K) Emitted power (W) Tthermostat (K) Final acidity (%wt), 4 hr 1 Rapeseed oil (5)* 4.2-5.0 A46 conventional 313 - 315 1.18 2 336 338 0.50 3 ultrasound 313 38.5 293 0.55 4 336 313 0.48 5 microwaves 313 61.4 293 0.69 6 336 313 0.32 7 Tobacco 1.17 A46 conventional 293 - 293 0.97 8 313 315 0.55 9 336 338 0.45 10 ultrasound 293 38.5 277 0.48 11 313 293 0.46 12 336 313 0.30 13 Rapeseed oil (2)* 2.0-2.3 D5081 conventional 293 - 277 0.82 14 313 315 0.44 15 336 338 0.25 16 microwaves 293 31.7 277 0.73 17 313 31.7 293 0.34 18 61.4 293 0.37 19 336 31.7 313 0.29 20 61.4 313 0.25 Tab. 3.5. Sonochemically-assisted esterification experiments. The positive effects of acoustic-cavitation in liquid-solid systems are ascribable to the asymmetric collapse of the bubbles in the vicinity of the solid surface. When a cavitation bubble collapses violently near a solid surface, liquid jets are produced and high-speed jets of liquid are driven into the surface of a particle. These jets and shock waves improve both the liquid–solid and liquid-liquid mass transfer (Mason and Lorimer, 1988). MW is considered as a non-conventional heating system: when MW pass through a material with a dipole moment, the molecules composing the material try to align with the electric field (Mingos et al., 1997). Polar molecules have stronger interactions with the electric field. Polar ends of the molecules tend in fact to align themselves and oscillate in step with the oscillating electric field. Collisions and friction between the moving molecules results in heating (Toukoniitty et al., 2005). The increase of the FFA conversion as the power increases may be attributed to the fact that more power is delivered to the system and, therefore, the enhanced temperature effects caused by electromagnetic irradiation are increased with respect to lower powers. Differently the reason why a too high power was detrimental at the temperature of 336 K could be accounted for by two factors: i) the acoustic cavitation is enhanced at lower temperatures due to the higher amount of gas dissolved; ii) possible generation of too high temperatures inside the reaction medium that could have caused the removal of methanol from the system through constant evaporation or pyrolysis. Transesterification Transesterification experiments were performed on rapeseed oil both in batch and continuous mode. For the batch experiments two kinds of reactors were used: a traditional reaction vessel and a Rosett cell reactor, both with two ultrasound horns with different tip diameters (13 and 20 mm), and operating powers. A Rosett cell is a reactor designed to promote hydrodynamic cavitation through its typical loops placed at the bottom of vessel. Sonicators used in this work were provided by Synetude Company (Chambery, France). In Fig. 3.6, results from the conventional and the US-assisted batch experiments are compared. The US methods allows to attain very high yields in much shorter times than the traditional method and using less reagents (see Tab. 2.3) in just one step. The beneficial effects given by the US are attributable to the generation of acoustic cavitation inside the reaction medium leading to the phenomena already described in the case of esterification reaction. In particular, with the use of the Rosett cell reactor, BD yields of 96.5% (dotted lined) are achieved after 10 minutes of reaction. This is likely due to the combined approach exploiting acoustic cavitation along with hydrodynamic cavitation, which is able to provide a very efficient mixing inside the system. The use of the Rosett cell reactor provided transesterification reaction rates up to 15X faster than the conventional process. Continuous experiments were performed using two tubular reactors with different volumes (0.070 L at 35 KHz and 0.700 L at 20 kHz) and different US powers (19.3 and 68.3 W, respectively). The volume of the treated reagents was varied to obtain the same power density in both the reactors. Results are presented in Fig. 3.7. BD yields higher than 96.5% were obtained in the case of the small reactor within a reaction time of ~5 minutes. It is remarkable that BD yields higher than 90% were obtained using pulsed US (2 seconds on, 2 seconds off) after only 18 seconds, corresponding to just one passage in the reactor. In this case the transesterification reaction rate was 300X faster than the conventional process. The beneficial effects of pulses for the reactivity of the transesterification have been extensively reported (Chand et al., 2010; Kumar et al., 2010). In particular, as reported by Chand, when pulses are adopted, excessive heating of the reaction medium is not promoted, so preventing the loss of the gases dissolved in the system that are necessary for the acoustic cavitation to occur. Moreover, excessive heating during the transesterification reaction might lead to evaporation followed by pyrolysis of methanol and its subsequent removal from the reaction environment. 4. Conclusions As a conclusion to this work, some final remarks can be claimed: Feedstocks with a high potential for biodiesel (BD) production are Brassica juncea oilseed, which can be used as feedstock for BD100, Carthamus tinctorus, tobacco, animal fat and waste cooking oil to be used in BD blends with other oils or in diesel blends. However, blending different oils among them or with diesel already during the free fatty acids (FFA) esterification reaction may increase the reaction rate due to the lowered viscosity. Free fatty acids esterification over acid ion exchange resins in slurry reactors remains the preferred method of oils deacidification due to the optimal contact between the reagents and the catalyst and the good durability over time. The final high BD yields obtained for the oils de-acidified with the pre-esterification method over sulphonic ion exchange resins demonstrate its effectiveness in lowering the acidity and the possibility of obtaining high quality biodiesel from the selected feedstocks. Surface acidity and specific surface area of sulphated inorganic systems can be increased by both adding TiO2 and using ultrasound (US) in precise experimental conditions to assist the sol-gel synthesis of the catalysts. Changing the experimental conditions of US during the sol-gel synthesis makes also possible to tune the properties of the catalysts. In spite of not satisfying FFA conversions were obtained, US-assisted sol-gel synthesis turns out to be an extremely interesting method to obtain catalysts with high acidity and surface area. Both US and microwaves (MW) enhanced the FFA esterification reaction rate at temperatures lower than the one used conventionally (336 K). The positive effects of US are attributable to the phenomena generated inside the reaction medium by the acoustic cavitation, while MW are able to generate temperature effects localized in the proximity of the catalyst surface and to increase MeOH-oil solubility. US-assisted transesterification reaction is much faster than conventional transesterification: BD yields higher than 96.5% were achieved in most of the cases within 10 minutes of reaction, whereas the conventional method requires 150 minutes, besides higher reagents amount and higher temperatures. 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Mit der Verabschiedung der Agenda 2030 wurden im Jahr 2015 siebzehn Ziele für eine nachhaltige Entwicklung, die sogenannten Sustainable Development Goals (SDGs), festgelegt. Da die SDGs auf alle Ebenen der Regierung anwendbar sind, bilden diese Ziele auch für Kommunen einen wichtigen Rahmen zur Orientierung. Eine nachhaltige Entwicklung gewinnt somit auch auf kommunaler Ebene zunehmend an Bedeutung. Dies zeigt sich unter anderem anhand des Engagements, das in vielen Kommunen zu erkennen ist. Durch die SDGs haben auch Kommunen einen strategischen Orientierungsrahmen und können konkrete Ziele und Maßnahmen leichter festlegen. Nachhaltigkeit kann somit vor Ort wirkungsvoller in die Realität umgesetzt werden.Effektiver Klimaschutz und Nachhaltigkeitsmanagement auf kommunaler Ebene ist essenziell. Neben dem notwendigen Beitrag zur nationalen und internationalen nachhaltigen Entwicklung können Kommunen klare Vorteile aus einer Nachhaltigkeitsstrategie ziehen: Beispielsweise können Gebäude energieeffizienter gebaut und genutzt und das Verkehrssystem kann effizienter und umweltfreundlicher gestaltet werden und gleichzeitig die CO2-Belastung und Verkehrsdichte im urbanen Raum reduzieren. Was zum Klimaschutz beiträgt, kann demnach gleichzeitig die Attraktivität von Kommunen steigern. Des Weiteren schützen sich Kommunen so vor Wetterextremen und können sich an den Klimawandel anpassen.Nach wie vor bestehen Unterschiede. Während einige Kommunen bereits seit mehreren Jahrzehnten an einer möglichst nachhaltigen Stadtentwicklung arbeiten und bereits viele Erfahrungen sammeln und Erkenntnisse gewinnen konnten, haben andere Städte vergleichsweise spät damit begonnen. Weiterhin schlagen Kommunen teils sehr unterschiedliche Wege ein, um die festgelegten Nachhaltigkeitsziele zu verwirklichen. Dies kann beispielsweise an den örtlichen Gegebenheiten oder an unterschiedlichen Ziel- und Schwerpunktsetzungen liegen. Übergeordnet stellen sich die Fragen, wieso gerade auf kommunaler Ebene viel für den Klimaschutz und Nachhaltigkeit getan werden muss und seit wann dies konkrete Formen annimmt.Ziel dieser Ausarbeitung ist es, zwei europäische Großstädte bezüglich ihrer bisherigen Nachhaltigkeitsentwicklung zu untersuchen. Die Schwerpunktsetzung liegt dabei sowohl beim Bereich Mobilität als auch bei ausgewählten Maßnahmen im Bereich einer nachhaltigen Stadtplanung. Weitere Aspekte werden bei Bedarf hinzugezogen. Ein Vergleich zwischen beiden Städten soll anschließend erfolgen. Bei diesem Vergleich müssen die Besonderheiten der jeweiligen Stadt berücksichtigt werden. Auch wenn nicht alle Parameter berücksichtigt werden können und ein direkter Vergleich möglicherweise nicht in allen Bereichen zielführend ist, können dadurch Erkenntnisse, beispielsweise bezüglich des Fortschritts der jeweiligen Stadt, gewonnen werden.Bei den zu untersuchenden Kommunen handelt es sich um Kopenhagen und München. Beide Städte weisen unterschiedliche Ausgangslagen, Besonderheiten und geografische Gegebenheiten auf, was darauf schließen lässt, dass divergente Befunde auftreten. Dies macht einen Vergleich interessanter und aufschlussreicher als beispielsweise einen Vergleich auf nationaler Ebene. Es handelt sich um internationale Städte innerhalb der Europäischen Union. Weiterhin sind beide Städte Großstädte, die ihre jeweilige Region prägen. Trotz der verschiedenen Gegebenheiten werden dabei exemplarisch ähnliche Bereiche beleuchtet. Dies soll die Vergleichbarkeit gewährleisten. Neben der Mobilität werden die Bereiche der Energieversorgung und Extremwetter- beziehungsweise Klimaanpassung beleuchtet.Bevor die Kommunen untersucht werden, werden im Vorgriff die für diese Ausarbeitung notwendigen Grundlagen thematisiert. Hier werden zentrale Elemente untersucht, zum Beispiel, wie Nachhaltigkeit definiert wird, welche Rolle eine nachhaltige Stadt spielt, was eine nachhaltige Stadt ausmacht und wie der urbane Raum überhaupt zentral für internationale Klimaschutz- und Nachhaltigkeitsbestrebungen werden konnte. Da es sich hierbei um zentrale Aspekte handelt, die es auf dem Weg zu einer nachhaltigen Stadtentwicklung zu verstehen gilt, fällt dieser Teil verhältnismäßig umfangreich aus.GrundlagenIn diesem Kapitel werden relevante Grundlagen betrachtet. Dazu gehört neben Grundbegriffen und Faktoren, die sich auf nachhaltige Mobilität und Stadtplanung beziehen, ein kurzer Überblick, der beschreibt, wie das Thema Nachhaltigkeit historisch betrachtet für die kommunale Ebene relevant wurde. Darüber hinaus muss der Begriff Nachhaltigkeit vorab definiert werden, womit nachfolgend begonnen wird.Begriff NachhaltigkeitDer Begriff Nachhaltigkeit existiert seit mehr als drei Jahrhunderten und wurde ursprünglich in der Forstwirtschaft verwendet. Nachhaltigkeit stammt aus einem Bereich, in dem ressourcenschonendendes Wirtschaften äußerst relevant ist. Bezeichnend für das damalige Verständnis von Nachhaltigkeit ist die Vorgabe, innerhalb eines Jahres nicht mehr Holz zu fällen, als in derselben Zeitspanne nachwachsen kann (vgl. Weinsziehr/Verhoog/Bruckner 2014, S. 3). Die Forstwirtschaft arbeitete demzufolge dann nachhaltig, wenn der Verbrauch der Ressourcen und somit die Abholzung die Menge des nachwachsenden Holzes nicht übersteigt. Die heutige Auffassung von Nachhaltigkeit ist mit diesem Ursprungsgedanken eng verknüpft. Dies zeigt sich auch anhand der folgenden Definition:"Nachhaltigkeit oder nachhaltige Entwicklung bedeutet, die Bedürfnisse der Gegenwart so zu befriedigen, dass die Möglichkeiten zukünftiger Generationen nicht eingeschränkt werden" (vgl. Bundesministerium für wirtschaftliche Zusammenarbeit und Entwicklung 2023c, o.S.).In der heutigen Zeit bezieht sich der Begriff Nachhaltigkeit jedoch auf alle Wirtschaftsbereiche und beinhaltet einen weiteren Aspekt, die sogenannte "Triple Bottom Line" (TBL), welche drei Dimensionen einer nachhaltigen Entwicklung benennt (vgl. Weinsziehr/Verhoog/Bruckner 2014, S. 3f.): Die wirtschaftliche Effizienz, die soziale Gerechtigkeit und die ökologische Tragfähigkeit müssen gleichberechtigt betrachtet werden, und möglichst alle politischen Entscheidungen sollten Nachhaltigkeit als Grundlage beinhalten (vgl. Bundesministerium für wirtschaftliche Zusammenarbeit und Entwicklung 2023c, o.S.).Der Begriff Nachhaltigkeit wird heute teilweise inflationär verwendet (vgl. Aden 2012, S. 15). Im weiteren Verlauf dieser Arbeit spielt vor allem das Verständnis einer nachhaltigen Entwicklung eine Rolle, was wie folgt definiert werden kann:"Politik und menschliches Verhalten sollen sich an der langfristigen Erhaltung der Lebensgrundlagen orientieren" (ebd., S. 15).Nachhaltige Stadt: Eine ArbeitsdefinitionEs gilt, eine adäquate Arbeitsdefinition von Nachhaltigkeit im Sinne einer nachhaltigen Stadtentwicklung zu formulieren. Ziel dieser Arbeit ist es, vor allem den Bereich Mobilität innerhalb von München und Kopenhagen zu beleuchten. Nachhaltigkeit im weiteren Verlauf bezieht sich somit vermehrt auf eine ressourcenschonende und emissionsarme Verkehrsplanung. Neben der Verkehrsplanung sind jedoch weitere Elemente interessant. Eine in der Gesamtheit nachhaltige Stadt lässt sich wie folgt definieren:" […] ein gut ausgebautes Netz des Öffentlichen Personennahverkehrs, eine regelmäßige Müllentsorgung sowie architektonische Innovationen, die es der städtischen Bevölkerung erlauben, einen nachhaltigen Lebensstil zu pflegen" (Bildung für nachhaltige Entwicklung 2023, o.S.).Ein nachhaltiger Lebensstil wiederum bedeutet, dass Menschen durch ihren eigenen Lebensstil und den Verbrauch ihrer Ressourcen nachfolgenden Generationen dieselben Möglichkeiten bieten (vgl. Aachener Stiftung Kathy Beys 2015, o.S.). Eine nachhaltige Stadt ist gleichzeitig eine für ihre Bewohner:innen ansprechende Stadt, die eine saubere Umwelt, ein intaktes Verkehrssystem, erschwingliche Energie und ein gutes gesellschaftliches Miteinander gewährleistet (vgl. Dütz 2017, S. 15).Eine nachhaltige Stadtentwicklung kann somit eine Vielzahl verschiedener Themenbereiche beinhalten (vgl. Firmhofer 2018, S. 10). Aufgeteilt in zwei Oberbereiche muss sich eine Stadt bezogen auf die städtische Infrastruktur und auf das städtische Leben verändern. Die städtische Infrastruktur beinhaltet zum Beispiel das Transportwesen sowie die Energie- und Wasserversorgung. Das städtische Leben enthält unter anderem wohnliche, arbeitstechnische, soziale und kulturelle Elemente (vgl. ebd., S. 10). Der Begriff Stadtentwicklung selbst bezeichnet"die Steuerung der Gesamtentwicklung von Städten und Gemeinden und erfordert eine integrierte und zukunftsgerichtete Herangehensweise, die durch Stadtplanung […] umgesetzt wird" (Koch/Krellenberg 2021, S. 19).Folgende Handlungsfelder sind besonders relevant für eine nachhaltige Stadtentwicklung: Die Dekarbonisierung, die Förderung möglichst umweltfreundlicher Mobilität, das Ziel einer baulich und räumlich kompakten sowie sozial durchmischten Stadt, die Klimawandelanpassung und die Bekämpfung von Armut (vgl. ebd., S. 22).Diese Eingrenzung dient als Fokus dieser Ausarbeitung. Das Augenmerk liegt neben der städtischen Verkehrsinfrastruktur auf weiteren ausgewählten Aspekten, beispielsweise auf der Energieversorgung und baulichen Maßnahmen. Diese Aspekte werden hinsichtlich der Frage betrachtet, ob und in welchem Maße die städtische Bevölkerung dadurch einen nachhaltigen Lebensstil erreichen kann. Somit ist ebenso das städtische Leben relevant.Entwicklung nachhaltiger KlimaschutzzieleUm zu verstehen, wie sich ein Nachhaltigkeitskonzept auf kommunaler Ebene entwickeln konnte, wird ein historischer Überblick gegeben, der die Entwicklung nachhaltiger Klimaschutzziele von der globalen bis hin zur kommunalen Ebene zusammenfasst. Dabei werden vor allem relevante Eckpunkte benannt.Im Jahr 1997 wurde das Kyoto-Protokoll beschlossen und trat acht Jahre später in Kraft. Durch diese Vereinbarung verpflichteten sich die meisten Industriestaaten inklusive der damaligen EU-Mitgliedsstaaten dazu, die Emissionen von bestimmten Treibhausgasen innerhalb von vier Jahren um mindestens fünf Prozent, verglichen mit dem Jahr 1990, zu senken (vgl. Eppler 2023, o.S.).Im Jahr 2000 verständigten sich die Vereinten Nationen (UN) auf die Millennium Development Goals (MDGs) (vgl. Koch/Krellenberg 2021, S. 6). Durch diese Erklärung verpflichteten sich die Staats- und Regierungschefs der jeweiligen Staaten neben der Bekämpfung von Armut, Hunger und Krankheiten auch gegen Umweltzerstörung vorzugehen. Um die Fortschritte messbar zu machen, wurden Zielvorgaben für das Jahr 2015 formuliert (vgl. Weltgesundheitsorganisation 2018, o.S.). Der Fokus lag auf der supranationalen, also auf der überstaatlichen Ebene. Eine nachhaltige Stadtentwicklung stand nicht im Fokus, war durch einige Zielformulierungen dennoch indirekt betroffen (vgl. Koch/Krellenberg 2021, S. 6).Im Jahr 2009 fand die Weltklimakonferenz in Kopenhagen statt. Das Ziel, die Erderwärmung auf weniger als zwei Grad Celsius im Vergleich zum vorindustriellen Niveau zu begrenzen, wurde als Absichtsziel erklärt, jedoch fehlten verpflichtende Regelungen (vgl. Schellnhuber u. a. 2010, S. 5). Der festgelegte Wert von zwei Grad Celsius kommt durch die Wissenschaft zustande. Diese geht davon aus, dass dieser Wert nicht überschritten werden darf, um drastische Konsequenzen zu vermeiden (vgl. Buhofer 2018, S. 83).Mit dem Pariser Klimaabkommen wurde das Zwei-Grad-Celsius-Ziel festgelegt (vgl. Edenhofer/Jakob 2017, S. 39). Dieses Mal handelt es sich um ein völkerrechtlich bindendes Abkommen, welches das Kyoto-Protokoll ablöste und zur Erreichung der Eckpunkte verstärkt die kommunale Ebene miteinbezieht (vgl. Landeszentrale für politische Bildung Baden-Württemberg 2023, o.S.). Weitere Ziele des Pariser Klimaabkommens, das Ende 2016 in Kraft trat, sind die Senkung von Emissionen und die Klimawandelanpassung (vgl. Watjer 2023, o.S.). Nationale Klimaschutzkonzepte sind in der Regel als Folge des Pariser Klimaabkommens entstanden (vgl. ebd. 2023, o.S.). Die Vereinten Nationen brachten im Jahr 2015 die Agenda 2030 auf den Weg, die klare Ziele für eine nachhaltige Entwicklung benennt (vgl. Koch/Krellenberg 2021, S. 7).Agenda 2030 und die Sustainable Development Goals"Transforming our world" (Koch/Krellenberg 2021, S. 6) - diese Formulierung verdeutlicht die ambitionierten Ziele, die mit der Agenda 2030 durch die Ziele für nachhaltige Entwicklung, die Sustainable Development Goals (SDGs) festgelegt wurden. Die Agenda 2030 ist für alle Mitgliedsstaaten der Vereinten Nationen gültig. Kern der Agenda ist das Ziel einer nachhaltigen globalen Entwicklung auf allen dazugehörigen Ebenen, was durch die 17 Ziele erreicht werden soll (vgl. Bundesministerium für wirtschaftliche Zusammenarbeit und Entwicklung 2023a, o.S.). Diese Ziele ergänzen sich gegenseitig, haben den gleichen Stellenwert und beinhalten jeweils zwischen acht und zwölf Unterziele (vgl. Koch/Krellenberg 2021, S. 9). Auch wenn die Agenda 2030 von allen UN-Mitgliedsstaaten beschlossen wurde, ist diese rechtlich nicht bindend, was ebenfalls für die SDGs gilt (vgl. ebd. 2021, S. 12).Im Vergleich zu den MDG-Zielen sind die SDG-Zielsetzungen umfangreich formuliert und mit SDG-Ziel elf wird erstmals die regionale und lokale Ebene in den Blickpunkt genommen. Dieses Ziel betrachtet ausdrücklich die Entwicklung von Städten und Gemeinden mit dem Anspruch, diese neben einer nachhaltigen Gestaltung sicherer, inklusiver und widerstandsfähig zu gestalten (vgl. Koch/Krellenberg 2021, S. 7f.).Nachfolgend werden die wichtigsten Unterziele dargestellt. Neben der Sicherung von bezahlbarem Wohnraum soll das Verkehrssystem nachhaltig, sicher, zugänglich und bezahlbar ausgebaut werden (vgl. Vereinte Nationen 2023b, S. 24). Siedlungspläne sollen auf eine nachhaltige Entwicklung ausgerichtet werden (vgl. ebd., S. 24). Ziel hierbei ist es, die Verstädterung bis 2030 nachhaltiger und inklusiver zu organisieren. Ebenfalls bis 2030 soll die Zahl der durch Klimakatastrophen bedingten Todesfälle und Betroffenen deutlich gesenkt werden (vgl. Koch/Krellenberg 2021, S. 10). Von Städten ausgehende schädliche Umweltauswirkungen sollen verringert, die Luftqualität verbessert und Grünflächen als öffentliche Räume geschaffen und inklusiv, also für alle Menschen, zugänglich gemacht werden (vgl. Vereinte Nationen 2023b, S. 24).Weitere SDGs lassen sich nur durch städtische Maßnahmen verwirklichen und sind daher eng mit der urbanen Entwicklung verbunden. Ein Beispiel ist SDG 7, das auf nachhaltige beziehungsweise erneuerbare Energien fokussiert ist und nicht entkoppelt von der zukünftigen Energieversorgung in den Städten betrachtet werden kann (vgl. Koch/Krellenberg 2021, S. 11).Durch die Festlegung dieser Ziele ist Nachhaltigkeit ein zentraler Aspekt der Städteplanung und -entwicklung. Städte stehen somit spätestens seit der Agenda 2030 auch formell vor großen Herausforderungen und Transformationsprozessen. Die Zuspitzung von Umweltkatastrophen und Extremwetterereignissen zeigt, dass Städte darüber hinaus dazu gezwungen sind, Klimaanpassungsmaßnahmen und eine nachhaltige Stadtentwicklung zügig umzusetzen.Klimaschutz in der Europäischen Union, in Deutschland und in DänemarkWas haben diese internationalen Abkommen bewirkt? Da München und Kopenhagen im Fokus dieser Ausarbeitung stehen, müssen diese Städte betreffende Beschlüsse bezüglich der gesetzten Ziele einer nachhaltigen Stadtentwicklung auf weiteren Ebenen betrachtet werden. Trotz der Ähnlichkeit der festgelegten Klimaschutzprogramme in der EU, in Dänemark und in Deutschland, werden diese separat zusammengefasst. Im Jahr 2007 betrug der Anteil der EU an globalen CO2-Emissionen ein Sechstel und der Anteil der Treibhausgasemissionen der Industrieländer ein Fünftel (vgl. Dröge 2007, S. 2). Dies untermauert den Handlungsbedarf.Das Klimaschutzprogramm der aktuellen Fassung des deutschen Klimaschutzgesetzes hat an den ehrgeizigen Zielen nichts geändert. Nach wie vor soll Deutschland bis 2045 treibhausgasneutral sein und den Ausstoß von Treibhausgasen bereits bis 2030 um 65 Prozent gesenkt haben (vgl. Presse- und Informationsamt der Bundesregierung 2023, o.S.).Dänemark hat eine Klimastrategie vorgelegt und sich das Ziel gesetzt, eine Vorreiterrolle einzunehmen. Bis 2030 will Dänemark seine Treibhausgasemissionen um 70 Prozent senken. Klimaneutralität soll bis 2050 erreicht sein (vgl. Außenministerium Dänemark 2020, S. 27). Ebenso will Dänemark dazu beitragen, die globalen Anstrengungen voranzutreiben. Hierfür soll mit anderen Ländern und mit nichtstaatlichen Akteur:innen zusammengearbeitet werden (vgl. Außenministerium Dänemark 2020, S. 6).Auf EU-Ebene sind die Zielsetzungen ähnlich, was sich durch den "Green Deal" der EU zeigt. Demzufolge sollen die Netto-Treibhausgasemissionen bis 2030 um 55 Prozent reduziert werden, bis 2050 soll Treibhausgasneutralität herrschen (vgl. Europäische Kommission 2023, o.S.). Ziel ist es, durch diesen europäischen "Grünen Deal" der erste klimaneutrale Kontinent zu werden und dementsprechend die Verpflichtungen umzusetzen, die sich aus dem Pariser Klimaabkommen ergeben (vgl. Europarat 2023, o.S.). Folglich sind die Ziele von Deutschland und Dänemark bezüglich der Erreichung und der Höhe der Einsparungen teilweise höher angesetzt, als auf EU-Ebene beschlossen.Nachhaltige StadtentwicklungEs stellt sich die Frage, aus welchen Gründen gerade der urbane Raum eine zentrale Größe für Nachhaltigkeitsziele einnimmt. Aktuelle Berichte, Daten und Prognosen können dabei helfen, diese Frage zu beantworten.Relevanz einer nachhaltigen StadtentwicklungDer jüngste SDG-Fortschrittsbericht wurde im Mai 2023 veröffentlicht. Die Vereinten Nationen kommen darin zu dem Ergebnis, dass über die Hälfte der Weltbevölkerung momentan in städtischen Gebieten lebt. Dieser Anteil könnte bis 2050 auf etwa 70 Prozent steigen (vgl. Vereinte Nationen 2023a, S. 34). Verglichen mit dem Jahr 2020 wird die urbane Bevölkerung in Mitteleuropa und somit auch in Deutschland und Dänemark im Jahr 2050 um acht Prozent steigen (vgl. Bundesministerium für wirtschaftliche Zusammenarbeit und Entwicklung 2023b, S. 4).Im Vergleich zu anderen Kontinenten stellt dies einen geringen Anstieg dar. So wird die städtische Bevölkerung in Nordafrika im gleichen Referenzzeitraum voraussichtlich um 79 Prozent steigen (vgl. ebd. 2023b, S. 4). Zwei Aspekte dürfen jedoch nicht unbeachtet bleiben: Zum einem ist es eine globale Herausforderung, diesem Anstieg gerecht zu werden. Die Auswirkungen werden für viele mittelbar und unmittelbar spürbar sein. Weiterhin stehen bei einem Bevölkerungsanstieg von acht Prozent auch dicht besiedelte mitteleuropäische Städte vor einer Vielzahl an Aufgaben, was sich auch für Städte wie München und Kopenhagen bemerkbar machen wird. Beispielsweise lebten bereits im Jahr 2017 drei von vier Menschen in Deutschland innerhalb von Städten (vgl. Dütz 2017, S. 14). Dementsprechend sind auch europäische Städte zentral, was die Implementierung der Klimaschutzziele angeht (vgl. ebd., S. 13).Städte verbrauchen mit knapp 80 Prozent bereits heute einen Großteil der weltweiten Energie und Ressourcen, beispielsweise durch die großen Abfallmengen, das Heizen und den Schadstoßausstoß der vielen Fahrzeuge (vgl. Bundesministerium für wirtschaftliche Zusammenarbeit und Entwicklung 2023d, o.S.). Gleichzeitig sind Städte für bis zu 76 Prozent der CO2-Emissionen weltweit verantwortlich (vgl. Climate Service Center Germany 2015, S. 1). Städte gehören somit zu den Hauptverursachern des Klimawandels, was durch folgende Worte deutlich wird:"Der Klimanotstand ist auch ein Notstand der Stadt" (Chatterton 2019, S. 275).Durch den prognostizierten Bevölkerungsanstieg wird die Relevanz von Städten bezogen auf die Realisierung von Klimaschutzzielen weiter steigen. Nicht zuletzt, da Städte bereits heute für den Großteil der CO2-Emissionen und des Energieverbrauchs verantwortlich sind. Städte nehmen eine zentrale Rolle in der Verwirklichung einer nachhaltigen Zukunft ein. Gleichzeitig sind gerade Städte durch den Klimawandel in erhöhtem Maße gefährdet (vgl. Climate Service Center Germany 2015, S. 1f.). Auch aus Gründen des Selbstschutzes sind Städte daher gezwungen, Strategien und Maßnahmen zur Klimaanpassung zu entwickeln. Nur so kann der urbane Raum dem Klimanotstand gerecht werden. Entwicklung einer nachhaltigen und klimaneutralen Stadt"Wie lässt sich die Entwicklung der Städte so steuern, dass diese den notwendigen Beitrag zu einer globalen nachhaltigen Entwicklung leisten können?" (Koch & Krellenberg 2021, S. 2).Diese zentrale Frage stellt sich in diesem Kapitel. Konkret wird der Frage nachgegangen, wie eine Stadtentwicklung aussehen muss, um notwendige Nachhaltigkeitsziele hinreichend zu erfüllen und den Erfordernissen einer nachhaltigen Stadt gerecht zu werden.Der aktuelle SDG-Fortschrittsbericht bilanziert die Hälfte der Zeit seit Inkrafttreten der SDG-Ziele. Die Halbzeitbilanz der Agenda 2030 liest sich bezogen auf die Fortschritte einer städtischen Nachhaltigkeitsentwicklung insgesamt ernüchternd: Lediglich die Hälfte der städtischen Bevölkerung hatte im Jahr 2022 annehmbaren Zugang zu öffentlichen Verkehrsmitteln, auch die Luftverschmutzung und der Mangel an Freiflächen sind anhaltende Probleme in Städten (vgl. Vereinte Nationen 2023a, S. 34).Gleichzeitig hält der Bericht fest, dass in Ländern mit hohem Einkommen viel für die Bekämpfung der Luftverschmutzung getan wurde, was dennoch nicht ausreichend ist. Darüber hinaus wird angemerkt, dass es sich bei der Luftverschmutzung um kein rein städtisches Problem handelt (vgl. ebd., S. 35). Allerdings muss sich gerade der Autoverkehr in der Stadt ändern. Paul Chatterton spielt dabei auf ein neues Mobilitätsparadigma an und fordert eine autofreie Stadt, da nur dies dem Klima wirklich gerecht werden und soziale Ungleichheit reduzieren kann (vgl. Chatterton 2019, S. 278).Ebenso muss der Aspekt berücksichtigt werden, dass Menschen in Großstädten häufig verschiedene Verkehrsmittel nutzen, um an ihr Ziel zu kommen (vgl. Kallenbach 2021, S. 33). Selbst wenn klimafreundliche Mobilität zur Verfügung steht, wird diese somit nicht ausschließlich genutzt. Hieran anknüpfend stellt sich die Frage, wie sich dies ändern lässt. Hierfür besteht bereits eine Vielzahl an Lösungsvorschlägen, unter anderem die Abkehr von der Vorstellung einer autogerechten Stadt, die effizientere Nutzung der vorhandenen Infrastruktur, die Verbesserung des Öffentlichen Personennahverkehrs (ÖPNV) zur Schaffung einer wirklichen Alternative oder eine kilometerabhängige Gebühr für die Nutzung von Straßen (vgl. Edenhofer/Jakob 2017, S. 101f. ).Ein Großteil des Energiebedarfs in Städten kommt durch die Verbrennung fossiler Brennstoffe, den Transport und die Heizung beziehungsweise Kühlung von Gebäuden zustande (vgl. Climate Service Center Germany 2015, S. 2). Sollen die Einsparziele gelingen, so ist eine Verkehrswende unumgänglich (vgl. Jakob 2023, S. 1). Gleichzeitig stehen durch den Klimawandel auch städtische Verkehrssysteme vor enormen Herausforderungen. Gerade in urbanen Gebieten hängen viele Infrastrukturnetze, die zum Funktionieren des städtischen Systems beitragen, mit dem Verkehrssystem zusammen (vgl. Climate Service Center Germany 2015, S. 6).Dabei bestehen mehrere Möglichkeiten, städtische Verkehrsnetze zu verbessern und gleichzeitig zukunftsfähig und nachhaltig zu gestalten: Die Fokussierung auf Fußgänger und nicht-motorisierten Verkehr sowie auf den ÖPNV kann einige Vorteile, wie zum Beispiel eine Reduzierung von Emissionen und wirtschaftlichen Wohlstand, bieten (vgl. ebd. 2015, S. 6). Die Verbesserung des öffentlichen Nahverkehrs und anderer emissionsarmer Infrastrukturen kann darüber hinaus zu Energieeinsparungen, Zeitersparnis und einer besseren Luftqualität beitragen (vgl. ebd., S. 6). Die Zukunftsgestaltung der städtischen Verkehrsinfrastruktur spielt daher in mehrfacher Hinsicht eine zentrale Rolle. Neben dem Verkehrsbereich sind weitere Sektoren, unter anderem das Abfallsystem und der Umgang mit Gebäuden entscheidend (vgl. ebd. 2015, S. 2).Der Energiesektor ist enorm wichtig, da hier das größte Potential für eine Reduzierung von Emissionen liegt. Parallel mit einer steigenden Energienachfrage, beispielsweise in Strom oder Brennstoffen, werden Treibhausgasemissionen ansteigen. Gerade Städte sind dazu gezwungen, den Energiebedarf zu senken, die Energieerzeugung sowie den -verbrauch effizienter zu gestalten, auf erneuerbare Energiequellen umzusteigen und gleichzeitig eine sichere Versorgung zu gewährleisten (vgl. Climate Service Center Germany 2015, S. 6).Im weiteren Verlauf werden nun die Städte Kopenhagen und München in Bezug auf ihre Anstrengungen untersucht. Fokus dabei bleibt der Bereich Verkehr und Mobilität. Ebenso wird exemplarisch der Bereich der Extremwetteranpassung sowie, für den Bereich der Energieversorgung, die kommunale Wärmeplanung untersucht.KopenhagenKopenhagen ist Sitz des dänischen Königshauses (vgl. Heidenreich 2019, o.S.). Die Stadt liegt auf der Insel Seeland (vgl. Britannica 2023, o.S.) und ist an der Meerenge Öresund gelegen, welche die Ost- und die Nordsee miteinander verbindet (vgl. Heidenreich 2019, o.S.). Gegründet wurde die Stadt im frühen zehnten Jahrhundert, seit 1445 ist Kopenhagen Dänemarks Hauptstadt (vgl. Britannica 2023, o.S.). Die Einwohnerzahl Kopenhagens ist in den letzten zehn Jahren um knapp 100.000 Einwohner:innen gewachsen Mit aktuell etwa 653.000 Einwohner:innen ist Kopenhagen die größte Stadt Dänemarks (vgl. Dyvik 2023, o.S.). Sie hat eine Fläche von ungefähr 88 Quadratkilometern, ist damit vergleichsweise klein und liegt 24 Meter über dem Meeresspiegel (vgl. Kallenbach 2021, S. 34).Grundlegende Informationen und BesonderheitenDie Stadt Kopenhagen hat eine bewegte Geschichte. Beispielsweise wurde die Stadt im Laufe der Jahrhunderte mehrmals von Großfeuern zerstört, war sehr umkämpft und im Zweiten Weltkrieg von deutschen Soldaten besetzt (vgl. Findeisen/Husum 2008, S. 146ff.). Damals blieb die Stadt jedoch überwiegend unbeschädigt, was sich auch heute im Stadtbild bemerkbar macht. Ein Beispiel hierfür ist Schloss Rosenborg (vgl. Heidenreich 2019, o.S.). Im Jahr 1996 wurde die Stadt zur Kulturhauptstadt ernannt (vgl. Findeisen/Husum 2008, S. 149).Das Klima in Kopenhagen ist mild und gemäßigt. Die durchschnittliche Jahrestemperatur beträgt 8,9 Grad Celsius (vgl. climate-data.org 2023, o.S.). In Kopenhagen fällt insgesamt viel Regen. Selbst in den trockenen Monaten ist die Niederschlagsmenge erheblich (vgl. ebd. 2023, o.S.). Aufgrund der Lage am Meer können Sturmfluten zu Überschwemmungen mit gravierenden Auswirkungen führen. Dieser Gefahr und der sich daraus ergebenden Notwendigkeit zu handeln, ist sich auch die Stadtverwaltung Kopenhagens bewusst (vgl. Stadtverwaltung Kopenhagen 2023, o.S.).Verkehr und MobilitätBetrachtet man die Verkehrsplanung Kopenhagens, so muss zwingend auf die Fahrradinfrastruktur eingegangen werden. Der Autoverkehr sowie der ÖPNV dürfen dennoch nicht außer Acht gelassen werden. Ziel dieser Betrachtung ist es, Aufschlüsse über die Beweggründe und konkreten Vorgehensweisen der Verkehrsplanung und -infrastruktur in Kopenhagen zu erhalten. Dabei soll eine Bestandsaufnahme der aktuellen Situation erfolgen.Regelmäßig liegt Kopenhagen auf dem ersten Platz der weltweit besten Fahrradstädte und dennoch wurden im Jahr 2021 knapp ein Drittel aller Fahrten mit dem Auto bewältigt (vgl. Kallenbach 2021, S. 5). In den 1950er und 1960er Jahren war die Verkehrsplanung auf das Auto ausgerichtet, was zu einer deutlichen Verringerung der Radfahrenden in den darauffolgenden Jahrzehnten führte. Während 1949 an der Nørrebrogade, einer zentralen Hauptstraße in Kopenhagen, an einem Tag durchschnittlich mehr als 62.000 Radfahrende gezählt wurden, waren es im Jahr 1978 nur etwa 8.000 (vgl. ebd. 2021, S. 5f.).In den 1970er Jahren kam es zu umfangreichen Fahrradprotesten und Forderungen nach mehr Fahrradwegen. Trotz der damals bereits vorhandenen Relevanz war der Umweltaspekt jedoch nicht ausschlaggebend. Vielmehr stand die Verkehrssicherheit für die Radfahrenden im Fokus der Fahrradproteste (vgl. ebd., S. 30f.). Im Jahr 2019 gab die deutliche Mehrheit aller Fahradfahrenden in Kopenhagen an, aufgrund der Zeitersparnis gegenüber anderen Verkehrsmitteln (46 Prozent) und aus praktischen Aspekten (55 Prozent) mit dem Fahrrad zu fahren. Ein deutlich geringerer Anteil von 16 Prozent gab Umweltschutzaspekte als Beweggrund an (vgl. ebd., S. 31). Ein weiterer Faktor war die Ölkrise in den 1970er Jahren, welche die Notwendigkeit alternativer Verkehrsmittel untermauerte und in der Folge die Anzahl der Fahrradfahrenden in Kopenhagen stark anstiegen ließ (vgl. Kallenbach 2021, S. 35).Trotz dieser Faktoren sind gerade die nicht-diskursiven, also die bereits vorhandenen Faktoren wesentlich für den Weg Kopenhagens zur Fahrradmetropole und für die Umsetzung entsprechender Maßnahmen. Zum einem sind es geographisch vorteilhafte Gegebenheiten, die Kopenhagen vorteilhaft für den Fahrradverkehr machen, was durch die geringe Größe und die flache Lage der Stadt sichtbar wird (vgl. Kallenbach 2021, S. 34). Dadurch bedingt ist auch die Geschichte Kopenhagens, in welcher der Radverkehr einen relevanten Teil einnimmt (vgl. ebd. 2021, S. 36). Der Sicherheitsaspekt beim Fahrradfahren ist sehr relevant. In Kopenhagen setzte man dementsprechend bereits früh auf vom Autoverkehr separierte Fahrradwege, was parallel zu einem Anstieg der Fahrradfahrenden führte (vgl. Søholt 2014, S. 1f.).Ein weiterer Faktor ist die ununterbrochene politische Richtung hinsichtlich der Mobilität in Kopenhagen, die durch Sozialdemokrat:innen und linke Parteien seit den 1970er Jahren besteht. Diese Kontinuität wirkte sich ebenso auf Investitionen für den Fahrradverkehr und die Fahrradinfrastruktur aus (vgl. Kallenbach 2021, S. 36f.). Zusammengesetzt aus solchen Faktoren konnte sich in Kopenhagen eine Kultur des Fahrradfahrens herausbilden. Neben den Umweltschutzaspekten ist Kopenhagen dadurch attraktiver für Menschen, aber auch für Unternehmen geworden (vgl. Søholt 2014, S. 1).Auch negative Effekte können auftreten. Beispielsweise kommt es vermehrt zu Staus auf den stark befahrenen Fahrradwegen. Die Stadt reagiert darauf mit dem Ausbau der Fahrradspuren und dementsprechend der Verkleinerung von Fahrbahnen für Autos (vgl. Søholt 2014, S. 2). Auch das Sperren von Straßen für den Autoverkehr wird in Erwägung gezogen. Ziel dabei ist es, mehr Platz für die Radfahrenden und den ÖPNV zu schaffen (vgl. ebd., S. 2). Kopenhagen versucht weiterhin umweltfreundliche Kraftstoffe und den Anteil von Elektroautos, auch unter den Taxen der Stadt, voranzutreiben (vgl. Stadt Kopenhagen 2020, S. 41).Der Klimaschutzplan der Stadt benennt den Bereich der Mobilität als eine von vier zentralen Säulen (vgl. Stadt Kopenhagen 2020, S. 13). Im Bericht aus dem Jahr 2020 wird festgestellt, dass CO2-Emissionen nach wie vor deutlich reduziert werden müssen. So sind trotz der Bemühungen und einiger Erfolge die Kohlenstoffemissionen im PKW-Bereich zwischen 2012 und 2018 um zehn Prozent gestiegen (vgl. ebd. 2020, S. 39f.). Parallel mit dem Bevölkerungsanstieg ist die Zahl der Autobesitzer:innen gestiegen. Dennoch sind die Pro-Kopf Emissionen im Straßenverkehr von 2010 bis 2018 um 16 Prozent gesunken (vgl. ebd. 2020, S. 41).Kopenhagen eröffnete im Herbst 2019 den "Cityring" und baut diesen nach und nach aus. Der damit verbundene Ausbau der U-Bahn soll die verschiedenen Stadteile an den öffentlichen Nahverkehr anbinden und effiziente öffentliche Verkehrsmittel gewährleisten (vgl. Stadt Kopenhagen 2019, S. 26). Langfristig soll der Ausbau immer weiter vorangetrieben werden, um auch während der Rushhour eine attraktive Alternative zum Autoverkehr darzustellen (vgl. ebd., S. 26).Die Stadt Kopenhagen zeigt, wie Mobilität in einer nachhaltigen Stadt der Zukunft aussehen kann. Im gleichen Zug müssen dabei jedoch die vorteilhaften Gegebenheiten berücksichtigt werden, beispielsweise die flache Lage und die geringe Größe der Stadt. Aus diesem Grund muss in größeren und hügligeren Städten beispielsweise der ÖPNV als Alternative gedacht werden und mit ähnlicher Entschlossenheit verbessert werden.Dennoch gibt es Faktoren aus Kopenhagen, die eine grüne Mobilität begünstigen und theoretisch in jeder Stadt umsetzbar sind. Ein Beispiel ist die politische Kontinuität bezogen auf die Förderung des Fahrradverkehrs. Umwelt- und Klimaschutz muss nicht zwingend die ausschlaggebende Motivation für den Beginn einer Verkehrswende sein. Trotz aller positiven Aspekte und der Vorreiterrolle der Fahrradstadt Kopenhagen wurden auch im Jahr 2021 noch einige Fahrten mit dem Auto zurückgelegt.Die dauerhafte Förderung der Alternative Fahrrad konnte das enorme Wachstum des Autoverkehrs jedoch eindämmen. Es liegt auf der Hand, dass durch die Verkleinerung beziehungsweise Sperrung von Fahrbahnen und Straßen für den Autoverkehr auch strittige Debatten entstehen können. Die Stadt Kopenhagen verfolgt jedoch den klaren Plan, das Rad und den ÖPNV als Mobilitätsmittel der Wahl weiter voranzutreiben. Bereits zur Mitte des vergangenen Jahrzehnts nutzen 45 Prozent der Einwohner:innen Kopenhagens das Fahrrad für den Schul- beziehungsweise Arbeitsweg (vgl. Diehn 2015, o.S.). Dennoch halten aktuelle Ergebnisse fest, dass die Anstrengungen bei weitem nicht genügen.Weitere Maßnahmen und HerausforderungenZiel dieses Kapitels ist es, weitere Maßnahmen in Kopenhagen zu untersuchen. Aufgrund des Umfangs handelt es sich dabei jedoch um Beispiele, die kompakt dargestellt werden. Dabei werden Beispiele aus dem Bereich der Extremwetteranpassung und der kommunalen Wärmeplanung untersucht. Mit der Stadt München wird ähnlich vorgegangen, die Kategorien werden gleich gewählt. Ziel dabei ist festzustellen, welche Anstrengungen in der jeweiligen Kommune unternommen werden, um Nachhaltigkeitsziele voranzubringen.Durch die örtlichen Gegebenheiten muss Kopenhagen Extremwetterereignisse bewältigen, die sich durch den Klimawandel verstärken. So gab es in der dänischen Hauptstadt allein zwischen 2010 und 2015 sechs Starkregenereignisse, die Straßen und Gebäudekeller überfluteten und für einen enormen finanziellen Schaden sorgten (vgl. Kruse 2016, S. 669). Dementsprechend ist vor allem die Anpassung der Stadt an solche Starkregenereignisse ein wichtiger Bestandteil, der im Klimaanpassungsplan festgehalten ist.Um das Überflutungsrisiko zu verringern und dieser Herausforderung gerecht zu werden, arbeitet die Stadt an der Verwirklichung fünf zentraler Aspekte. Dazu zählen Maßnahmen, die einen Beitrag zur Verringerung des Überflutungsrisikos leisten können, zum Beispiel eine qualitative und quantitative Erhöhung des städtischen Grünflächenbereichs (vgl. ebd. 2016, S. 669f.).Ein konkretes Beispiel ist der Kopenhagener Ortsteil Skt. Kjelds Kvarter, der nach und nach in einen klimagerechten Stadtraum der Zukunft umgewandelt werden soll. Zum einem soll sich die Natur in diesem Quartier weiter ausbreiten, gleichzeitig wird die Regulierung von Regenwasser verbessert (vgl. Technik- und Umweltverwaltung Kopenhagen 2023, o.S.). Konkret dienen die Grünflächen als Versickerungsbecken, wodurch das Wasser unabhängig von der Kanalisation zum Hafenbecken geleitet wird. Hierfür wurde auch die Straßenführung angepasst (vgl. Kruse 2016, S. 270). Neben der Risikoreduzierung durch Extremwetterereignisse wird die Stadt durch solche Projekte nachhaltiger. Zugunsten von Grünflächen wird die Verkehrsinfrastruktur verändert und der Natur wird mehr Raum innerhalb der Stadt gegeben.Die Gefährdung der Stadt durch Extremwetterereignisse soll durch weitere Maßnahamen reduziert werden. Dazu zählen beispielsweise die Bereitstellung von Pumpen und die Ausrüstung von Kellern, um gegen Überschwemmungen vorbereitet zu sein. Gleichzeitig macht der Klimaanpassungsplan deutlich, dass die Entwicklung eines grünen Wachstums gewünscht ist und parallel zur Klimaanpassung vollzogen wird (vgl. Stadtverwaltung Kopenhagen 2011, S. 5). So sollen Grün- und Freiflächen verbessert und ergänzt werden. Dort wo gebaut wird, ist dies entsprechend zu berücksichtigen (vgl. ebd. 2011, S. 12).Neben dem Schutz vor Extremwetterereignissen sollen diese grünen Maßnahmen dazu führen, den Energieverbrauch der Stadt zu senken, die Luftqualität zu verbessern und die Lärmbelästigung zu bekämpfen. Durch die Schaffung von Freiflächen kann beispielsweise die Temperatur gemäßigt und für Luftzirkulation gesorgt werden (vgl. ebd. 2011, S. 12).Kopenhagen benennt in seinem aktuellen Klimaschutzplan neben der Mobilität drei weitere Bereiche: Den Energieverbrauch, die Energieproduktion und Initiativen der Stadtverwaltung (vgl. Stadt Kopenhagen 2020, S. 13). Laut eigenen Worten will sich Kopenhagen, neben der Konzentration auf den öffentlichen Verkehr, auf den Energieausstoß, die kohlenstoffneutrale Fernwärme und Maßnahmen zur Verringerung von Kohlenstoffemissionen fokussieren (vgl. Stadt Kopenhagen 2019, S. 25).2014 wurde Kopenhagen von einem unabhängigen und internationalen Expertenteam zur Umwelthauptstadt ernannt. Es gibt eine Reihe von Kriterien, die hierfür erfüllt sein müssen. Neben dem Nahverkehr wird die Luftqualität, der Anteil sowie die Qualität des grünen Stadtgebietes und der Umgang mit dem Klimawandel berücksichtigt (vgl. Diehn 2015, o.S.).Dementsprechend wurden früh weitere Anstrengungen unternommen. Gerade das weit ausgebaute Fernwärmenetz Kopenhagens muss hierbei erwähnt werden. Dieses versorgt den Großteil der Gebäude und trägt damit maßgeblich zur Einsparung von C02-Emissionen in Kopenhagen bei (vgl. Burckhardt/Tappe/Rehrmann 2022, o.S.). Gleichzeitig bieten sich auch Vorteile für die dortigen Bewohner:innen: Die Preise werden staatlich kontrolliert und die Infrastruktur der Fernwärme ermöglicht einen einfachen und für Verbraucher:innen kostengünstigen Umstieg auf erneuerbare Energien, was ermöglicht, dass Kopenhagens Fernwärme bereits zu 80 Prozent aus erneuerbaren Energien erzeugt wird (vgl. ebd. 2022, o.S.).Das Fernwärmenetz der Stadt hat unter anderem mehrere Müllverbrennungsanlagen und Blockheizkraftwerke, die von verschiedenen Versorgungsunternehmen betrieben werden (vgl. Harrestrup/Svendsen 2014, S. 296). Dies gewährleistet die Nutzung von Abwärme als Heizquelle. Eine dieser Müllverbrennungsanliegen liegt nah am Zentrum Kopenhagens und trägt den Namen Amager Bakke. Das Dach der Müllverbrennungsanlage dient der Bevölkerung gleichzeitig als Skigebiet und steht somit sinnbildlich für die Innovation und entsprechende Nachhaltigkeitsbestrebungen innerhalb der Stadt (vgl. Kafsack 2023, o.S.).Um im Bereich Energie die gesetzten Ziele zu erreichen, setzt Kopenhagen auf eine Vielzahl weiterer Maßnahmen. Dazu zählt neben der Fernwärme der Einsatz erneuerbarer Energietechnologien und die entsprechende Förderung von Heizungspumpen, Erdwärme, Sonnenkollektoren und Windkraftanlagen. Auch Biomasse als Übergangstechnologie wird von der Stadt befürwortet (vgl. Stadt Kopenhagen 2019, S. 54).Kopenhagen wird häufig als grüne Stadt bezeichnet. Viele Maßnahmen der Stadt wurden bereits vor langer Zeit getroffen. Die Pläne der Stadt Kopenhagen sind weit vorangeschritten, äußerst detailliert und durchdacht. Um sich zukünftig besser vor Extremwetterereignissen schützen zu können, arbeitet die Stadt an verschiedenen Lösungen und setzt beispielsweise auf den Ausbau und die Entlastung der Kanalisation. Dass hierbei ebenfalls freie Grünflächen entstehen, ist nicht nur ein nützlicher Nebeneffekt, sondern gewolltes Ziel.Im Bereich der Energieversorgung muss vor allem die Fernwärme genannt werden. Diese wurde in Kopenhagen bereits sehr früh ausgebaut und versorgt dementsprechend fast alle Gebäude. Somit ist dies der wohl wichtigste Bereich der Energieversorgung und gleichzeitig das Hauptaugenmerk des Kopenhagener Klimaplans. Dennoch gibt es auch hier Verbesserungs- und Optimierungspotential. Auch Kritikpunkte sind berechtigt. Beispielsweise ist der Einsatz von Biomasse fraglich. Einen weiteren Rückschlag musste Kopenhagen kürzlich einstecken: Die Stadt gab bekannt, dass sie das Ziel der Klimaneutralität bis 2025 deutlich verfehlen wird (vgl. Wolff 2022, o.S.).MünchenMünchen wurde im Jahr 1158 erstmals urkundlich erwähnt und liegt am Fluss Isar, der im Stadtgebiet eine Länge von 13,7 Kilometern einnimmt (vgl. Stadt München 2023, o.S.). Die Stadt ist bereits seit Beginn des 16. Jahrhunderts die bayrische Landeshauptstadt (vgl. Stahleder 2023, o.S.). Heute hat München mehr als 1,5 Millionen Einwohner und kann damit einen deutlichen Bevölkerungsanstieg verbuchen (vgl. Statistisches Amt München 2023, o.S.). Verglichen mit dem Jahr 2004 stieg die Anzahl der Einwohner:innen um 300.000 Menschen (vgl. Münchner Stadtmuseum 2004, S. 155). München liegt etwa 519 Meter über dem Meeresspiegel und hat eine Fläche von mehr als 310 Quadratkilometern, wodurch die Stadt flächenmäßig zu den größten Städten Deutschlands gehört (vgl. Stadt München 2023, o.S.).Grundlegende Informationen und BesonderheitenAnlass der Gründung Münchens war ein Konflikt zwischen Herzog Heinrich dem Löwen und Bischof Otto I. von Freising (vgl. Scholz 2004, S. 20). Das Bevölkerungswachstum stieg rasch an, was bereits zur Mitte des 13. Jahrhunderts eine deutliche Vergrößerung der Stadt nötig machte (vgl. Scholz 2004, S. 22). Die Isar wurde in München bereits vor mehreren Jahrhunderten als Transportmittel für Waren genutzt und prägte daher die Entwicklung der Stadt maßgeblich (vgl. Scholz 2004, S. 31f.).Im Jahr 1795 begann eine neue Entwicklung. Die bisher genutzten Festigungsanlagen wurden aufgegeben und die dynamische, unbegrenzte Weiterentwicklung der Stadt konnte gelingen (vgl. Lehmbruch 2004, S. 38). Im Laufe der Jahrhunderte kam es zu mehreren Eingemeindungen (vgl. Münchner Stadtmuseum 2004, S. 155). Während des Zweiten Weltkriegs wurden 90 Prozent der historischen Altstadt Münchens zerstört und die Stadt verlor bis zum Ende des Krieges mehr als die Hälfte seiner Einwohner:innen (vgl. Stahleder 2023, o.S.).Münchens Grünanlagen nehmen etwa 13,4 Prozent der gesamten Stadtfläche ein. Den größten zusammenhängenden Teil bildet dabei der Englische Garten mit einer Größe von 374,13 Hektar (vgl. Stadt München 2023, o.S.). Die Jahresmitteltemperatur in München liegt im Durchschnitt bei 8,7 Grad Celsius und der Niederschlag beträgt circa 834 Millimeter im Jahr (vgl. Deutscher Wetterdienst 2023, o.S.). In jüngster Zeit hat München mit einigen Extremwetterereignissen zu kämpfen gehabt, unter anderem mit Starkregen (vgl. Handel 2023, o.S.) und Rekord-Hitzewellen (vgl. Harter 2023, o.S.). Verkehr und MobilitätMünchen arbeitet seit vielen Jahren an seiner Verkehrsstrategie. Der ursprüngliche Verkehrsentwicklungsplan wurde bereits im Jahr 2006 veröffentlicht. Im Sommer 2021 wurde ein neuer Entwurf bezüglich der zukünftigen Mobilitätsplanung beschlossen. Der Stadtrat setzte sich dabei ambitionierte Ziele: Der Verkehr im Stadtgebiet sollte demnach innerhalb von vier Jahren zu mindestens 80 Prozent durch abgasfreie Fahrzeuge beziehungsweise den ÖPNV oder den Fuß- und Radverkehr realisiert werden. Weiterhin soll der Verkehr in München bis 2035 vollständig klimaneutral sein (vgl. Landeshauptstadt München 2023c, o.S.). Der neue Mobilitätsplan der Stadt soll den zukünftigen Herausforderungen gerecht werden. Dazu zählt unter anderem die steigende Bevölkerungszahl und der somit zunehmende Mobilitätsbedarf sowie der Umwelt- und Gesundheitsschutz (vgl. Landeshauptstadt München 2023b, o.S.).Der motorisierte Individualverkehr nimmt in der bayrischen Landeshauptstadt nach wie vor einen hohen Stellenwert ein und wurde 2017 von rund 24 Prozent der Münchner:innen in Anspruch genommen. Die Anzahl der täglich bewältigten Personenkilometer nahm ebenfalls zu, was durch den Anstieg der Bevölkerung und die Zunahme der täglichen Strecken erklärt wird (vgl. Landeshauptstadt München 2022, S. 107f.).Der ÖPNV wurde im Jahr 2017 von 24 Prozent der Münchner:innen genutzt, was verglichen mit dem Jahr 2008 ein leichter Anstieg ist. Verglichen mit dem Jahr 2008 wird das Fahrrad mit 18 Prozent von weniger Münchner:innen genutzt (vgl. ebd. 2022, S. 107f.). Die Stadt kommt in ihrem Nachhaltigkeitsbericht zu dem Ergebnis, dass die Entwicklung in Richtung ÖPNV und des Radverkehrs geht. Durch das starke Wachstum der Stadt und des Umlands kommt es jedoch zu einem Anstieg des Verkehrs insgesamt, was die eigentlich positive Entwicklung aufhebt (vgl. ebd. 2022, S. 107f.). Die Stadt München beschäftigt sich seit einiger Zeit mit sogenannten Radschnellverbindungen."Radschnellverbindungen sind hochwertige Verbindungen im Radverkehrsnetz (von Kommunen oder StadtUmlandRegionen), die wichtige Zielbereiche (zum Beispiel Stadtteilzentren, Wohn und Arbeitsplatzschwerpunkte, (Hoch)Schulen) mit hohen Potenzialen über größere Entfernungen verknüpfen und durchgängig ein sicheres und attraktives Befahren mit hohen Reisegeschwindigkeiten […] ermöglichen" (Landeshauptstadt München 2022, S. 109).Solche Strecken haben somit das Potential, einen nicht zu unterschätzenden Beitrag hin zur grünen Mobilität zu leisten. Radschnellwege können nicht nur für die Freizeit, sondern auch von Berufspendler:innen genutzt werden und sind daher eine Alternative zum Auto. Die Landeshauptstadt München hat bereits mehrere Machbarkeitsstudien in Auftrag gegeben. Die Ergebnisse belegen, dass viele dieser Strecken, beispielsweise die Strecke zwischen der Innenstadt Münchens und Starnberg, technisch machbar und wirtschaftlich gewinnbringend sind (vgl. Landeshauptstadt München/Landratsamt München/Landratsamt Starnberg 2020, S. 29).Die lange Planung der Radschnellwege ist seit diesem Jahr in einer neuen Phase. Im Juni 2023 wurde mit dem Bau der ersten von insgesamt fünf Strecken begonnen, welche die Stadt München mit Unterschleißheim und Garching verbinden soll (vgl. Heudorfer 2023, o.S.). Gleichzeitig müssen die enorm hohen Kosten für den Bau solcher Strecken berücksichtigt werden. Dies ist der Grund, weshalb beispielsweise die Strecke zwischen München und Starnberg nicht realisiert wird (vgl. ebd. 2023, o.S.).München plant die Reduzierung des Autoverkehrs in seiner Altstadt. So soll mehr Platz für Fußgänger:innen, Radfahrende und den ÖPNV geschaffen werden. Die Stadt nennt eine Reihe an Maßnahmen, die das Ziel einer autofreien Altstadt realisieren sollen. Dazu zählen unter anderem das Errichten und die Erweiterung von Fußgängerzonen, die Neuregelung des Parkens, was auch das Erhöhen der Parkgebühren beinhaltet, die Verbesserung des Liefer- und Ladeverkehrs sowie das Erbauen eines breiten Radrings in der Altstadt (vgl. Landeshauptstadt München 2023a, o.S.).Ein Pilotprojekt diesbezüglich befindet sich in der zentral gelegenen Kolumbusstraße. Die Straße wurde für Fahrzeuge gesperrt und mit Rollrasen, Sitzmöglichkeiten und Hochbeeten ausgestattet (vgl. Stäbler 2023, o.S.). Das Projekt hat jedoch nicht nur Befürworter:innen. Der Verlust von knapp 40 Parkplätzen sowie der Lärm durch spielende Kinder wird kritisiert (vgl. ebd. 2023, o.S.).Der ÖPNV hat in München einen hohen Stellenwert. Bereits im Jahr 2010 lag München im Vergleich unter den besten deutschen Städten. Berücksichtigt wurde damals unter anderem die Fahrtdauer, die Informationslage und die Preise (vgl. Wagner 2010, o.S.). Eine ADAC-Studie zeigt, dass München im Jahr 2021 die teuerste Einzelfahrkarte unter 21 deutschen Großstädten mit mehr als 300.000 Einwohner:innen hatte. Die Münchner Monatskarte sowie die Wochenkarte hingegen war mit Abstand am günstigsten. Die Monatskarte kostete im Vergleich zu Hamburg knapp die Hälfte (vgl. ADAC 2021, o.S.). Dieser Aspekt muss hinsichtlich der Einführung des Deutschlandtickets und der damit verbundenen Preisentwicklung des ÖPNV neu bewertet werden, ist jedoch aufgrund der damals fehlenden Alternative des Deutschlandtickets nicht zu vernachlässigen.Langfristig plant München eine Bahnstrecke, die Stadt und Umland miteinander verbindet und das bereits vorhandene Schienennetz ergänzt. Dieses Projekt ist zuletzt aus finanziellen Gründen gescheitert, soll jedoch durch spezielle Buslinien kompensiert und nach Möglichkeit neu geprüft werden (vgl. Landeshauptstadt München 2023d, o.S.). Um die Kapazität des ÖPNV in München und Umland zu erhöhen, werden im Rahmen eines Programms verschiedene Maßnahmen umgesetzt. Dazu zählt unter anderem die Anbindung an den Flughafen und der Ausbau der Schieneninfrastruktur im Nordosten Münchens (vgl. Landeshauptstadt München 2023d, o.S.).Auch das U-Bahn- und Tramnetz soll durch die Münchner Verkehrsgesellschaft (MVG) ausgebaut werden. Vorgesehen ist die Verlängerung beziehungsweise der Neubau verschiedener Strecken (vgl. ebd. 2023d, o.S.). Gleichzeitig wird auf die Problematik verwiesen, dass die Kapazitätsgrenze des Schienenverkehrs in München und der Region bereits erreicht ist (vgl. ebd., o.S.).Die bayrische Landeshauptstadt setzt sich selbst ambitionierte Ziele, was den Verkehr und die Mobilität betreffen. Bereits seit vielen Jahren wurde mit entsprechenden Planungen begonnen. Auf der Webseite der Landeshauptstadt finden sich viele Informationen und Vorhaben bezüglich der Verkehrsplanung. Der Ausbau des Fahrradverkehrs, vor allem die Planungen von Radschnellstrecken sind vielsprechend. Die Machbarkeitsstudien belegen das große Potential. Da jedoch erst vor einigen Monaten mit dem Bau der ersten Strecke begonnen wurde, muss München hier in relativ kurzer Zeit viel erreichen.Gleichzeitig kann somit nicht abschließend festgestellt werden, wie groß das Potential der Radschnellverbindungen in der Praxis ist. Der Zuwachs der Stadt München und des Umlands stellt die Landeshauptstadt vor Herausforderungen in doppelter Hinsicht. Obwohl der Anteil der Radfahrenden und der ÖPNV-Fahrenden deutlich zugenommen hat, steigt der Verkehr insgesamt. Gleichzeitig stellt die Stadt fest, dass der ÖPNV an der Kapazitätsgrenze ist. Dennoch müssen die positiven Aspekte betrachtet werden. Hierzu zählt unter anderem das Potential des Münchner ÖPNV und der verschiedenen Projekte. Auch wenn es von der Planung bis zur Umsetzung viele Jahre dauert, ist München sicherlich vielen Städten, vor allem im deutschen Städtevergleich, voraus, da die Planungen früh begonnen haben.Weitere Maßnahmen und HerausforderungenHier werden nun weitere Maßnahmen untersucht. Dabei wird, wie bei Kopenhagen, in exemplarischer Weise auf den Bereich der Extremwetter- beziehungsweise Klimawandelanpassung und den Bereich der kommunalen Wärmeplanung eingegangen. Gleichzeitig werden Herausforderungen, Chancen und Schwierigkeiten beleuchtet, die sich daraus ergeben.Die bayrische Landeshauptstadt hat im Jahr 2019 den Klimanotstand ausgerufen. Damit verbunden ist das Ziel der Klimaneutralität bis 2035 (vgl. Landeshauptstadt München 2023e, o.S.). Das Klima in der Stadt München weist aufgrund der dichten Bebauung spezifische Besonderheiten auf. Dazu zählt der sogenannte "Wärmeinseleffekt", der dazu führt, dass ein Temperaturunterschied im Vergleich zum Münchner Umland besteht (vgl. Landeshauptstadt München u. a. 2016, S. 8).Im Stadtgebiet ist es deshalb im Durchschnitt zwei bis drei Grad wärmer, wobei der Temperaturunterschied in der Nacht deutlich höher ausfällt: Im Vergleich zum Münchner Umland ist es nachts im Stadtgebiet Münchens bis zu zehn Grad wärmer, was durch den Klimawandel und den damit verbundenen Anstieg der Durchschnittstemperatur noch deutlich ansteigen wird (vgl. ebd. 2016, S. 8).Dementsprechend sieht das Klimaanpassungskonzept verschiedene Maßnahmen vor. Dazu zählt zum Beispiel der Ausbau der Dachbegrünung und Photovoltaikanlagen auf Gebäuden, die Verbesserung des Wärmeschutzes in der Gebäudeplanung und Förderprogramme für Klimaanpassungsmaßnahmen auf privaten Grundstücken (vgl. ebd. 2016, S. 40). In München gründeten sich einige Bewegungen, die sich für mehr Nachhaltigkeit einsetzen. Die Münchner Initiative Nachhaltigkeit (MIN) ist ein Beispiel dafür und setzt sich aus mehrheitlich zivilgesellschaftlichen Organisationen zusammen. Die Ziele der MIN orientieren sich an den SDGs (vgl. Münchner Initiative Nachhaltigkeit 2023, o.S.).Der Münchner Nachhaltigkeitsbericht liefert interessante Aufschlüsse. Der Anteil der erneuerbaren Energien im Gebiet der Stadtwerke München lag 2019 bei insgesamt 6,4 Prozent. Den größten Anteil hat dabei die Wasserkraft, gefolgt von Solar (vgl. Landeshauptstadt München 2022, S. 85). Ökostrom soll in den eigenen Stadtwerken langfristig betrachtet in ausreichender Menge erzeugt werden, um damit die Stadt München selbst versorgen zu können.Daraus ergibt sich für den Leiter der Stadtwerke die politische Aufgabe, die Energiewende voranzubringen (vgl. Hutter 2019, o.S.). Gerade die lokale Erzeugung von Ökostrom kann sich in einer dicht bebauten Stadt als schwierig herausstellen. Hier stellt sich die Frage, wie viel Potential München und das direkte Umland hat. Dabei kann es sich zum Beispiel um den Auf- und Ausbau umliegender Windräder oder Biomassekraftwerke handeln (vgl. ebd., o.S.).München setzt auf Tiefengeothermie und kann einen Anstieg in der Erzeugung und den Anteil der Tiefengeothermie am Fernwärmeverbrauch verbuchen. Jedoch lag der Anteil der Geothermie am Fernwärmeverbrauch im Jahr 2019 lediglich bei 3,8 Prozent (vgl. Landeshauptstadt München 2022, S. 86f.). Aktuell wird in München das größte Geothermiekraftwerk Europas erbaut. Somit ist davon auszugehen, dass der Anteil der Geothermie innerhalb der Fernwärmeversorgung in München weiter zunimmt und diese in der Konsequenz Schritt für Schritt nachhaltiger und regenerativ gestalten (vgl. Schneider 2022, o.S.). In München befinden sich momentan sechs Geothermieanlagen. Durch die Erweiterungen soll das Fernwärmenetz den Wärmebedarf Münchens bis 2040 klimaneutral abdecken (vgl. Stadtwerke München 2023a, o.S.).Die Methode der Kraft-Wärme-Kopplung (KWK), also die gleichzeitige Gewinnung von mechanischer Energie und nutzbarer Wärme (vgl. Umweltbundesamt 2022, o.S.), wird von den Stadtwerken München genutzt und dient als eine Art Zwischenlösung, die intensiver genutzt wird, bis der Ausbau der Geothermieanlagen abgeschlossen ist (vgl. Stadtwerke München 2023b, o.S.). Die durch die Stromerzeugung der KWK-Methode gewonnene Abwärme wird in das Fernwärmenetz der Stadt München eingespeist. Die so erzeugte Fernwärme kann dementsprechend schon heute in einem beträchtlichen Maß umweltschonend bereitgestellt werden und ersetzt laut den Stadtwerken München bereits etwa 400 Millionen Liter Heizöl und spart pro Jahr eine Millionen Tonnen CO2 ein (vgl. ebd. 2023b, o.S.).Die Stromerzeugung selbst funktioniert mit Brennstoffen. Neben erneuerbaren Energien können dabei auch fossile Energieträger zum Einsatz kommen. Die Stadtwerke München selbst setzen sich das langfristige Ziel, fossile Brennstoffe abzulösen (vgl. ebd. 2023b, o.S.). Das Heizkraftwerk Süd der Stadtwerke München arbeitet beispielsweise mit der KWK-Methode. Die Stromerzeugung wird durch Erdgas gewährleistet (vgl. Stadtwerke München 2022, o.S.). Somit wird ein fossiler Brennstoff verwendet.Im deutschen Städtevergleich gilt München oft als Vorreiter, was Nachhaltigkeitsbemühungen betrifft. München hat 2019 den Klimanotstand ausgerufen und sich das Ziel gesetzt, bis 2035 klimaneutral zu werden. Das Ausrufen des Klimanotstands hat eher symbolischen Charakter. Dennoch wird die Dringlichkeit der Sache damit auch auf kommunaler Ebene betont.Bezüglich der Anpassung an Extremwetterereignisse finden sich viele Informationen der Stadt München. Dabei werden auch viele Maßnahmen genannt, die nach und nach umgesetzt werden sollen. Die Stadt ist sich der Relevanz des Themas bewusst. Durch das veränderte Stadtklima wird deutlich, wie wichtig die Anpassung an Extremwetterereignisse ist, um das Leben in der Stadt auch zukünftig zu sichern.Im Fall von München sind die Maßnahmen gegen Hitze besonders relevant. Hier hat München bereits Pilotprojekte und verschiedene Fördermaßnahmen in die Wege geleitet. Im Bereich der Energieversorgung muss vor allem die Tiefengeothermie benannt werden. München setzt verstärkt darauf und erkennt das große Potential. Gleichzeitig müssen die hohen Kosten und der damit verbundene Aufwand berücksichtigt werden.Aktuell kommen auch KWK-Werke zum Einsatz. Dies ermöglicht die umweltschonende Bereitstellung von Fernwärme. Der Einsatz mehrerer Geothermieanlagen kann dieses Potential jedoch beträchtlich steigern. Erdgas wird zur Erzeugung von Strom in München auch aktuell eingesetzt. Langfristig wollen die Stadtwerke jedoch ohne den Einsatz fossiler Brennstoffe arbeiten. Die Fernwärme Münchens ist weit ausgebaut und bietet hohes Potential. Dennoch zeigen erst die nächsten Jahre, wie nachhaltig und flächendeckend das Fernwärmenetz konkret ausgebaut werden kann.ErkenntnisseDie Einwohnerzahl Kopenhagens ist in den letzten Jahren gestiegen. Auch zukünftig muss die Stadt mit einem Bevölkerungswachstum rechnen. In München ist ebenso von einem Bevölkerungsanstieg auszugehen, was auch in den letzten Jahren der Fall war. Der Anstieg der Bevölkerung in Zahlen ist deutlich höher, was sich durch die größere Fläche der bayrischen Landeshauptstadt zumindest teilweise relativieren lässt. Im direkten Vergleich ist München mehr als drei Mal so groß wie Kopenhagen.Kopenhagen gilt als eine der besten Fahrradstädte weltweit. Dies führt neben den positiven Aspekten auch zu vollen Fahrradwegen. Die Stadt reagiert mit der Verbreiterung von Fahrradwegen und der Sperrung beziehungsweise Verkleinerung von Autofahrbahnen und ganzen Straßen. München geht diesbezüglich nicht so konsequent vor, hat jedoch ein vergleichbares Pilotprojekt gestartet, welches eine zentrale Straße zeitweise für den Autoverkehr gesperrt hat.Das Fahrrad als Verkehrsmittel konnte sich in Kopenhagen bereits früh etablieren. Ein zentraler Faktor, der für das Fahrrad in Kopenhagen spricht, ist unter anderem die Zeitersparnis. Eine Reihe nicht-diskursiver Faktoren spielen eine wichtige Rolle für die bedeutsame Rolle des Fahrrads in der dänischen Hauptstadt. Neben der flachen Lage und der geringen Größe zählt dazu auch der politische Wille und die Bereitschaft, das Fahrrad als Verkehrsmittel kontinuierlich zu fördern.In München wurde die Relevanz des Fahrrads ebenfalls erkannt. München kann im Vergleich jedoch auf keine derart ausgeprägte Fahrradkultur zurückblicken. Dennoch stellt sich heraus, dass das Fahrrad in München nicht unterschätzt wird. Die aktuellen Planungen und erste bauliche Maßnahmen der Radschnellverbindungen belegen, dass die Stadt den Radverkehr als Alternative zum Auto etablieren möchte.Dabei sollen, wie es in Kopenhagen bereits der Fall ist, nicht nur Freizeitradler:innen, sondern auch Berufspendler:innen angesprochen werden. Das Münchner Umland soll in den Bau der Radschnellverbindungen zu weiten Teilen integriert werden. Theoretisch könnte München auf diese Weise trotz der deutlich weiteren Distanzen die optimale Infrastruktur für das Fahrrad als grüne Alternative etablieren.Der Autoverkehr spielt in Kopenhagen nach wie vor eine Rolle. Trotz einiger Maßnahmen müssen die CO2-Emissionen weiter reduziert werden. Die Emissionen im PKW-Bereich sind bis vor fünf Jahren noch angestiegen. Auch in München ist der Autoverkehr relevant und wurde im Jahr 2017 von fast einem Viertel der Münchner:innen genutzt. Von der Stadt München werden verschiedene Maßnahmen benannt, die zu einer autofreien Altstadt führen sollen. Dabei soll ähnlich wie in Kopenhagen vorgegangen werden, unter anderem mit der Erweiterung von Fußgängerzonen. Kopenhagen scheint diesbezüglich jedoch weiter fortgeschritten zu sein. Bei der Verkleinerung von Fahrbahnen im Bereich des Autoverkehrs handelt es sich dort um dauerhafte Maßnahmen. In München beschränkt sich dies bislang auf Pilotprojekte und Vorhaben.Beide Städte haben ein gut ausgebautes ÖPNV-Netz. In München ist sich die Stadt der Tatsache bewusst, dass die aktuelle ÖPNV-Infrastruktur an seiner Kapazitätsgrenze angekommen ist. Aus diesem Grund plant München den Ausbau und setzt bereits einige Großprojekte, unter anderem die Erweiterung der Schieneninfrastruktur, in verschiedenen Stadteilen, um. Vor allem das Tramnetz hat sicherlich das Potential, für Münchner:innen eine dauerhafte Alternative zum Auto zu sein. Da das Hauptproblem augenscheinlich die Kapazitätsgrenze des bestehenden Schienennetzes ist, kommt es auf den zügigen und konsequenten Ausbau in den nächsten Jahren an.Kopenhagen hat im Vergleich bereits im Jahr 2019 eine Stadtlinie eröffnet, die immer weiter ausgebaut wird. Kopenhagen will die Attraktivität des ÖPNVs auch während der Rushhour gewährleisten. Dies lässt darauf schließen, dass einer der Hauptfaktoren auch hier die aktuelle Auslastung der vorhandenen öffentlichen Verkehrsmittel ist. In diesem Bereich haben beide Städte somit ähnliche Herausforderungen zu bewältigen. Beide Städte sind aktiv und scheinen den ÖPNV als dauerhaftes Verkehrsmittel fördern zu wollen.Kopenhagen liegt direkt am Meer und 24 Meter über dem Meeresspiegel. Ähnlich wie München sieht sich Kopenhagen mit Extremwetterereignissen konfrontiert. In Kopenhagen regnet es sehr häufig und durch die Lage am Meer und die geringe Höhe über dem Meeresspiegel sind Sturmfluten und Überschwemmungen keine Seltenheit. München hat ebenso mit Starkregen zu kämpfen, wobei Hitzewellen hier auch nicht zu unterschätzen sind. Beide Städte stellen verschiedene Maßnahmen vor, die zur Vermeidung negativer Folgen führen sollen. In der Umsetzung hat Kopenhagen bereits Erstaunliches erreicht, um sich vor Starkregen zu schützen. Beide Städte nehmen die durch den Klimawandel entstehenden Extremwetterereignisse und deren mögliche Folgen ernst und arbeiten an spezifischen Lösungen.Die Energieversorgung ist in beiden Städten ein zentraler Aspekt. Beide Städte nehmen hier in gewisser Weise Vorreiterrollen ein. Sowohl Kopenhagen als auch München fördern den Einsatz erneuerbarer Technologien in verschiedener Hinsicht. Das Fernwärmenetz in Kopenhagen ist bereits sehr gut ausgebaut. Gleichzeitig kann die Fernwärme Kopenhagens bereits zu 80 Prozent aus erneuerbaren Energien gewonnen werden. Die dänische Hauptstadt hat hier einige Vorzeigeprojekte, unter anderem die Müllverbrennungsanlage Amager Bakke.Die Stadt München setzt vermehrt auf Tiefengeothermie und treibt den Ausbau voran. Dies soll die Fernwärme nach und nach nachhaltiger machen. Bis 2040 soll das Fernwärmenetz in München somit klimaneutral arbeiten können. Die KWK-Methode wird in München eingesetzt und spart nennenswerte Mengen an CO2 ein. Fossile Brennstoffe kommen hier aber nach wie vor zum Einsatz. Dennoch hat auch München ein ausgefeiltes Konzept und ist vor allem im deutschen Vergleich weit vorangeschritten und hat bereits früh nach alternativen Wegen gesucht. Daher sind die Fortschritte Münchens in der Wärmeversorgung beachtlich. Im direkten Vergleich kann Kopenhagen jedoch mit noch mehr Innovation und aktuell größeren Fortschritten punkten.FazitEs wurde untersucht, wie eine nachhaltige Stadt gestaltet werden kann. Eine aktuelle Bestandsaufnahme zeigt, dass die Entwicklungen in Städten sehr unterschiedlich sind. Die Abkehr von der Vorstellung einer autogerechten Stadt scheint sinnvoll. Bereits vorhandene ÖPNV-Strukturen und weitere Alternativen zum motorisierten Individualverkehr müssen effizienter genutzt oder geschaffen werden. Der Energiesektor ist besonders relevant, da hier die größten Möglichkeiten hinsichtlich einer Reduzierung von Emissionen bestehen. Städte sollten daher Maßnahmen etablieren, um den Energiebedarf zu senken und auf regenerative Energien umsteigen zu können. In dieser Arbeit wurde bezogen auf den Bereich der Energie die kommunale Wärmeplanung berücksichtigt.Untersucht wurden die Bereiche des Verkehrs und der Mobilität, der Extremwetteranpassung und der kommunalen Wärmeplanung. München und Kopenhagen haben in den untersuchten Bereichen bereits eine Vielzahl an Maßnahmen und Vorhaben vorgestellt und initiiert. Dabei stellt sich heraus, dass die spezifischen Gegebenheiten in Städten stets berücksichtigt werden müssen. Diese unterschiedlichen Gegebenheiten führen dazu, dass ein Städtevergleich nicht in jedem Aspekt einer nachhaltigen Stadtentwicklung zielführend ist. München zeigt jedoch am Beispiel der geplanten Radschnellverbindungen, dass es auch Lösungen für suboptimale Gegebenheiten gibt, in diesem Fall für größere Distanzen beim Radverkehr.Beide Städte sind fortgeschritten, was den Bereich der nachhaltigen Mobilität betrifft. Hier stellt vor allem der erwartete Bevölkerungsanstieg eine Herausforderung dar, da dies zur weiteren Be- beziehungsweise Überlastung der bestehenden Verkehrsinfrastruktur und zur Zunahme des Verkehrs generell führen wird. Dementsprechend finden sich in beiden Städten Projekte, die auch teils in der Umsetzung und bezogen auf die Zukunft der nachhaltigen Mobilität vielversprechend sind. Hier bleiben jedoch die konkreten Fortschritte in den nächsten Jahren abzuwarten, was eine erneute Untersuchung zu einem späteren Zeitpunkt interessant macht. Die Vision beziehungsweise Utopie einer autofreien Stadt scheint für Kopenhagen einen Schritt näher zu sein. München zeigt jedoch, dass zumindest eine autofreie Altstadt in naher Zukunft nicht undenkbar ist.Die Anpassung an die Folgen des Klimawandels ist für beide Städte relevant. Kopenhagen hat hier eine Reihe innovativer Projekte bereits umgesetzt. München stellt viele Maßnahmen vor, die im Detail jedoch noch weiter vorangetrieben werden müssen.Bezogen auf die kommunale Wärmeplanung gehen beide Städte verschiedene Wege und haben bestimmte Visionen. Einen Beitrag zur Energiewende wollen beide Städte und deren ansässige Stadtwerke leisten. Die Fernwärme ist sowohl in Kopenhagen als auch in München der zentrale Faktor. Kopenhagen ist bezogen auf den Anteil erneuerbarer Energien und den Ausbau des Fernwärmenetzes weiter fortgeschritten als München. Ebenso bestehen in Kopenhagen innovative Ideen zur nachhaltigen Erzeugung von Fernwärme und zur Einbettung verschiedener Anlagen in die Kopenhagener Stadt und das Umland. München setzt auf die Nutzung von Geothermie, was zu einer sehr guten CO-2-Bilanz beitragen kann.In den untersuchten Bereichen weisen beide Städte Fortschritte auf. Kopenhagen hat zeitlich betrachtet deutlich früher mit dem Ausbau einer nachhaltigen Stadtentwicklung begonnen. Dementsprechend sind einige Pläne ausgereifter und es finden sich hinsichtlich der untersuchten Bereiche mehr konkrete Umsetzungen. München könnte hier jedoch in den nächsten Jahren ähnlich weit voranschreiten, was unter anderem hinsichtlich des Maßnahmenkatalogs deutlich wird. Auch aus diesem Grund wäre die Betrachtung zu einem späteren Zeitpunkt interessant und würde weitere Aufschlüsse liefern.Durch die Untersuchung der Verkehrsinfrastruktur und der kommunalen Wärmeplanung beider Städte wurden Schlüsselaspekte einer nachhaltigen Stadtentwicklung berücksichtigt. Dennoch muss betont werden, dass bei weitem nicht alle Aspekte einer nachhaltigen Stadt berücksichtigt und untersucht werden konnten. Dies würde den Rahmen dieser Arbeit sprengen. Eine Untersuchung in weiteren Bereichen würde daher eine sinnvolle Ergänzung darstellen.LiteraturverzeichnisAachener Stiftung Kathy Beys (2015): Nachhaltiger Lebensstil (Aachener Stiftung Kathy Beys vom 16.12.2015) < https://www.nachhaltigkeit.info/artikel/nachhaltiger_lebensstil_1978.htm > (11.11.2023).ADAC (2021). 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A STUDY OF CODE-SWITCHING OF TEACHER TALK ON TRAINEE TEACHER IN PPL II PROGRAM OF STATE UNIVERSITY OF SURABAYA Renata Kenanga Rinda 10020084019 English Education, Faculty of Languages and Art, State University of Surabaya email: renata.rinda195@gmail.com Dosen Pembimbing: Prof. Dr. Hj. Lies Amin Lestari, M.A, M.Pd English Education, Faculty of Languages and Art, State University of Surabaya Abstrak Terdapat perbedaan pandangan tentang penggunaan alih kode dalam bahasa guru pada pengajaran bahasa Inggris sebagai bahasa kedua. Di satu sisi, bahasa Inggris sangat dianjurkan untuk digunakan sebagai bahasa satu-satunya dalam mengajar, namun teori lain justru mengusulkan penggunaan beberapa bahasa sebagai alat guru dalam mengajarkan bahasa Inggris. Menanggapi masalah tersebut, penelitian ini dilakukan untuk mengetahui jenis-jenis bahasa, jenis-jenis alih kode, dan alasan penggunaannya yang dilakukan oleh calon guru pada PPL II, Universitas Negeri Surabaya. Catatan lapangan dan rekaman digunakan untuk mengumpulkan data yang diperlukan dalam penelitian deskriptif kualitatif ini. Hasil penelitian menunjukkan bahwa ada tiga jenis bahasa yang digunakan oleh calon guru; Bahasa Inggris, Indonesia, Jawa, dan Arab, dengan tiga jenis alih kode; tag-switching, inter-sentential switching, dan intra-sentential switching. Hasil penelitian juga mengungkapkan lima alasan penggunaan alih bahasa yaitu sebagai alat untuk mengajar, member penegasan, mengkritik, menyemangati, dan menanyakan hal kepada siswa yang membantu calon guru dalam mengelola kelas. Berdasarkan hal tersebut, dapat disimpulkan bahwa hasil penelitian ini mendukung teori kedua yang menganjurkan penggunaan beberapa bahasa dalam pengajaran bahasa Inggris sebagai bahasa kedua. Kata Kunci: mengajar bahasa Inggris sebagai bahasa kedua, bahasa guru, alih kode. Abstract The practice of code-switching in teacher talk for the teaching of English as second language exposed a contradictive theory about it. On the one hand, English was strongly proposed as the only language to be used while other theories allow the use of various languages as medium of instruction implemented used as the teacher's equipment in managing the classroom. Coping with the above dilemma, this research aimed at investigating the types of languages, types of code-switching, and reasons of using them in trainee teacher's teacher talk in PPL II program of State University of Surabaya. Field notes and audio recording were employed in five observations to confirm the data revealed under the descriptive qualitative research. The findings pointed out that there were four types of languages used in trainee teacher's teacher talk; English, Bahasa Indonesia, Javanese, and Arabic, with three types of code-switching; tag switching, inter-sentential switching, and intra-sentential switching. The findings also described five reasons of using code-switching; lecturing, giving directions or confirmation, criticizing or justifying authority, praising or encouraging, and asking question toward the students which helped the trainee teacher managed the class. In sum, the result of this study supported the second theory which allows the use of various languages in teaching English in second language classroom. Keywords: teaching English as a second language, teacher talk, code-switching introduction Reinforcing the Indonesia's competitiveness as a member of the developing nations, the demand to improve people's education level is enormously needed. Then, to cope with it, teachers as the foremost stakeholder in this area have the biggest role to settle on whether the improvement can be achieved or not. This fact is agreed as a general truth for the reason that the students' enhancement in the class is most impacted by the teachers (McCaffrey, Lockwood, Koretz, Louis, & Hamilton, 2004). As a result, this reality becomes a powerful foundation for the Government to construct a shifting rule in education policies. Several policies are made, then the most significant one is the lecturers and teachers regulation that is called UU No. 14/2005, short of Undang-Undang Republik Indonesia Nomor 14 Tahun 2005 Tentang Guru dan Dosen. Basically, it has three major points stated; the general rules of teachers, teachers' competences and qualifications, and then the obligations and rights of the teachers. The three of them go in certain directions which make the system of education enhanced through the development of the teachers' quality. Fulfilling the above goal, the policy regulates some criteria that teachers should have; pedagogical, personality, professionalism, and social competences. Indeed, realizing the four criteria mentioned is not an effortless task to deal with. The Government will not be able to reach it without working hand in hand with other components in the education world. Under this consideration, the Government calls for shot to the education institutions to prop up the new policy. One of the umbrella institutions that gets the mandate is State University of Surabaya that has main responsibility to educate the undergraduate students who take education as their major of study. Regarding to the Government's requirements, State University of Surabaya tries to bring them into reality through a program named PPL, stands for Program Pengalaman Lapangan consisting of PPL I and PPL II. Consequently, all of the students in Education Department, State University of Surabaya, which is English Department, have to participate in both programs. In materializing those programs, in the sixth semester, the English Education Department conducts PPL I program carried in the campus to train the undergraduate students through microteaching activity. After that, the PPL II program starts on the seventh semester. This program held in the real teaching environment in several schools chosen for approximately three months long. This makes PPL II different from PPL I. Among several schools selected by the English Education Department, SMP Negeri 1 Madiun is one of them. In this school, there were four English undergraduate students who practiced teaching in the academic year of 2013. They had conscientiousness to manage the classroom in the seventh grade as real teachers. Based on the informal observation toward those trainee teachers, it was found that all of them tried to handle the class by using English. They greeted the students, delivered the material, and even responded to the questions by utilizing the same language. This special language used by the trainee teachers to address the students in English classroom is called teacher talk (Ellis, 1985). Moreover, teacher talk turns out to be a major resource of the students related to their language input (Al-Otaibi, 2004). By giving good model through their talk, it is hoped that students can get good example in practicing English. Understanding this theory, the trainee teachers in SMP Negeri 1 Madiun were in the right track to keep implementing English in their talk. By giving the proper model of applying English, the students were expected to do the same. Nonetheless, the implementation of teacher talk of trainee teachers by using English in the seventh grade of SMP Negeri 1 Madiun was not supported well. Many students' responses came up beyond the expectation. When the classroom atmosphere was packaged in all English, most students got confused and frustrated. They neither understood some words nor comprehend the teachers' instructions. As a result; some students lost their attention to the trainee teachers. In order to cope with the unforeseen condition, the trainee teachers frequently changed their teacher talk into other languages such as Bahasa Indonesia or Javanese as alternative languages. These changing languages always happened automatically. In the first minute, the trainee teachers used English then suddenly changed it into Bahasa Indonesia or Javanese then got back into English. The three languages were used in one single sentence. In another occasion, the different pattern was found; sometimes the trainee teachers' teacher talk was implemented in English while the class began, then in the middle of running the class, the use of Bahasa Indonesia was implemented then finally the trainee teachers closed their talk by reusing English. The above process of changing one language into other languages that happen in the middle of talk is called code-switching (Cook, 2000). The code-switching possibly involved in teacher talk is an unavoidable result of communication that happens among various languages circumstances. Moreover, because of code-switching in teacher talk is a special occurrence in teaching English, there are many analysis and theoretical discussions that are elicited in the previous decades (Gumperz, 1982). Several findings towards it spread out in the education world. Regarding to the above fact of code-switching language in teacher talk, it provided the underlying principle for undertaking this descriptive research, and which was initiated in a challenge to describe the types of languages, types of code-switching, and reasons of using them in trainee teacher's teacher talk. Furthermore, by identifying them, it is expected that the findings of this research will be useful to draw the map of code-switching language that might happen in five or ten years later when the trainee teachers of PPL II program of English Education Department become a part of materializing the Indonesia's education improvement as real teachers. METHODOLOGY Research Subjects Reflecting on the purposes of this research, it considered the three parameters in choosing the research subject; the status, the background language, and the achievement. The status of the subject observed was a trainee teacher. The researcher selected her rather than the real English teacher at that school since the trainee teacher observed right now would replace the position of the real teacher in conducting the second language classroom in the future. As a consequence, the research findings would be valuable information prepared for the trainee teacher before being a teacher. Then, the second reason was the language background. The trainee teacher and the students of SMP Negeri 1 Madiun, speak the same languages, it made the phenomenon of code-switching possibly appeared. Besides, the researcher considered the trainee teacher chosen for being a good model and achieving good GPA; 3, 57 within 0 – 4 scale. Instruments In this research, the field note observation and audio recording were utilized as the research instruments. By implementing the field note observation, it is possible to focus on the ongoing behaviors occur and note the most important feature in the classroom (Bailey, 1994). The model of field note was adapted from Konsep Penetian Tindakan Kelas dan Penelitianya. It consisted of four parts; identification, instruction, description material, and reflection material (Susanto, 2010). Then, the audio-recording was also employed as the second instruments to record the detail information appeared. Data Collection In collecting the data, five observations were conducted. Each observation took 2 sessions in 80 minutes. Moreover, the five observations were done in five weeks; four weeks on July and one week on August that were classified into two parts; direct informal observation and direct formal observation. Direct informal observation was conducted on the first week of August before running the formal one in order to know the basic information and condition of the subject observed in the classroom. Then, on the first, second, and third formal observations, the audio recording was placed on the nearest area of the trainee teacher in order to get the clearest sound. Then, the field note described the types of language, types of code-switching, and reasons of using them in the trainee teacher' teacher talk on the description material. Next, the reflection material column was completed with the researcher's point of view related to the case found. Last, while the fourth formal observation was completed, the researcher had to pay more attention toward the subject observed. Here, since the trainee teacher did not make any difference towards her types of languages, types code-switching used, and reasons of using them, the researcher could stop the observation. Data Analysis Types of Languages Related to the types of languages, the data found in the first observation were coded by "a", second observation coded by "b", and third observation coded by "c". Then they were identified based on the four types of languages used; English, Bahasa Indonesia, Javanese, and Arabic. Those four types of languages were reclassified by the researcher based on the language combinations made by the trainee teacher namely first, English and Bahasa Indonesia, second, English and Javanese, third, English and Arabic, fourth, Bahasa Indonesia and Javanese, and last, English, Javanese, and Bahasa Indonesia. Types of Code-switching The types of code-switching were grouped based on Sankoff & Poplack (1981) namely tag-switching, inter-sentential switching, and intra-sentential switching. Moreover, the trainee teacher reclassified them concerning on the process involved; tag-switching were divided regarding on the simple fixed word insertion at the beginning and the end of code-switching, inter-sentential switching was reclassified into code switching between sentences or sentence and clause, and intra-sentential switching reclassified into word or phrase embedded in phrase or clause from another language, word or phrase inserted between words or phrases from another language, and words or phrase stayed between two types of languages. Reasons of using code-switching in teacher talk The reasons of using the code-switching in teacher talk made by the trainee teacher were identified based on Flanders (1970). There were seven categories which are lecturing, giving directions, criticizing or justifying authority, accepting feeling, praising or encouraging, accepting or using the students' thought, and asking question towards the students. RESULTS Types of Languages After analyzing the field notes and audio recording transcriptions that were completed by the researcher on August 21st, August 28th, and September 4th, 2013, it was found that there were 211 code-switching used by the trainee teacher in her teacher talk. In those code-switching, four languages were used as the trainee teacher's tool to accomplish the process of teaching English. Then, those four types of languages were reclassified by the researcher based on the language combinations made by the trainee teacher namely first, English and Bahasa Indonesia, second, English and Javanese, third, English and Arabic, four, Bahasa Indonesia and Javanese, and last, English, Javanese, and Bahasa Indonesia. The supporting facts quoted from the trainee teacher's teacher talk related to the four languages found are provided in the following paragraphs. Firstly, the combination between English and Bahasa Indonesia languages contributed in three observations conducted. In the first observation, there were 53 code-switching composed by the two types of languages mentioned. Then, on the second observation it gained enlargement and reached 76 numbers. Last, it reduced slightly to 19 numbers on the third observation. Moreover, one of those examples was labeled by 1: (1) Student 18 :I will go to Mecca on May. Teacher :That's enough. Sekarang mana Karina? Could you please tell me what is Azar's plan on May? (1) Student 28 :He will go to Mecca. Teacher :On May, he will go to Mecca, repeat it. The code-switching marked by 1 was the example of the code-switching that used English and Bahasa Indonesia combination. At that time, the trainee teacher wanted student 18 namely Azar to tell his plan on May. After hearing Azar's plan, the trainee teacher asked another student that was student 28, Karina, by first implementing the code-switching that was stated in Bahasa Indonesia, "Sekarang mana Karina?" to call her and then followed by English sentence stated in interrogative form," Could you please tell me what is Azar's plan on May?" Then, related to the reason of using it, the trainee teacher did the code-switching for asking question toward student 28 in order to tell what student 18 planned on May. Another example of this combination was also found in the code-switching numbered by 2: (2) Student 1 :Silent. Teacher :No? Why? You still have no idea? Okay, I will play the video again and listen. (Playing the video). You all must know how to tell time. What is the importance of telling time? This is the answer. So, what do you think about it? I need to learn telling time because I need to know time to go to school for example. What else? What else? Seperti yang disebutkan di video tadi (2). Students : Silent. Teacher :I need to telling time because? Anyone? Anyone? Aga? Through the above example, the existence of English and Bahasa Indonesia were also clearly seen. Firstly, the trainee teacher asked the students about the importance of the material given. Since the students were not able to answer the trainee teacher's question, she delivered her question again. Then, she finally answered her own question in order to show the students how to deal with it On the contrary; the students were silent and gained no movement. Moreover, related to this example, the code-switching was used. English came first then followed by Bahasa Indonesia. Then, the unique thing appeared in this example was when the trainee teacher switched her talk from English to Bahasa Indonesia, there was also English word insertion "video" in the middle of Bahasa Indonesia sentence. Next, in line with its function, through this code-switching, the trainee teacher tried to give confirmation about the answer of the question mentioned before. Then, the second combination involved the two types of languages which were English and Javanese, also recorded in the three observations conducted but the combination was only found in one number for each. The trainee teacher did this second combination in 3: (3) Students :Doubt . . . climbing. (Repeating the teacher) Teacher :Yes, right. Student 13 :ndaut . . .ndaut (Speaking in Javanese) Teacher :No, it is different. Ndaut is an activity which is usually done by the farmer, right? (3) At this point, the word ndaut taken from Javanese came first then followed by English. This code switching was implemented when the trainee teacher taught the pronunciation of the word doubt. The trainee teacher lectured the students in correct way by saying /daƱt/. Otherwise, the students made fun of it and preferred to pronounce doubt as ndaut since they had already known and more familiar with this Javanese word comparing to English. For that reason, the trainee teacher commented on the students' pronunciation by criticizing them by delivering code-switching containing English and Javanese language. Then, the second example related to the same combination was stated in 4: (4) Student 15 :Raising her hand. Teacher :Okay. Student 15 :We need to know time to have breakfast. Teacher :Okay, we need to know what time to have breakfast. And then? Heh, sorry, what is your name? (4) At this point, the trainee teacher had a discussion with the students about the importance of telling time. When the students wanted to share their idea about it, they had to raise their hands then the trainee teacher gave them a score by marking their name list. The trainee teacher used the code-switching to call the student by mentioning him in Javanese word heh to replace the student's name since she did not know yet. Then, it was followed by a question formed in English. By implementing this code-switching, the trainee teacher used it as a tool for asking question to the student. Next, the third combination was comprised from English and Arabic language. This language combination was only found in the second observation in one number. It was supported by the code-switching labeled 5: (5) Student 3 :Balik ke Surabaya kapan? Teacher :Insyaalloh, I will back to Surabaya at September, 15 (5). Guys, on September 14, my friends and I will have a surprise for all of you Students : Apa? Surprise? This code-switching appeared while the students asked when the trainee teacher would back to her college in Surabaya. In answering the students' question, she implemented an Arabic word insyaallah that was commonly used in Indonesia even though most of Indonesians do not speak Arabic well. Moreover, it was used as a mark of certainty related to the future plan as cited in," "Insyaallah, I will back to Surabaya at September, 15." The Arabic word was stated first then an English sentence formed in the future tense mentioning the exact date of the trainee teacher's leaving. Through this point, it could be observed that the trainee teacher used code-switching as the teacher's tool for giving a confirmation for a certain case. The fourth combination was the only one that did not contain English in it. It was composed from Bahasa Indonesia and Javanese that appeared on three numbers in the second observation and one in the third observation. The example was labeled by 6: (6) Teacher :Kamu tahu kata kerja bentuk pertama? Student : . . . . . (silent) Teacher :Kata kerja pertama itu gak enek embel-embel e (6). Students : Ohh . . . At first, Bahasa Indonesia was implemented, and then it was switched to Javanese language in gak enek embel-embel e. Moreover, by delivering this code-switching, the trainee teacher lectured her students in defining the verb used for telling the daily activities. She said, the verb one should not be added by –ed or –ing that the students usually made mistakes on. Another example of the same language combination mentioned in 7: (7) Teacher :Begini, kita di sini dinilai sama guru pamong. Guru pamongnya siapa? Bu Pur. Student 8 :Yang bahasa Inggris itu? Teacher :He em, guru angkat yang di sini. Ibu angkat yang di sini (7) Student 32 : Brarti tinggalnya di mana? Similarly, the trainee teacher implemented Bahasa Indonesia first, and switched to Javanese then. Nevertheless, in 7, the trainee teacher used the code-switching to give confirmation toward the student 8's question by saying he em in order to express her agreement with the student's statement. The last combination happened among English, Javanese, and Bahasa Indonesia. This combination was comprised from three types of languages that did not appear on the first and second observation but finally used in one number in the third observation. It was labeled by 8: (8) Student 21 :Masih bingung, Miss Teacher :Okay. Verb one do not contain embel-embel apapun. Gak enek embel-embel apa-apanya. Hanya bentuk dasar, okay (8). Firstly, English was used to mention the case that the trainee teacher explained, then Javanese appeared in the middle of the sentence, and finally it was ended by the code-switching to Bahasa Indonesia. The trainee teacher used this code-switching to answer the students' question related to the correct form of the verb that should be used in making a sentence based on the picture given on the slide show. Since there were many students got confuse, the trainee teacher chose to explain the case by implementing Javanese and Bahasa Indonesia in order to make the students get a clear understanding. Through the above descriptions in connection with the types of languages in the three weeks observations that were conducted in row, in short, the trainee teacher did the code switching in her teacher talk by utilizing four languages by implementing five combinations. In addition, the trainee teacher preferred to use the first combination of English and Bahasa Indonesia comparing to the other four combinations namely English and Javanese, English and Arabic, Bahasa Indonesia and Javanese, and English, Javanese, and Bahasa Indonesia that only appeared in less than three numbers. Types of Code-switching In terms of the types of code-switching used, three observations that were conducted by the researcher gave the same results. Then, they were grouped based on Sankoff & Poplack (1981); tag-switching, inter-sentential switching, and intra-sentential switching. Tag-switching was the easiest type of code-switching that could be identified. Its characteristic which is the insertion of simple fixed word from one language in a sentence from another language becomes a valuable sign in marking this code-switching's type. Moreover, there were 60 tag-switching found during the observations; 18 of them used in the first observation, 26 in the second observation, and 16 in the third observation. They created two different patterns related to the simple fixed word place of insertion. The first pattern was the simple fixed word insertion embedded at the beginning of the sentence. As it was stated in 9: (9) Student 21 :Miss, saya? Teacher :Tunggu, Budi duluan. Come on Budi, kamu bisa Budi (9). Kamu bisa, ini sangat gampang. Come on as part of English simple fixed word was inserted at the beginning of code-switching then was followed by Bahasa Indonesia language. At that time, the trainee teacher wanted Budi to come forward and tell his assignment in front of his friends. On the contrary, the student did not give any response and kept silent. Dealing with it, the trainee teacher encouraged the student by saying "come on" then did automatic changing language by switching her talk to Bahasa Indonesia. As a result, Budi participated in the classroom activity and showed his ability in presenting the assignment. Another example of this pattern was also mentioned in 10: (10) Teacher :Can I borrow it? Just for showing the slide show. Just for showing the slide show. Student 23 :Giving his laptop. Teacher :Okay, thank you. Sorry, something goes wrong with the laptop. Sorry. Just be quite while waiting me to set the laptop. Just wait. Do not make any noise. Just wait. Just wait. The laptop is error. Sorry. Just wait. Just wait. We will still continue the lesson. Nah, it should be like this (10) Comparing to the previous question, in this tag-switching, the simple fixed word was formed in Bahasa Indonesia nah. Then, related to its function, the trainee teacher tried to give a confirmation related to the picture projected from the laptop. However, the code-switching that was labeled by 10 still had the same pattern with the previous one. Another tag-switching that had different pattern related to the position of the simple fixed word insertion was observed in 11: (11)Students : . . . . . . . . (making noise) Teacher :I won't start if you are still making noise. Anyone, hello boys over there back to your seat please. I won't start the lesson if you still make noise, sudah? (11) Students :Sudah. Teacher :Okay, anyone, do you remember what we did in last lesson? Do you still remember what we did last lesson? In this tag-switching, sudah was inserted in the end of the sentence. It was contradictive with the previous pattern that the simple fixed word used at the beginning of the tag-switching. In 11, sudah was spoken in Bahasa Indonesia that was embedded in the English sentence. Moreover, concerning to its function, by delivering this code-switching the trainee teacher justified her authority in controlling the classroom situation since there were many students who kept busy in their talking when the lesson started. After delivering this tag-switching, the trainee teacher started the classroom activities when the situation was not too noisy. Then, not only found in 11, the second pattern of tag-switching also observed in 12: (12)Student 4 :Great time? Teacher :Great time has the same meaning with very happy. Mereka sangat bahagia setiap kali mereka berkumpul, clear? (12) Students :Yes. In 12, the trainee teacher spoke in Bahasa Indonesia first, then, she switched her talk to English by mentioning a simple fixed word "clear". Through this example, the trainee teacher used the same pattern of tag-switching as shown in 11 but it had different reason which was asking question toward the students' understanding. Besides the above examples, other simple fixed words found were eight in English; okay, sorry, right, hello, please, now, guys, and stop, and three in Bahasa Indonesia; ya, siapa, and jangan. All of them created the same pattern with the two examples explored which were either embedded at the beginning or at the end of the tag-switching. After investigating the existence of tag-switching, the second types of it namely inter-sentential switching was also implemented by the trainee teacher. There were 92 inter-sentential switching used by the trainee teacher during her teaching; 25 found in the first, 36 in the second, and 31 in the third observation. Generally, it happened in two patterns which were first, inter-sentential switching between sentences and second, inter-sentential switching between sentence and clause. The trainee teacher did inter-sentential switching between two sentences in 13: (13)Teacher :Okay, could you please continue your plans? Student 25 :I will visit Bandung on January. Teacher: Now, Rio. What is Granta's plan on January? Gak usah tanya yang lain (13). Student 26 :He will . . . The utterances in 13 were composed by two sentences, first sentence formed in all English and then it was followed by the second sentence stated in Bahasa Indonesia. The trainee teacher changed her talk after finishing her full sentence in one language first, and then stated the sentence in different language. This reason made it classified into inter-sentential between two sentences. Next, concerning on the function of this switching, at this time, the trainee teacher wanted student 28 to answer her question about student 25's plan on January. To elicit the student, the trainee teacher directed a question to him. Another example of inter-sentential switching between two sentences also used in 14: (14)Student 5 : Ya ampun angel e. Teacher :Contohnya seperti tadi ya. Just make piece of paragraph or writing. Caranya gampang kan, seperti tadi. (417) Student 5 :Ini dikumpulkan? The example showed that the trainee teacher mentioned the sentence in Bahasa Indonesia that was switched to English then returned to Bahasa Indonesia. This inter-sentential switching turned up when the trainee teacher wanted to give confirmation to the students related to the assignment given which was about creating a simple paragraph. Showing the different pattern, inter-sentential switching used between sentence and clause was found in 15: (15)Teacher :Just say the tree is okay, but tree of hopes is also okay because your tree contains of so many hopes so you can say the tree of hopes. Student 9 :Opo? Opo? Teacher :The tree is okay. The tree of hopes is okay. Because almost of all of these contain your hopes. That is okay. I give the name "the tree" or "the tree of hopes" karena pohonnya banyak sekali mengandung harapan-harapan kalian (15). The English sentence was spoken first and then followed by clause in Bahasa Indonesia. Here, the English sentence could actually stand by itself without any clause followed. However, in this case, the clause spoken in Bahasa Indonesia was used as an extended reason for the preceding sentence. As a consequence, it made the existence of inter-sentential switching between sentence and clause clearly seen. Moreover, through this switching, the trainee teacher gave a confirmation toward the title of the assignment given that the students asked. Also, the pattern of inter-sentential switching was observed in 16: (16)Students :Discussing and continuing their tree of hopes with their friends. Student 4 :Kalau pengen lihat Sakura di Jepang? Teacher :I will visit Japan to see the beautiful Sakura. Seperti ini nanti, on January I will visit France. (16) Bahasa Indonesia clause seperti ini nanti was stated just before the English sentence. Here, the trainee teacher used it as a tool to lecture the students about how to write down their plan for each month. Last, the analysis of the third type of code-switching which is intra-sentential switching found in 59 numbers. Starting from the first to the last observation, the number of intra-sentential switching was decreasing. There were 10 numbers found in first, then 20 numbers in the second, then reached up to 12 in the last observation. Furthermore, the present of intra-sentential switching can be observed when there is an insertion of word or phrase embedded in phrase stated in another language inside the sentence boundary. There were three patterns found contributed in intra-sentential switching. First pattern of intra-sentential switching is a phrase or word that was embedded into another phrase or clause formed in different language. This pattern was mentioned in 17: (17)Teacher :Apa ini pentingnya? Kenapa harus mempelajari ini? Kenapa kita harus mempelajari telling time? (17). Student 3 :Silent. Teacher :Ada yang tahu? On the above situation, the trainee teacher implemented intra-sentential switching by using Bahasa Indonesia to ask the students about the importance of the material given, Kenapa kita harus mempelajari . . . However, she still stated the theme of the lesson by inserting English phrase "telling time" at the end of the sentence that made the existence of intra-sentential switching used. By implementing this intra-sentential switching, the trainee teacher was able to make the students answer the question she asked about. The second example of the same pattern of intra-sentential switching labeled by 18: (18)Teacher :Jadi seperti itu, kalau misalkan kalian menggunakan ekspresi I wish (18). Contohnya seperti itu. Okay? Students : Yes. In the 18, the trainee teacher lectured the students by implementing tag-switching that happened between Bahasa Indonesia clause and an English phrase. The trainee teacher put her effort in order to explain the material given to the students by using this intra-sentential switching. Then, the second pattern is a word or phrase inserted in the middle of other words or phrases from another language. This pattern was stated in 19: (19)Teacher :Do you have another question? Student 9 :Kalau merayakan ulang tahun temen itu apa, Miss? Teacher :I will celebrate my friend's birthday. My friend pake apostrophe (19). Student 32 :Miss? Miss? The word pake which was taken from Bahasa Indonesia was inserted by the trainee teacher in between English phrase and word. My friend and apostrophe enclosed it on either side, therefore, pake was placed in the middle of them. Moreover, by delivering this intra-sentential switching, the trainee teacher lectured the students related to the lesson given. She informed the students about the use of apostrophe as a possessive noun mark that the students confused. Then, the same pattern of intra-sentential switching also supported by 20: (20)Teacher :To give me a new mobile phone. HP itu mobile phone. (20) Okay? Student 3 :Miss, kalau punya banyak permintaan? Teacher : I have a lot of . . . Here, the word taken from Bahasa Indonesia also stayed in between the two English words. Here the trainee teacher used it to give a confirmation to the students that hand phone is just the same with the mobile phone. Next, the third pattern of intra-sentential switching happened among several words in three languages in one sentence. This pattern appeared only in 8: (21)Teacher :Kata kerja pertama itu gak enek embel-embel e. Student :Ohh . . . Student 21 :Masih bingung, Miss Teacher :Okay. Verb one do not contain embel embel apapun (8). This intra-sentential switching was contributed by three types of languages; English, Javanese, and Bahasa Indonesia. It made the third type different from the two previous examples that were only composed from two types of languages. Furthermore, the word embel-embel, which was stated in Javanese, was inserted by the trainee teacher in between English phrases and Bahasa Indonesia word. This intra-sentential switching was delivered by the trainee teacher when she lectured the students about present tense. At that time, the students commonly made mistakes related to the form of verb that should be used in present tense. As a consequence, the trainee teacher gave them further understanding toward the case by saying intra-sentential switching in 8. After describing the types of code-switching used in trainee teacher's teacher talk, in summary, there were three types of them used in teaching foreign language classroom. They were tag-switching marked by the existence of simple fixed at the beginning or the end of the code-switching, inter-sentential switching identified from its composition between sentences or sentence and clause, and intra-sentential switching that used through word or phrase embedded in phrase or clause from another language, word or phrase inserted between words or phrases from another language, and words or phrase stayed in between two types of languages. DISCUSSION Related to the types of languages contributed on the code-switching done by the trainee teacher in her teacher talk, the implementation of various languages in the second language classroom was proven. The results pointed out the four types of languages; English, Bahasa Indonesia, Javanese, and Arabic that were reclassified by the researcher into five combinations based on the language combinations made by the trainee teacher. They were English and Bahasa Indonesia, English and Javanese, English and Arabic, Bahasa Indonesia and Javanese, and English, Javanese, and Bahasa Indonesia. They were used by the trainee teacher in running the second language classroom of the seventh grade in SMP Negeri 1 Madiun. Since the trainee teacher used various types of languages, it can be said that teaching English as a foreign language will not be able to be separated with the practice of other languages that both trainee teacher and students acquired before. Also reflecting on the same facts, the trainee teacher mostly used the first combination which was English and Bahasa Indonesia stated on 203 numbers in three observations recorded. Then, the others combinations only contributed in few numbers; English and Javanese appeared in 3 times, English and Arabic in once, Bahasa Indonesia and Javanese in twice, and last combination, English, Javanese, and Bahasa Indonesia in once only. Regarding to this fact, among the five combinations found, the trainee teacher preferred to use the first one among the others. Having compared to the theory of teaching English in the second language classroom, the trainee teacher's decision for applying various languages but still put English as the preferable language used among the others was on the correct track. It is believed since the implementation of English provides the language input for the students when there is a very limited support from the other resources (Stern, 1983). This condition was represented by the teaching English as a second language in the seventh grade of SMPN 1 Madiun. The students were lack of resources since English was only used in the English classroom. Then, concerning on the second research question, which was the types of code-switching used, there were three types of them were used in teaching second language classroom based on Sankoff & Poplack (1981). They were tag-switching marked by the existence of simple fixed at the beginning or the end of the code-switching, inter-sentential switching identified from its composition between sentences or sentence and clause, and intra-sentential switching used through word or phrase embedded in phrase or clause from another language, word or phrase inserted between words or phrases from another language, and words or phrase stayed in between two types of languages. Among the three types of code-switching used, inter-sentential switching was most implemented. The use of it was found in 25 numbers in first observation, then it became higher in the second observation which covered 36 numbers, then it decreased slightly in the last observation, 31 numbers. Then, in the second rank was tag-switching found in 60 numbers. In the first observation, it appeared on 18 numbers then enlarged up to 26 in the second observation then finally decreased to be 16 numbers in the third observation. Last, the fewest type of code-switching used was intra-sentential switching that was found in 59 numbers. Ten of them were implemented in the first observation then increased in the second observation and reached up to 12 numbers in the last observation. Referring to the theory in teaching English as a second language, the implementation of code-switching was also allowed to do. It is believed since the use of code-switching becomes an alternative way that can be utilized in bilingual or multilingual circumstances (Auer, 1998). Since English was taught as a foreign language in Indonesia, both teacher and students acquired their first language first. In this case, Bahasa Indonesia, Javanese, and Arabic were languages they spoke before. This reason caused the code-switching made by the trainee teacher composed of the four languages. Conversely, if both teacher and students did not live under the bilingual or multilingual circumstances, they would not have been able to speak various languages then the implementation of code-switching would not be there. Also, by implementing the first language, the process of acquiring the second language which was English would be considered as a successful process since both teacher and students understood the different things about them (Faerch & Kasper, 1983). When the code-switching was implemented, the English was not the only language that was allowed to be used. Here, both first language and English were used together. Through this practice, the understanding about their differences could be clear. For example, in 3, the trainee teacher described the differences between doubt and ndaut. The first word was taken from English while the second one was from Javanese. They both did not have any correlation related to their meaning. In order to make the students understand about them, the trainee teacher used both words in English and Javanese. The third point, in line with the reasons of using the code-switching in teacher talk reflected on Flanders (1970) which are lecturing, giving directions or confirmation, criticizing or justifying authority, accepting feeling, praising or encouraging, accepting or using the students' thought, and asking question towards the students. Among the seven reasons mentioned, only five of them became the reasons why the trainee teacher used code-switching in her talk when teaching English as foreign language was done. They were lecturing the students, giving confirmation, criticizing or justifying the authority, praising and encouraging, and asking question. Based on the above discussions, related to the types of languages and code switching done by the trainee teacher in her teacher talk, both of them were not deniable to be implemented since it revealed five positive reasons of using them. However, the use of English as a foreign language should be maximized in order to give a comprehensible input for the students. CONCLUSIONS Regarding to the results revealed in this study, it exposed the four conclusions related to the research questions discussed. First, related to the types of languages used by the trainee teacher in her teacher talk, there were four types of languages English, Bahasa Indonesia, Javanese, and Arabic represented on the five combinations namely English and Bahasa Indonesia, English and Javanese, English and Arabic, Bahasa Indonesia and Javanese, and English, Javanese, and Bahasa Indonesia. Second, there were three types of code-switching which were tag-switching, inter-sentential switching, and intra-sentential switching in five combinations namely English and Bahasa Indonesia, English and Javanese, English and Arabic, Bahasa Indonesia and Javanese, and English, Javanese, and Bahasa Indonesia. Third, there were five reasons of using the code-switching in teacher talk which were lecturing, giving directions or confirmation, criticizing or justifying authority, praising or encouraging, and asking question towards the students. REFERENCES Al-Otaibi, S. S. H. (2004). The Effect of "Positive Teacher Talk" on Students' Performance, Interaction & Attitudes: A case Study of Female Students at the College of Languages & Translation at King Saud University. King Saud University, King Saud. Ary, D., Jacobs, L. C., & Sorensen, C. (2010). Introduction to Research in Education. Belmont, CA: Wadsworth. Auer, P. (1998). Code-switching in Conversation: Language, Interaction and Identity London: Routledge. Bailey, K. D. (1994). Methods of Social Research (4 ed.). New York: The Free Press. Cook, V. (2000). Second Language Learning and Language Teaching (2 ed.). Beijing: Foreign Language Teaching and Research Press. Ellis, R. (1985). Understanding Second Language Acquisition. Shanghai: Foreign Language Education Press. Faerch, C., & Kasper, G. (1983). 'Plans and strategies in foreign language communication', in Strategies in Interlanguage Communication. London: Longman. Flanders, N. A. (1970). Analyzing Teacher Behavior. Addison-Wesley: Reading Mass. Gumperz, J. (1982). Discourse Strategies. Cambridge: Cambridge University Press. McCaffrey, D. F., Lockwood, J. R., Koretz, D., Louis, T. A., & Hamilton, L. (2004). Models for the Value Added Modeling of Teacher Effects. Journal of Educational and Behavioral Statistics, 1. Sankoff, D., & Poplack, S. (1981). A Formal Grammar for Code-switching International Journal of Human Communication 14(Papers in Linguistics), 3-45. Stern, H. H. (1983). Fundamental Concepts of Language Teaching. Shanghai: Shanghai Foreign Language Education Press. Susanto. (2010). Konsep Penelitian Tindakan Kelas dan Penerapannya. Surabaya: Lembaga Penerbitan FBS UNESA.
RAPE AND SHAME IN J.M. COETZEE'S DISGRACE Salman Muhiddin English Literature, Faculty of Languages and Arts, Surabaya State University salmanlatieff@gmail.com Drs. Much. Khoiri, M.Si English Department, Faculty of Languages and Arts, Surabaya State University much_choiri@yahoo.com Abstrak Pemerkosaan adalah setiap tindakan yang tidak diinginkan , manipulasi atau pemaksaan dalam bentuk aktivitas seksual. Tindakan pemerkosaan berdampak bagi pemerkosa dan korbannya. Dampaknya terhubung ke masalah psikologis , seperti kecemasan , depresi , dan gangguan mental lainnya serta perilaku moral yang bermasalah. Skripsi ini difokuskan pada tindak perkosaan yang dialami oleh karakter dan bagaimana hal itu menyebabkan rasa malu dalam novel Disgrace karya JM Coetzee. Secara khusus, tujuan skripsi ini adalah untuk mendeskripsikan bagaimana gambaran perkosaan yang dialami oleh karakter dan untuk mengungkapkan bagaimana perkosaan itu menyebabkan rasa malu dalam novel Disgrace karya J.M. Coetzee. Dalam analisisnya, skripsi ini menggunakan beberapa proses analisis , yaitu: (1) mengklasifikasikan kutipan-kutipan yang sejalan dengan masalah laporan, (2) menggambarkan tindakan perkosaan yang telah dialami oleh karakter, (3) mengungkapkan bagaimana pemerkosaan menyebabkan malu. Hasil analisis menunjukkan bahwa ada tiga macam pemerkosaan yang digambarkan dalam cerita. Pemerkosaan pertama terjadi antara David dan pekerja seks bernama Soraya. Pemerkosaan kedua terjadi antara David dan muridnya, Melanie. Yang ketiga dialami oleh putri David, Lucy. Setelah pemerkosaan itu, pelaku dan korban perkosaan merasa malu. David sebagai pemerkosa mendapatkan aib dan tekanan publik dari komite universitas dan mahasiswanya. Dia kemudian meminta maaf kepada keluarga Melanie. Sedangkan korban akan merasa malu untuk tampil di publik karena mereka takut aibnya terbongkar. Kata Kunci: Pemerkosaan, Malu, Aib Abstract Rape is any unwanted, manipulated or coerced forms of sexual activity. The act of rape has an impact to both the rapists and the rape survivors. The impact is connected to psychological problems, such as anxiety, depression, and other mental disorders as well as problematic moral behaviour. This study focuses on the characters' experience in raping and being raped, and how it leads to shame in J.M. Coetzee's Disgrace. In particular, the purpose of this study is to describe how rape is depicted by the characters and to reveal how the characters' rape leads to shame in J.M. Coetzee's Disgrace. In the analysis, this study does some processes of analysis, they are: (1) classifying the quotations which are in line with the problem of statements, (2) describing the rape that has been experienced by the characters, (3) revealing how rape leads to shame. The result of the analysis shows that there are three kinds of rape which is depicted in the story. The first rape is happened between David and the prostitute named Soraya. The second rape is between David and his student, Melanie. The third one is experienced by David's daughter, Lucy. After the rape, the rapist and the rape survivors get shame. David is getting disgrace and gets public pressure from the university committees and the students. He then ask for apologize to Melanie's family. While the rape survivors are getting shame after being raped. They are shame to make a public appearance because they are afraid of being discovered or found out by another person. Keywords: Rape, Shame, Disgrace INTRODUCTION The definition of rape varies state-to-state and can include anything from touching to actual penetration, but, generally, rape is any "unwanted, non-consensual, manipulated or coerced forms of sexual activity" (http://www.umich.edu). The act may be carried out by physical force,coercion, abuse of authority or against a person who is incapable of valid consent, such as one who is unconscious, incapacitated, or below the legalage of consent.The termrapeis sometimes used interchangeably with the termsexual assault, and the term of violent change into rape survivor. The rape effects can include both physical trauma and psychological trauma. Rape will also lead to shame. The feeling is connected to psychological problems such as eating disorders, substance abuse, anxiety, depression, and other mental disorders as well as problematic moral behavior. The shame is also reformed from some culture that sees the rape victims are dirt. For example, a rape victim especially one who was previously a virgin, may be viewed by society as being damaged. According to Alliance, victims in these cultures may suffer isolation, be disowned by friends and family, be prohibited from marrying, and be divorced if already married, or even killed. This phenomenon is known as secondary victimization. Secondary victimization is the re-traumatization of the sexual assault, abuse, or rape victim through the responses of individuals and institutions. Rape also affects the rapist. If someone known as a rapist he will be the public enemy. The rapist may lose their dignity, job, and friends. Punishment for rape in most countries today is imprisonment. Thus he will get ashamed but the right term for rapist is disgrace. On the previous study Feminine Shame Masculine Disgrace, Nurka put little bit different from shame, "people with disgrace will automatically being shame. Disgrace is brought from without ('put to shame'), or is directed outward from its source ('a person who or thing which is the cause or source of disgrace')." (Nurka, 2012: 311). J.M. Coetzee is a South African writer born under the apartheid government. Coetzee is unveiling many fragile topics in South Africa from many of his books. He elegantly put the theme rape over the race to depict the social condition of 'New South Africa'. Rape of women by men has occurred throughout recorded history and across cultures. As the novel background, South Africa is often labeled the rape capital of the world. The prevalence of rape, and particularly multiple perpetrator rape, is unusually high. Coetzee puts the concept of rape and shame in novel 'Disgrace'. The narrative follows a white South African professor's, David Lurie, escape to his daughter's farm, after he raped his student, Melanie. The farm is soon attacked and robbed by three black men, and the daughter raped. As father and daughter piece together their strained relationship and individual lives, they must reconcile their positions in the "New South Africa," to Lucy, is gang-raped by three men on her smallholding in the Eastern Cape, but she chose to say nothing about what happened to her. She decided to take the shame on her own. While on David, he rents a room in Grahmstown to help his daughter at the market once a week and to dedicate himself to the disposal of the dogs' bodies at the shelter. He cannot back to Cape Town because he has nothing left there for his disgrace. The university had replaced him with another professor. Once he went to Melanie house bring up all his disgrace to ask for forgiving to her parents for what he did through Melanie and family. In accordance of background study above, it can be simplify to discuss among two problems that emerge as significant concern toward this novel. How rape is depicted by the characters in J.M. Coetzee's Disgrace? How the characters' rape leads to shame in J.M. Coetzee's Disgrace? To answer the first problem, this study uses the concept of rape. Rape is a multidetermined behaviour that will ultimately be explained only by models incorporating a multitude of dimensions." (Prenkty and Knight, 1991: 657). The dimensions that are possibly to explain rape are through feminist theory, evolutionary theory, self-controlled theory, narcissistic theory, and crime theory. (Lowell, 2010: 159-161). Those theories can be used to help explain how rape occurs. Feminist theorists explain that the culture of male dominance is responsible for rape occurring. On his book Rethinking Rape, Cahill simply delivered that feminist theorists assert that rape is only one symptom of the larger problem of a male dominated society. Feminist theorists see rape as more of a violent act than a sexual act, and claim that rape is inspired by political motivations to dominate and degrade. Feminist theorists also deny that rape has an individualistic nature, but claim that rape is "nothing more or less than a conscious process of intimidation by which all men keep all women in a state of fear" (Cahill, 2001:16). Self control theory can lead to a man committing rape against a female. It is based on the premise that the male sex drive is uncontrollable. Men with this belief say that their sexual urges cannot be controlled and they are not responsible for their actions. Proponents of this theory "[propose] both that men's sexual energy is difficult to control and that women have a key role in its loss of control," since women deny sex to men who have to relieve their sexual drive (Polaschek & Ward, 2002, p. 13). This theory can be tied to Gottfredson and Hirschi's low self-control theory. Low self-control theorists posit that, since criminal acts provide immediate gratification, criminals will engage in them because they are not able to defer gratification. A biological explanation of rape includes Thornhill and Palmer's evolutionary theory of rape .Proponents of this theory claim that those men who were able to force their sexual desires on women were able to reproduce more efficiently, and thus have more offspring with their traits. Thornhill and Palmer are "dismissive of rape theories that emphasize the role of culture and learning in the acquisition of rape-prone traits, arguing that culture is only possible because individuals have evolved capacities that enable them to learn" (Siegert & Ward, 2002:6). Another theory that can explain rape is the narcissistic reactance theory, which is also tied to Gottfredson and Hirschi's (1990) low self-control theory. In this theory, narcissists are defined as having a "lower proneness to shame and guilt," having "unrealistically positive self-evaluations," and being "especially likely to respond to bad evaluations by blaming other sources, including the evaluator and the technique of evaluation" (Baumeister et al., 2002: 3). These theorists claim that the, "tendency to respond to esteem threats by getting angry and blaming others may contribute to the elevated level of interpersonal difficulties that narcissists report" (Baumeister et al., 2002: 4). The second problem is using the concept of shame. Some victims of rape are feeling dirty, devalued, and humiliated as a result of a sexual assault. Feelings of shame are often related to the powerlessness and helplessness victims experience during a sexual assault. Shame may also be a reaction to being forced by the assailant to participate in the crime. Shame is the painful feeling of having done or experienced something dishonourable, improper and foolish. Shame is what prevents many survivors from speaking about what happened to them. Shame is an attack on the survivor as a person. It is the feeling you get when you are sure that someone will think poorly of you because you were assaulted. Shame is longer lasting, and ultimately more dangerous than guilt. The feeling of shame is so intense for rape victims that many of them never tell anyone what happened to them. Even in psychotherapeutic settings, victims of rape often avoid talking about what happened to them. (http://www.healthyplace.com/abuse/articles/guilt-and-shame-of-being-raped/, retrieve on: 15 April 2014). Shame is already bears the germ of guilt. Shame becomes guilt when the social norms are internalized as one's own feelings of value and when self-condemnation anticipates public exposure. This presupposes the development of a personal centre, with the beginning capacity to regard oneself as the originator of one's actions, to evaluate and feel responsible for them. In contrast to shame, guilt is no more bound to the immediate presence of the other; its impact is more lasting. The event one is to be blamed for sin in the past. Thus the present rejection of shame becomes the already executed expulsion of elementary guilt. Instead of being exposed to, and paralyzed by, the others' gazes, the culprit feels, as it were, already abandoned. (Thomas Fuchs, 2003: 8). RESEARCH METHOD Research method 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. This study uses novel of J.M. Coetzee, entitled Disgrace that published by Vintage, Random House, 20 Vauxhall Bridge Road, London, Great Britain, 1999 as the main data of the study. The data are in the form of direct and indirect speech of the characters, dialogues, epilogues and quotations which indicate and represent aspect of rape by the characters that lead to shame. 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. The analysis is done by the following steps: (1) 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 the depiction of rape and how it leads to shame. (2) Describing David Lurie's and Lucy's rape which is stated from the quotations or statements. (3) Describing how the shame and disgrace they got which is stated from the quotations or statements. (4) Revealing the relations between rape and shame. The quotations that showed how the characters' rape leads to shame are taken as data. (5) Drawing the conclusion based on the analysis which is in line with the problems. ANALYSIS The first analysis is the depiction of rape. In Disgrace the rape parted in three different background and motif. The first rape is from David to Soraya the prostitute woman. David uses his financial advantages to buy woman for sex. After the relationship with Soraya ended David engage to a scandal with his Student Melanie. David admits that he misused his authority as a lecturer to have sex with his student. This depicts the condition of male domination particularly in South Africa. The last rape happened to David's' daughter, Lucy. She raped by three black African intruders. The rape of Lucy remains mystery for her silence to not tell the policemen about the incident. In his age of fifty two, and divorced, David proclaim that he has solved problem of sex rather well even without a wife. However, the reason of his 'solved problem of sex' for over one year is Soraya, a high-class prostitute girl from an escort service. She is a coloured woman that David has a historical interest. She has a honey brown body. She is tall and slim, with long black hair and dark, liquid eyes. Simply said this beautiful girl becomes his sources of happiness. "It surprises him that ninety minutes a week of a woman's company are enough to make him happy, who used to think he needed a wife, a home, a marriage" (Coetzee, 1999:5). David's ideal marriage is with a wife that is a prostitute, but for him only and only at certain times. He met Soraya only on Thursday. On the other day he is back to his normal life. With Soraya he already find the happiness he belief. It makes him thought; there is no need to search for another life destination such as home and real wife. It made David rely on prostitution in his sexual life. Prostitution as the solution allows him to fantasize that a woman mirrors his wishes. He bought sex he wanted and she got extra money from him. For David money is no problem concerning that he lived alone with his salary as a professor and lecturer. As a consequence, he paid double for her. At least his money is worthy for finds her entirely satisfactory. As a customer, David is on dilemma seeing this prostitution. He knows that every woman in the prostitution is perforce. Women in prostitution would leave if they could. The term is an indicator of their hopelessness. "They tell stories, they laugh, but they shudder too, as one shudders at a cockroach in a washbasin in the middle of the night" (Coetzee, 1999:8). In their mind, they see that women in prostitutes are disgusted with their customer, so does the customers. Soraya just pretended to keep their customer satisfied. Prostitutes sometimes talk of the feeling of power they experience when they are with their customer. They are talking about a feeling of control when engaged in sexual acts. They soon feel the disadvantages of that particular way of life. It also exposes the fragility of the illusion of control over what another subject wants. If a man wants a woman to want what he wants, he can only force her to pretend to want his desire and then he has also to deny that pretence. David then met Melanie, his student. He treats her under the wine and romantic music, the Mozart clarinet quintet. He made his move to seduce Melanie in some conversation. He talked about poetry, music, food, and his past life. Then, after he offered some liqueur, the higher alcoholic drink, he said directly to Melanie, asking her to do something reckless. He touch her and said "You're very lovely . Stay. Spend the night with me." (Coetzee, 1999: 16). Melanie refused his liquor but accept a shot of whisky in her coffee. She should say no at that time instead wonder and ask why. She trapped to this conversation: 'Why?' 'Because you ought to.' 'Why ought I to?' 'Why? Because a woman's beauty does not belong to her alone. It is part of the bounty she brings into the world. She has a duty to share it.' (Coetzee, 1999: 16) As a professor of language and communication, David, could easily manipulate the words, he says. The way he talked to Melanie reflects his experience through many women. "Smooth words, as old as seduction itself." (Coetzee, 1999: 16). He says it indirectly to make Melanie believes what he belief. He makes the statement so convincing and become hard to decline. Melanie herself was mistaken to ask more to David, because she did not know how to deal with him. Instead saying 'why', she should say 'no' to David when he asked her to stay. So she would not get in this complicated situation. Maybe she should already say 'no' when David asked her to come to his house. David was in a grip of something and he would not let it go. However, what is done is done. The next day David asked Melanie to go lunch. Again, Melanie cannot reject David offer. There is still time for her to tell a lie but she is too confused, and the moment passes. In the restaurant, they got an awkward situation because Melanie lost her appetite and there was a long silent. Then David asked to Melanie about what is on her mind: `Is something the matter? Do you want to tell me?' She shakes her head. `Are you worried about the two of us?' `Maybe,' she says. `No need. I'll take care. I won't let it go too far.' Too far. What is far, what is too far, in a matter like this? Is her too far the same as his too far? (Coetzee, 1999: 19) After the harassment from David a day before, Melanie must wonder about his plan. The women should worry about her safety. Because feminist, Cahill, agree that one of the rape purpose is to take women into state of fear, and it is he responsibility of masculinity and the construction of patriarchy. Men are possible to keep women as a fragile creature and need protection. Knowing that Melanie may feel bad about this situation, David guarantees that the thing would not go too far, he put Melanie to feel safe at least. This is another tactical seduction that is done by David. He manipulates the situation and manages it like there is nothing happen like everything is fine. It is not hard for him to do it concerning that Melanie was an easy target for him. The rapist always seeks the powerless people to be his target. Finally, they have sex for the first time. Even though, it is not the first time for both of them. David took Melanie to his house after getting lunch in the restaurant. They did it on the living room with rain sound pattering. Melanie is passive on the first time they have sex. While David finds the act of her passivity is so enjoyable. Melanie is passive like Soraya. She does not crawling, bite, and aggressive. She is his typical woman he was searching for. He was having sex with another whore after Soraya left him. But he did not like it because she is aggressive. So he never does it again with her. His desire was only on Melanie this time. It is stated in the novel that "She struck up a fire in me" (Coetzee, 1999: 166). Fire is a symbolization of energy that can stimulate one's desire. This fire heat up his libido that pushes him doing something undesired to the core. In the rape theory, David can be considered as narcissistic because he tend to be willing to do whatever it takes to achieve the goal that they want from a relationship, including rape. In this theory, narcissists are defined as having a lower proneness to shame and guilt, having unrealistically positive self-evaluations, and being especially likely to respond to bad evaluations by blaming other sources, including the evaluator and the technique of evaluation. Narcissistic suits David as a rapist. He has lower sense of shame, as teacher and student he took Melanie to go out lunch just the two of them. Considering that he is the famous person in the city, people will wonder what is he up to. In the restaurant he seduced her and ask her to do something wild. He is implying that she has to have sex with him. But the relationship become a scandal that makes him lost his job. After realizing that there's nothing left for him in Cape Town, David wanted to change the atmosphere. He moved to the east across the country to the rural town of Salem in the Eastern Cape, where his daughter Lucy lives alone on a smallholding, growing vegetables to sell at the Saturday market and running a kennel for dogs. David begins a new life there, helping Lucy at the market, assisting Lucy's neighbour Petrus with odd jobs as "I am the gardener and the dog-man" (Coetzee, 1999: 64), and volunteering at the Animal Welfare Clinic with Bev Shaw. Lucy is leftish which make her the reversal of her father. She even did not want call herself a boss by Petrus. She is not individualist but socialist. She helps people no matter who they are. But this time she made big mistake by risk herself to strangers. Lucy tells David to stay outside while she takes the tall man indoors to use the phone. The second man runs in to the house behind them and locks David out. In a total panic, David let go of the bulldog's strap and commanded the dog to go after the boy. Then he kicks down the kitchen door. David tried to save Lucy but he felt someone whack him over the head. He falls down, barely conscious, and feels himself being dragged across the floor. When he realize, he's locked in the bathroom and wondering what's going on with Lucy. The second man comes in to get the car keys from David and then locks him back in. Meanwhile, he looks out and sees the tall man with a rifle. The tall man starts shooting the dogs one by one, splattering brains and guts all over the place. And if that isn't bad enough, the second man and the boy come back in the bathroom, douse David with alcohol, and set him on fire, luckily just his hair catches burning and he extinguishes himself in the toilet. They leave, stealing David's car. David and Lucy are left to deal with everything that just happened. During this whole nightmare, Petrus is nowhere to be found. After being raped, Lucy decided to not report the rape to the police. The silent of Lucy depict the subjugation or conquest. "No I am not blaming you, that is not the point. But it is something new you are talking about. Slavery. They want you for their slave." (Coetzee, 1999: 159). Lucy response him and disagree with "Not slavery. Subjection. Subjugation." (Coetzee, 1999: 159). This makes Lucy as the rape survivor depend on men to get protection. The second analysis is about how rape leads to shame. In Disgrace the rape that experienced by the rapist and the rape survivor transform and effect their life worst then before. From the previous study Nurka classified the effect of rape by gender: (1) Female as the object will get shame, (2) men as the subject will take disgrace. (Nurka, 2012: 310). The male character, David Lurie, got disgrace after doing sexual harassment to his student, Melanie. As the rapist, David will be haunted by his sin and losing his reputation and his job. While Lucy, the rape survivor got shame after being raped. The act of rape means to take away by force which the dignity is to be taken. Loosing dignity makes woman feel shameful. It turns out that the act of rape is not only giving shame feeling to the victims but also to the rapist. Soraya knows about the attachment of shame for being prostitute. Then when she met David in the midtown, she was afraid if the public know who she is. This is because David is the famous person in Cape town. "He has always been a man of the city, at home amid a flux of bodies where Eros stalks and glances flash like arrows" (Coetzee, 1999: 6). Concerning that shame is social affect associated with being discovered or found out by another person, she knew that he is the famous person in the city. It is too risky to stay in public with him. There is a high possibility that her secret will spread. Then to keep her pride for her children Soraya decided to quit the job. She did not want her children knows their real mother is. So she decided to resign from the escort and disappeared from that business. David ought to end but he pays a detective to tracking Soraya instead. When he got the number he makes a call. Soraya surprise and wondering abot how he gets the numbers. She did not talk for a moment. She wondered because the agency has a rule about keeping the former prostitutes identity. After the silent she said "I don't know who you are,' she says. 'You are harassing me in my own house. I demand you will never phone me here again, never." (Coetzee, 1999: 10). After this moment he did not contact Soraya anymore. For Melanie, after she gets the coercive sexual by David, she becomes a different person in class. She even absent when it was on midterm test. Then she told her boyfriend that her professor have sex with her. The boyfriend then angry to him and vandalize his car, deflated the tires and injected a glue on both door. "After this coup de main Melanie keeps her distance. He is not surprised: if he has been shamed, she is shamed too." (Coetzee, 1999: 31). The gossip may be starting to spread so she tries to not meet him. But on Monday she reappears in class and beside her, leaning back in his seat, hands in pockets, with an air of cocky ease, is the boy in black, the boyfriend. The student in the class knew about what is going on from the gossip. They are clearly waiting to see what the professor will do about the intruder. Professor let the boyfriend intrude to the class but then he asked Melanie to come to the office and tell her to not let the boyfriend do that again. After that moment Melanie never come to the class anymore. Furthermore, after being ashamed she decided to give up her study in the university. Thus her father asked David to tell Melanie to not give up. At this moment, Melanie's father , Mr. Isaacs did not know that David is the causes of his daughter wanted to quit the university. As David thought "I am the worm in the apple… how can I help you when I am the very source of your woe?" (Coetzee, 1999: 37). After knowing that David rape his Doughter Mr. Isaacs tell him that what e sad done is not right. He imply that he does not sending her daughter to the nest of viper that poisoned her daughter with the act of rape. He feels ashamed about what was happen. He disappointed that an educated person like Professor David do an embarrassing and stupid thing. After the university fired David, Melanie continued her study. From the university scandal Melanie is regarded as victims and the professor is the one who responsible. Thus the disgrace runs to David. Even though Mr. Isaacs' family got ashamed too from his rape they not reported this to the policemen. David is lucky this time. It is obvious that the rape survivor will blessed with so much shame. It is also happened on Lucy. The first thing she did is staying at home. She does not want to go outside. The trauma and the fear will grow upon her. In earlier days after the rape he stated that he was nothing, heist e dead person. She did not want to meet people too. She would rather hide her face, and he knows why. Because of the disgrace. Because of the shame…. Like a stain the story is spreading across the district. Not her story to spread but theirs: they are its owners. How they put her in her place, how they showed her what a woman was for. (Coetzee, 1999: 115) It is a related to shame that person who gets shame will hide itself from public. Lucy was avoiding he people talk and question. It takes a time to recover from this trauma. But she could not let it go to long because if she do not going outside she will lose her job and stall in the market. To replace her, David and Petrus doing her job in the market. The damage that is given to Lucy, the rape survivor, may attached forever. She felt everything will never be the same. "One is never oneself again?" (Coetzee, 1999: 124). Is "Lucy" still "Lucy"? Lucy also emphasizes the existence of herself "I am not the person you know. I am a dead person and I do not know yet what will bring me back to life." (Coetzee, 1999: 161). With nothing to left she got nothing to lose. Then she decided to take consequences of human body in pain. Lucy takes the consequences of human body in pain. "I must learn to accept. To start at ground level. With nothing. Not with nothing but. With nothing. No cards, no weapons, no property, no rights, no dignity." (Coetzee, 1999: 205). From the sentence above it is shown that Lucy is starting to understand her condition after being raped. She decided to start her business in farm and her vendor. Although she realises that she has nothing left. The rapist also takes her dignity that is the biggest loose after the rape. A woman without a dignity will judge herself as a shameful person. She also feels that she has no right to her own land and properties. It is because Petrus take over it. As the rapist, David Lurie got public pressure from university committee and the students. At first he does not confess that he is guilty. But after her daughter being raped by three African intruders he contemplate and change his attitude. Then he ask for apologize to Melanie's family. After the scandal of lecture and his student were reported in university newspaper, the university made a committee. When answering the question, David giving no clue to the judges. David was making confusing issues to them. The committee not wanted to force David to make apologize. They wanted to help David to keep doing his career by making a statement to make it clear. But he resisted by saying "I am being asked to issue an apology about which I may not be sincere?" (Coetzee, 1999: 58) David's refusal to be "disgraced" can be read as a warlike strategy in the realm of sexual politics. For by renouncing the assault, David transfers the shame he feels upon Melanie in an attempt to strengthen his wavering masculinity and suppress her intimidating femininity. He plead guilty when he was in the committee. He remains silent and giving no story from his side. When David asked someone in the neutral position that is his former wife, Rosalind. She told him that he should have known that he is too old to be meddling with other people's children. He should have expected the worst from the scandal. She also blame the two for all that happened. `Don't blame her! Whose side are you on? Of course I blame her! I blame you and I blame her. The whole thing is disgraceful from beginning to end. Disgraceful and vulgar too. And I'm not sorry for saying so.' (Cortzee, 1999: 45) David feels disgrace on himself but he still cannot accept it. He said nothing to the committee and plead guilty. But from her former wife explanation he cannot resist it. Even though he must be so angry when he heard what she said. But he controlled his emotion and accept the disgrace given by the rape. For earlier, David is described as "mildly smitten with Melanie" and that "it was no great matter: barely a term passed when he did not fall for one or other of his charges" (Coetzee, 1999: 11-12,). Masquerading as the tragic subject of the ungovernable impulse of Eros, David publically justifies and renounces the stigmatization of Melanie's rape.David's lack of a sincere apology and his refusal to publically acknowledge the assault, along with his fanciful illustration of himself as a "servant of Eros" (Coetzee, 1999: 52) demonstrates the way in which disgrace (though masked as desire) is felt by men as a response to threatening femininity. Spurned and embarrassed by the loss of his womanizing charms, David's shame is directed into lust, later to be passed off as "Eros" when he encounters Melanie Isaacs, whom he refers to as "Melanie: the dark one" (Coetzee, 1999: 8). As with Soraya, David's seduction of Melanie is an attempt not only to reclaim sexual privilege, but to emphasize the traditional patriarchal procedures of the European culture, in which such privilege, like Lurie himself, is embedded. The worst thing from David's disgrace is how he, an intellectual person which had title a professor, becomes a person who can do nothing except working in bad place. To be a dog-man, that he already underestimate it on Petrus. By the time, David realized that he can't do nothing but accept what the destiny does. The situation that makes him to take any job turned David into a rational man. What David has and does in the university, which let him to become an intellectual people, disappear when he moved out. He then realized that what he writes about Byron and natural poets all this time is all about the death person. He never writes something in contemporary. CONCLUSION There will be two conclusions which are in line with the statement of problems. The first conclusion is about the depiction of rape in the novel Disgrace. The second conclusion is about how rape lead to shame through the rapist and the rape survivor. From the analysis that has been done about the depiction of rape. It can be concluded that that the author, J.M. Coetzee use the rape to describe the condition of race in post apartheid. All the rape in this novel is interracial rape. There are three kinds of rape experienced by three female characters. The first and the second rape was done by David, white male character that desiring ethnic women. He lived in promiscuity or womanizer that used to have sex with a lot of women. Then in the end he involved in scandal with his student, Melanie. Then the third rape was done to David's daughter, Lucy. She was being raped by three African intruders. The first rape is happened between David and the prostitute, Soraya. On his age of 50 he has no plan to married again. Thus, it made David rely on prostitution in his sexual life. His ideal marriage is with a wife that is a prostitute, but for him only and only at certain times. He met Soraya only on Thursday. On the other day he is back to his normal life. With Soraya he already find the happiness he belief. It makes him thought; there is no need to search for another life destination such as home and real wife. Prostitution gives the solution that allows him to fantasize a woman to mirrors his wishes. This can be classified as rape concerning that every women in prostitutes would leave if they can and she has to do it because there are no other choices. But in the end Soraya decided to quit the job as prostitutes so he has no other place to suit his lust. Then, accidently David met Melanie on the way home. She is his student from romantic class. Melanie is a colored girl, this make David interest to her concerning that he is desiring ethnic women. He forced her to have sex. He did not force her physically but seduced her with suggestive words. The relationship between them then became a scandal in the campus and also became the talk of the city. He left the town and visits his daughter in other town to run away from the situation. During his visits to his daughter, three black men attack Lurie and Lucy at home. The men lock Lurie in a bathroom and rape Lucy in the bedroom. The second half of the novel deals with the aftermath of that moment. Lucy did not want to tell the police and keep silent about what happened to her. She also rejected her father offer to move to Holland. She claimed that it is a private matter and not to be shared. With nothing to left she got nothing to lose. Then she decided to take consequences of human body in pain. Accepting the subordinates , she is willing to sacrifice herself, brings peace between the different racial groups in South Africa. The second conclusion is about how rape lead to shame. In Disgrace the rape that experienced by the rapist and the rape survivor transform their life worst then before. The act of rape means to take away by force which the dignity is to be taken. Loosing dignity makes woman feel shameful on herself. While the rapist that considered as a thief will judge as disgraceful person after the rape. The male character, David Lurie, got disgrace after doing sexual harassment to his student, Melanie. As the rapist, David will be haunted by his sin and losing his reputation and his job. While Lucy, the rape survivor got shame after being raped The first shame is from the prostitute, Soraya. She felt the shame for being prostitute because every prostitutes is attached to shame. Then to keep her pride for her children, Soraya decided to quit the job. She did not want her children knows their real mother is. So she decided to resign from the escort and disappeared from that business. The second shame is from Melanie that involved in scandal with her lecture, David. She was shame for being reported even as victims. She often not attended the class even it was a midterm test. But she still survives to continue his study to university. This is maybe because David was kicked out from the university and not to be someone near her. The third shame is from Lucy, she raped by three African intruders. She is a lesbian that live alone in the small town. She thought that the rape that she got is the payment for living in South Africa. She felt that the rapist wants her to back home to Europe because the westerner's does not belong to South Africa. Then she decided to stay and stay silent about the rape, and keeping her shame as a private matter. The last disgrace is from David, as rapist, David Lurie got public pressure from university committee and the students. At first he does not confess that he is guilty. He loses his job as a professor and turn to be an animal's clinic assistance for killing unwanted dog. After her daughter raped by three African intruders he then contemplates and changes his attitude. He ask for apologize to Melanie's family for his feeling guilty that he never confess before. The ending of the novel shows us that Lucy as the rape survivor could start her life again from the start. She continued to seeding a new plan even she is on pregnancy. He father, David, started to understand that he live in South Africa. Then, he stop complaining about the condition. Disgrace ends with Lurie staying on in Graham's town, continuing to help out at the animal clinic. The open ending of the novel shows Lurie playing excerpts from his opera in the making on a makeshift toy banjo to the three legged dog, Driepoot, who is awaiting his turn for mercy killing. REFERENCE Abegunde, Babalola. 2013. Re-Examination of Rape and Its Groing Jurisprudance under International La. Journal of Politics and Law. Vol. 6, No. 4. Abbey, A., Parkhill, M., Clinton-Sherrod, A. & Zawacki T. 2007. A comparison of men who committed different types of sexual assault in a community sample. Journal of interpersonal violence. Baumeister, R., Catanese, K. & Wallace, H. 2002. Conquest by force: a nacissistic reactance theory of rape and sexual coercion. Review of general psychology Bushman, B., Bonacci, A., Dijk, M. & Baumeister, R. (2003). Narcissism, sexual refusal, and aggression: testing a narcissistic reactance model of sexual coercion. Journal of Personality and Social Psychology. Cahill, A. (2001). Rethinking rape. Ithaca: Cornell University Press Coetzee. J.M. 1999. Disgrace. London: Vintage, 2000 Fuchs, Thomas. 2003. The Phenomenology of Shame, Guilt and the Body in Body Dysmorphic Disorder and Depression. Journal of Phenomenological Psychology. vol. 33, no. 2. Gottfredson, M. & Hirschi, T. 1990. A general theory of crime. Stanford: Stanford University Press Lowell, Gary. 2010. A Review of Rape Statistics Theories and Policy. Undergraduate Review. Massachusetts: Bridgewater State University. Nurka, Camille. 2012. Feminine Shame/Masculine Disgrace. Journal of Cultural Study. University of Melbourne Prentky, R. & Knight, R.1991. Identifying Critical Dimensions for Discriminating Among Rapists. Journal of Consulting and Clinical Psychology Siegert, R. & Ward, T. 2002. Rape and evolutionary psychology: a critique of Thornhill and Palmer's theory. Journal of Aggression and violent behavior
Issue 33.1 of the Review for Religious, 1974. ; Review ]or Religious is edited by faculty members of the School of Divinity of St. Louis University, the editorial offices being located at 612 Humboldt Building; 539 North Grand Boulevard; St. Louis, Missouri 63103. It is owned by the Missouri Province Educational Institute; St. Louis, Missouri. Published bimonthly and copy-right (~) 1974 by Review ]or Religious. Composed, printed, and manufactured in U.S.A. Second class postage paid at St. Louis, Missouri. Single copies: $1.75. Sub-scription U.S.A. and Canada: $6.00 a year; $11.00 for two years; other countries, $7.00 a year, $13.00 for two years. Orders should indicate whether they are for new or renewal subscriptions and should be .accompanied by check or money order payable to Review ]or Religious in U.S.A. currency only. Pay no money to persons claiming to represent Review ]or Religious. Change of address requests should include former address. R. F. Smith, S.J. Everett A. Diederich, S.J. Joseph F. Gallen, S.J. Editor Associate Editor Questions and Answers Editor January 1974 Volume 33 Number 1 Renewals, new subscriptions, and changes of address should be sent to Review for Religious; P.O. Box 6070; Duluth, Minnesota 55802. Correspondence with the editor and the associate editor together with manuscripts, books for review, and materials for "Subject Bibliography for Religious" should be sent to Review for Religious; 612 Humboldt Building; 539 North Grand Boulevard; St. Louis, Missouri 63103. Questions for answering should be sent to Joseph F. Gallen, S.J.; St. Joseph's Church; 321 Willings Alley; Philadelphia, Pennsylvania 19106. Review for Religious Volume 33, 1974 Editorial Offices 539 North Grand Boulevard Saint Louis, Missouri 63103 R. F. Smith, S.J. Everett A. Diederich, S.J. Joseph F. Gallen, S.J. Editor " Associate Editor Questions and Answers Editor Review ]or Religious is published in January, March, May, July, September, and November on the fifteenth of the month. It is indexed in the Catholic Periodical and Literature Index and in Book Review Index. A microfilm edi-tion of Review ]or Religious is available from University Microfilm; Ann Arbor, Michigan 48106. Copyright (~ 1974 by Review for Religious. Documents concerning Religious The following are seven recent documents concerning religious given here in chronologi-cal order and in the English translation provided by the weekly English edition of L' osservatore romano. LETTER TO THE GENERAL OF THE JESUITS To Our Beloved Son PETER ARRUPE Superior General of the Society of Jesus On the solemn occasion of Easter last year you intimated to Us that you were thinking of calling a general congregation of your Society in the year 1974, whose task it would be to explore the most apt ways for the Society to per-form its work in the Church and in the world of today. Importance of the Congregation Our Venerable Brother, the Cardinal Secretary of State, replying in Our behalf,~sent you Our best wishes. Now that you have publicly annoUnced the general congregation, and the provincial congregations are soon to be held for the election of delega.tes and for the preparation of postulata to be proposed to the general congregation, We Ourselves because of the love We bear the Society wish to address Ourselves through this letter to you and your companions to encourage you and to send you Our best wishes for a happy outcome of the congrega.tion. For we are well aware of the great im-portance of convoking it at this time, which could be an hour of decision, so to speak, for the Society of Jesus, for its future destiny and for its task in Church, as it is also for other religious families. 4 / Review for Religious, Volume 33, 1974/1 This meeting is a sign--and We are happy to say so--that the Society of Jesus is making a great effort, in accordance with the aims of its institute, to adapt its life and its apostolate to the needs of today's world, which is so constantly and rapidly changing. The Mind ot Vatican II Your desire, in fact, corresponds with the norms of the Second Vatican Council, the proper and careful implementation of which We Ourselves are strenuously trying to attain. Indeed, the congregation is in accord with the opinion of the Council fathers who said: "Effective renewal and proper adap-tation cannot be achieved except with the cooperation of all the members of the institute" (Decr. Perfectae caritatis, 4). However, if that universal Synod was looking for renewal fitting the needs of the present, it did not want this to be brought about through a hazardous experimentation that might be alien to the very character of the religious family, or lead to an abandonment of the primary values of a life consecrated to God. No, it was the mind of that Synod that the common elements of religious life should be confirmed and that they should be allowed to grow and develop. These are: a following and imitation of Christ, "as proposed in the Gospel" (ibid., 2); a renuncia-tion of worldly things so that the religious might live for God alone and for the building up of the Church; a practice of all the human and Christian vir-tues, best achieved by a joyful and constant observance of the vows (cf. ibid., 5), which should lead to the heights of the spiritual life where sublime contemplation is joined with magnanimous action. In Our apostolic exhorta-tion "Evangelica testificatio," which We published later, We explained all this in more detail and dealt with it more fully, using it as a paternal invita-tion to all religious that "they might shed light among men, so that, when they see the good you do, they might give praise to the Father in heaven" (cf. Mt 5:16). The Society of Jesus, especially called to walk in the path of the follow-ing of Christ, should feel itself particularly impelled to review its style of life, testing it constantly in the light of the Gospel, according to the exhortations contained in the words and example of St. Ignatius. Let this be undertaken with a view to actually effecting the renewal begun at the instance of the Council, taking into account new circumstances and needs. This should be done, however, in accordance with the spirit of the Society of Jesus, that is, in fidelity to its tradition which is based on .Christ, on the Church, on St. Ignatius. Hence, that the preparation for the coming General Congregation may not be limited to organizational matters, but give to all the members of the Society of Jesus a proper orientation and win their full commitment to it, they will have to rehearse with penetrating insight, a clear grasp of reality, and a profound sense of duty those principles of the spiritual and apostolic life which for centuries formed, as it were, the very structure that held the Documents concerning Religious / 5 Society together, and which made it a most serviceable instrument for a pastoral, missionary, and educational apostolate involving cultural forma-tion of" the highest excellence. Those responsible for this accomplishment were a large group of men distinguished for holiness of life and love of neighbor. Sources of Strength The foundations of religious formation which were laid in the past should today, even under changed conditions, still be the source of strength of the Society of Jesus. They are: a diligent dedication to prayer, which "has its origin in the authentic sources of Christian spirituality" (cf. Decr. Per- [ectae caritatis, 6); an austerity of life, preventing a person from easily adopting that frame of mind which, casting aside that which is sacred, pre-vails in so many forms of contemporary life and practice; supernatural strength by which apostolic effectiveness is increased, and in the absence of which no action, no matter how excellent on the surface, can yield lasting fruit for the transformation of the human conscience; complete observance of the vows, especially obedience, which is peculiar to the Society and a condi-tion of its religious discipline by which its vigor was always preserved. Hence, there must be no attempt to introduce new methods of deliberation and deci-. sion-making that not only undermine the very notion of obedience, but alter the nature itself of the Society of Jesus. Finally, the ascetical value of com-munity life and the advantages it offers for the formation of character should be kept in mind. To these weighty principles We would also add in a very special manner the fidelity to the Apostolic See, whether in the area of studies and education of young scholastics, who are the hope of your order, or of the students at-tending the great number of schools and universities entrusted to the Society, or in the production and publication of writings aimed at a wide circle of readers, or in the exercise of the direct apostolate. Dangers to Essential Structure of the Order Nor are We ignorant of the fact that over the past few years in several parts of the Society--and it is by no means absent either from the life of the Church in general--certain tendencies have arisen of an intellectual and dis-ciplinary nature which, if fostered and given support, could lead to serious and possibly irreparable changes in the essential structure itself of your So-ciety. As you know, Beloved Son, we have through Our closest collaborators called your attention more than once to these matters, while expressing the hope that the expected renewal will be brought about securely and smoothly. Therefore, on the occasion of the announcement of the gen-eral congregation We express once again Our desire, indeed Our demand, that the Society of Jesus should adapt its life and apostolate to today's con-ditions and needs in such a way that confirmation be given to its characteris- 6 / Review ]or Religious, Volume 33, 1974/1 tics as a religious, apostolic, priestly Order, linked to the Roman Pontiff by a special bond of love and service, as ratified in the "Formula of the Institute" or fundamental rule of this same Society, approved and repeatedly confirmed by Our predecessors. In the adaptation of which We .speak, experience will be your teacher. It will show what concrete forms of life and action have now become irrelevant and outdated, and what new needs and opportunities pre-sent themselves of work to be undertaken or directed according to the mind of Christ and the nature of the apostolate. We also hope that in the preparation for the general congregation, and later when it is in session, all the religious will be intent on the good of the Society, united in that charity required by your Founder, whose voice can still somehow be heard, in your Constitutions: "Union and agreement among all ought to be sought with great care, and the opposite ought not to be per-mitted; in order that, being united among themselves by the bond of fraternal charity, they may be able better and more efficaciously to apply themselves in the service of God and the aid of their fellowmen" (P.III, c.l, n.18). Final Thoughts~ and Suggestions These,, then, are Our wishes; that they may be heeded we pray to ,the Virgin Mother of God, Queen and Mother of the Society of Jesus; may she support it with counsel, strengthening goodwill, stirring up hearts, and in-spiring all the religious to ever more zealously imitate the Divine Savior in their task of constantly and courageously establishing His reign. What we have written should show you and your companions what is ex-pected of you by Us, who know well what influence the Society of Jesus has, what the task is that it has to fulfill, what confidence it enjoys; all this must be carefully considered, both with respect to the Society itself and with respect to the Church. We wish you to inform your collaborators and all the members of the Society of Jesus of this message, so that each one may see the witness of Our paternal benevolence and of the concern We have for the future destiny of the same Society. For We are convinced that the more faithfully the sons of St. ignatius conserve the Ignatian charism as it appears in the principle docu-ments of the institute, the more effectively will they pursue the glorious work of evangelizing today's world according to their God-given vocation, emulat-ing the example of so many Jesuits who consistently tried-~--and We use the words of St. Ignatius--"to distinguish themselves in the total service of their eternal King and universal Lord" (Spit. Ex., II week). Having made known in writing what is in Our heart, We gladly impart to you and to the whole Society of Jesus the Apostolic Blessing as an'augury of the divine assistance. ~ " From the Vatican, the fifteenth of September, 1973, the eleventh year of Our Pontificate. PAUL VI Documents concerning Religious "/ 7 LETTER ON ST. BRIDGET OF SWEDEN To Our Venerable Brother JOHN E. TAYLOR Bishop of Stockholm In this year marking the sixth centenary of her death, honor is rightly paid to St: Bridget, Flowei" of the North, and rightly are the faithful exhorted to direct their thoughts, with fresh° enthusiasm, so to speak, to the spiritual beauty of this heavenly one, as her memory is being solemnly recalled to mind. This chosen woman had a double fatherland: Sweden, where she was born at the beginning of the 14th century and Rome, where she spent nearly 20 years, and where after her return from a pilgrimage to Jerusalem, she de-parted ripe for heaven, to the eternal Jerusalem, on the 23rd day of July, in the year 1373. ~ In that northern region to which the devout mind turns with heightened eagerness on this occasion, the ecclesiastical life was at that time in a fluorishing state, particularly because the Cistercian monks and after them the mendicant orders had introduced a piety that was well adapted to the people. For nurturing this piety, devout pilgrimages, to which Christians were much given, proved very effective. And' when the Scandinavians ad-venturously and with devotion and enthusiasm betook themselves to the holy places:in distant parts of the world, they, as it were,°exchanged spiritual riches with other brethren in Christ whom they met and also experienced in a vital way the unity.of the body of the Church. Wife and Mother Such were the times in which Bridget grew to womanhood. Although she desired to consecrate her virginity to God, she was thwarted in her desire of a Divine Spouse. In,submission to the will of her father, she married Ulf Gudmarsson, an excellent man. As wife and mother she was a shining ex-ample; she lived united to her husband by the bond of Christian love andsh~ reared her' eight 6hildren with discerning wisdom; that is to say, she wished them to grow up to be not only good citizens of their fatherland, but also servants and children of God. And so it came about that the seeds of religious vocation came?to flower among her offspring. Indeed, her second daughter, Catherine, with the aid ofdivine grace reached the heights of sancity. Nor may ewe neglect to mention the charity of St. Bridget lavished on the mem-bers of Christ suffering from poverty or other distress. Following a pious pilgrimage they had made together to the Shrine of St. James at Compostella, Bridget's husband entered a Cistercian monas-tery and soon after he died there. Whereupon Bridget, having set her domes-tic affairs in order, devoted herself entirely to the ascetical life and prepared for her own flights to God, by whom she wa~ richly favored with mystical 8 / Review for Religious, Volume 33, 1974/1 gifts. During the two years in which she lived in a retired place near the monastery where her husband Ulf had withdrawn from the world, she was inspired by Christ with the resolve to found a new Order to be named for our Divine Savior, in honor of Mary the Virgin Mother of God. There would be double monasteries housing in separate buildings men and women who had,freed themselves for divine pursuits, but they would constitute onecom-munity, as it were, gathered together in God's name. This order, whose rule Our Predecessor Urban V approved in 1370, began with the foundation called Vadstena. Spiritual Writings There is cause for rejoicing indeed in the fact that this religious family, which almost disappeared at the time when the seamless garment of the Church was pitiably rent, began to flourish again at the beginning of this present century, insofar as its branch of consecrated women is concerned; and a house was established at the Campo dei Fiori, where the mother foundress had formerly lived. That this institute may prosper with a happy increase in this anniversary celebration honoring St. Bridget is the object of our earnest desire. Deservedly extolled also are those works which are entitled "Revela-tions," and which set forth the mystical graces bestowed on St. Bridget. They are records valued besides for their wealth of sacred doctrine, treating of her cult of our Savior's humanity, of His sacred passion, of the Blessed Virgin, St. Joseph, and the angels. The spiritual writings and religious art of the 15th and 16th centuries reflect the strong impact of these works. Solicitude for the Church Broadening the range of her concern, however, St. Bridget, like another Catherine of Siena, extended her great and zealous solicitude to the Church and the Apostolic See in that troubled period. As a devoted daughter she sought the reformation of the Church, ihe Mother of all, which, as Vatican Council II says, "is summoned by Christ, as she goes her pilgrim way, to that continual reformation, of which she always has need, insofar as she is an institution of men here on earth" (Decree on Ecumenism, Unitat& redinte-gratio, 6). Like the "valiant woman" she was, Bridget entreated Clement VI, lingering in Avignon, to return to Rome and urged the proclamation of the jubilee year of 1350. This woman, then, who by her life and work united so admirably and beneficially in the one Church her illustrious native land of the North and the See of Peter, corroborates, so to speak, as a citizen of heaven, the gener-ous efforts of those who after a prolonged and lamentable severance are now striving to restore Christian unity. Indeed, Our predecessor Boniface IX ap-pears in some way to have foretold this when in an apostolic letter dated under his seal, 7 October 1391 he said that he declared Blessed Bridget of Documents concerning Religious / 9 happy memory to be a saint "for the unity of the faith and of the Ch'urch" (Bullarium Priv. ac Dipl. Pont., III, Rome, 1741, p. 391 ). Tolally Dedicated Again, we rightly commemorate this singular and exemplary woman be-cause, although she was totally dedicated to God, she was not estranged from her own people. More than this, animated by a Christian love of her native land, she labored for its true progress. Her own family gave 'to Sweden for almost a hundred years kings, among them St. Eric, who were intent upon the good of their people and social justice. And although occupied with household cares, St. Bridget often served as an instructress in royal duties at court and was like a watchful mother to King Eric the Great (or Erikson) and his wife. She gave them a Swedish translation of the Holy Bible, and for this and for her writings mentioned above, she obtained a place in the literary history of her country. May her light shine radiantly, therefore, a light recognized also by those who are not of the Catholic communion. May this extraordinary woman in-tercede with God that He may graciously bestow on the Church the gifts of peace and unity. These obtained, may the faithful of Christ in Sweden and the adjoining northern regions come to recognize that he who is placed over the Catholic Church and exercises the highest apostolic ministry testifies to a singular esteem and brotherly love for them. May the example of this devout pilgrimage ot~ olden days kindle the hearts of those who come to this City in the forthcoming Holy Year, so that sincere repentance and desire for the interior life may bring about a spiritual renewal that will benefit not only in-dividuals but the Church also and civil society. This then is Our message to you in observance of the sixth centenary of th~ death of St. Bridget. In conclusion, We affectionately impart to you and to the faithful under your care the Apostolic Blessing as a token of spiritual strength and joy. This Blessing we desire to extend also to the Abbess Gen-eral and the Sisters of St. Bridget, the Order of our Divine Savior. From the Vatican Palace, on the 19th day of September, in the year 1973, the eleventh of our Pontificate. PAUL VI ADDRESS TO BENEDICTINE ABBOTS The following address was given October 1, 1973, to 270 abbots and con-ventual priors of the Benedictine Confederation led by the Abbot Primate, Dom Rembert Weakland. Also present for the audience were three Orthodox monks and three Protestant monks. From the heart we greet you, representatives of the whole Order of St. Benedict, who, in St. Cyprian's words, have come "to the Chair of Peter and the primatial church, the source of priestly unity" (Ep. 12, 14; PL 3,844-5). You have desired also to pay a visit to us, the successor in the apostolic min- Review for Religious,. Volume 33, 1974/1 istry to that same blessed Peter, in the long intervening line of Pontiffs. We greet also the Priors here present ot~ monasteries located for the most partin Africa and in Latin America, in which areas, with laudable spontaneity you devote your energies to missionary work; that is to say, "you are diligently engaged in implanting there the very rich tradition of your Order" (see Conc. Vat. II, Decr. Ad gentes divinitus, 18). Experiencing God We welcome in addition, recognizing at the same time the high prestige they enjoy, the observers, who, though not full participants in the Catholic communion, are yet striving to follow in the footsteps of St. Benedict. Fi-nally, we receive paternally the abbesses of monasteries and th~ mothers general here present of congregations that adhere to the spirit of this Patri-arch and are called by his name. We know that you are now holding a meeting on a subject of no small consequence; namely, on the mode of experiencing God in monastic life. This topic has various facets, as it were, whether it is considered according to Biblical doctrine, to sacred liturgy, to history, to the conditions and exigen-cies of the present day. We regard this subject as serviceable indeed, if this troubled age of ours is really to return to the great and fundamental reflec-tions that concern human existence itself. For there is danger today that men may banish the sacred from their minds and from their condu& and even presume they can do without God, at least in the use they make'of thoii" lives. Sometimes even those who have given themselves to the divine service and are dedicated to the pastoral ministry can be infected with this secular view. You, however, as monks in appearance, dress, and way of life affirm or should affirm that you belong to the number of those who do not rely upon the vain and passing things of this world, but seek wholeheartedly Him who is the Absolute: whom alone we ca.ll God, God our Highest Good, God Eternal. Here there shines before the eyes of the mind the true concept of religion, whereby man becomes intimately aware that he is ordered to God, Creator, Ruler, Last End, and Author of Salvation, to whom he owes in-terior and exterior worship. Such religion, therefore, encompasses the entire man and obliges him to devote himself to God in wholehearted service. Hence, you who "have chosen the best part" (see Luke 10:42), inasmuch as "your main task is to render the Divine majesty a service at once sim-ple and noble within the monastic confines" (see Conc. Vat. II, Decr. Perfectae caritatis, 9), dembnstrate the excelling power of the interior life for opposing that secular propensity whereby men are induced to abandon their own true center, as it were, and surrender themselves to exterior things. Liturgy of the Hours It should be your concern, then, to be religious who are truly, called so, Documents concerning Religious under a unique title, since you strive to ascend to God, to whom you have been consecrated by the profession of the evangelical counsels, through liv-ing the contemplative life, which you nourish by daily effort. Merely in doing this you express your protest against the neglect of God and against the profane way of life which pervades the world in these times. From our brief exposition, the excellence of prayer to be directed to God is already manifest. Indeed, all the sons of the Church, as you well know, are to adore the Father "in spirit and in truth" (see John 4:23). But since in the world of today prayer is beset by so many snares and threatened by so many perils, to you, who enjoy a more fortunate position, is entrusted the special task of directing your study and efforts to the end that the Church may really appear as the Ecclesia Orans. We are cognizant of the zeal with which you have studied the liturgical aspect in this meeting. We rejoice greatly in your diligence and your ardent desire to make that venerable tradition of yours flourish among you and to preserve that which constitutes the essential part of your spiritual life and which in the course of the centuries has ever enhanced the life of the Church itself. We know also of your solicitude for the vital force, the profound sig-nificance and the benefits which have been derived from the renewal of the liturgy that you brought to pass. Joined to this solicitude of y_ours is appre-hension lest these same benefits be not rightly and duly recognized, the more so because differing inclinations of soul in the great family of- St. Benedict have become evident with regard to the order to be observed in the Liturgy of the Hours; that is, whether this order should be uniform in the various monasteries or particular to each one. Need to Study and Weigh This is a very important question, whether as pertaining to your con-sistent historical and spiritual tradition or to your monastic cohesion which is no longer supported by only one form of sacred liturgy, but is expressed through several different voices, so that in celebrating the praise of God you are no longer "speaking with one voice." Consequently, this question should be studied in such a way as to embrace all its aspects in accordance with the vows made by you, before appropriate norms with the force of precept are laid down. Nevertheless, we wish to state that the difficulties which have arisen should be so weighed, and due account taken of the benefits already ac-cruing, while with joint effort you strive to offer a testimony of fervent and ardent prayer to the world of today with its secular outlook. Assuring you therefore of our fatherly concern for the welfare of your monastic communities, we strongly affirm that we shall take under our eager and careful consideration the outcome and result of the work you have begun on this question, and already at this stage we acknowledge our Review [or Religious, Volume 33, 1974/1 high esteem for the manner in which, with your wonted wisdom, you are addressing yourselves to this task. However, you are obliged to fulfill not only the duty of liturgical prayer, immensely important as this is, but also that of private prayer. On this sub-ject the Second Vatican Council has given a wise reminder (see Const. Sacrosanctum Concilium, 12), and St. Benedict himself is considered to treat of this point in his Rule, in the section headed. "De reverentia ora-tionis": "Supplication should be made to the Lord God of the universe with all humility and pure devotion" (cap. 20; see P. Delatte, Commentaire sur le R~gle de Saint Beno~t, Paris, p. 217). The exhortations of your founder are by no means inappropriate to this age, in which things progress and change with such rapidity. Just as in former times, so also now, you are to establish "a school of the Lord's ser-vice" (Reg. prol.); in other words, your monasteries should be so struc-tured that those who enter therein learn how to serve God and how to be continuously employed in His service. Such service, however, chiefly com-prises divine worship, by which the virtue of religion is exercised, as we have indicated above, and also holiness. With reference to worship we should like to bring out a special point: in celebrating the sacred liturgy with diligence and piety, as it behooves you to do, let. the sweet voice of the singing Church sound forth and never cease to sound forth in your churches. For men of today also feel the in-effable power of song that uplifts the soul and with gentle modulation gives expression to feelings of adoration, praise, penitence, and petition. Specially Chosen As regards holiness, this thought of St. Augustine should be deeply meditated: "Let not your voice only sound forth the praises of God, but let your deeds be in harmony with your voice" (Enarr. in Ps. 166, 2; PL 37, 1899). Although you have withdrawn from the world, to be occupied with the Lord, you have nonetheless "been specially chosen to preach the good news" (Rom l:l). May that hidden apostolic fruitfulness of which the Council speaks (see Decr. Perfectae caritatis, 7) flow out therefore from your mon-asteries upon the Church and society. May the yeast be prepared in them whereby, through the operation of divine power, the world may be renewed. This holiness, moreover, pertains not only to the life of the soul, but also to what you are doing for the cultivation of natural gifts, inasmuch as, to mention some examples, you devote yourselves to liturgical, Biblical, and historical studies for the common benefit, or, you engage in work, especially manual labor. Indeed, this last, may I add, enables you to go to the assist-ance of those who are suffering from poverty and other hardships, in keep-ing, of course, with the practices of the monastic life. This is in accord with the mind of the Council fathers who exhorted religious "to contribute to the Documents concerning Religious / 13 support of the poor, whom all should love with the tenderness of Christ" (see Decr. Per[ectae caritatis, 13; Const. Gaudium et spes, 42). Finally, not only your own individual life, but the life of the community as a whole, whereby you are joined one to another with the sweet bond of charity, should be adorned by this mark of holiness: that through the fel-lowship of community life directed to God, each individual is assisted in carrying out his service to the Lord, is incited to work for his brethren, is protected from dangers. Thus you will truly bear witness before the world to the holiness of the Church. In short, a community such as this, like a kind of novitiate, prepares religious during their lifetime for the everlasting day. Not without reason did St. Bernard reckon among the aids to good works: "to desire eternal life with all spiritual avidity" (Reg. cap. 4). ~ Example and Exhortation Of all these practices let the abbot give the example and exhort thereto the brethren entrusted to his care. Although the office of governing is ren-dered more difficult at the present time, yet he who "is believed to hold the place of Christ in the monastery" (Reg. cap. 2) should make the utmost effort that the vigor of spiritual life and of monastic discipline be strength-ened, increased, and, if need be, restored. To this end the abbot should en-deavor to maintain an unimpaired union with the magisterium of the Church, like a channel through which living water is drawn off for himself and for the brethren placed in his charge. The foregoing is what we have had affectionately in mind to say to you, and we do not doubt you will strive that your Order may aid the building up of the Church with spiritual forces, also in these times, to the needs of which it should prudently adapt itself. The announced Holy Year should offer you further incentive, since as you know we wish it to be a time of interior renewal. Lastly, as a pledge of heavenly gifts and as testimony of our assured affection, we impart the Apostolic Blessing to you who are here present and to all the members of your families in the Lord. ADDRESS TO THE LITTLE SISTERS OF JESUS The following address was given to the Little Sisters of Jesus at an audience of October 3, 1973. Dear Little Sisters of Jesus, last Friday we had the very sweet joy of meeting you at Tre Fontane, in the eloquent simplicity of your houses and in an impressive atmosphere of evangelical serenity and happiness. Your participation in this audience is like a return feast, for you and for us like-wise. To the thirty-seven Little Sisters who have just made their vows of per- 14 / Review ]or Religious, Volume 33, 1974/1 petual consecration at St. Peter's tomb, we address our best wishes for fervent faithfulness. But our brief words are also addressed to their families, who have in many cases come from very far away to be present at their de-finitive commitment "because of Jesus and the Gospel." They are addressed likewise to the two hundred Little Sisters at present attending a session of spiritual formation under the direction of dear Father Voillaume. We entrust to you our heart's most ardent desire. We would like you to take all over the world the conviction that a religious profession com-mits at such a profound level that changes of structures and activities have only a relative importance, even if one suffers from them. The essential thing is to keep a very keen awareness of the call of Christ who chooses His friends Himself (see Jn 15:15.) Is not Fr~re Charles de J6sus an example of this faithfulness deepened through different, if not contradictory, situ-ations? It is clear, however, that his mysterious route finds its coherence and its unity in passionate imitation of Jesus Christ, the One Model. Fr~re Charles de J6sus appears as one of the most perfect types of this deep faith-fulness of a human freedom to the freedom and faithfulness of God, who took him far beyond his expectations and hopes. Dear Little Sisters of Jesus, be confiden!! To be faithful does not con-sist in becoming tense over one's promises, but in relying on the Lord to ensure our ~faithfulness. That is why the long hours spent~with Christ in the Holy Eucharist will always be the primary and indispensable source of the friendship, the evangelical testimony you have promised to give in the Church and in the world today. It is with these sentiments that we renew our affectionate Apostolic Blessing to you and to your relatives and to your whole religious family. ADDRESS TO REDEMPTORISTS On October 6, 1973, the Pope gave the following talk to the members of the general chapter of the Redemptorists. Beloved Sons, To you assembled in the General Chapter of your Congre-gation of the Most Holy Redeemer and engaged in deliberations of great importance to the life of your religious family, We extend our affectionate greeting. We desire, moreover, to welcome expressly the new superior gen-eral, who is charged with the office and the burden of guiding your congre-gation through the difficulties of our times--neither few nor inconsiderable --and of conducting it to "green pastures" (see Ps 22:2). Purpose of Chapters A general chapter provides an excellent opportunity--offered to every institute--to 'reflect once more upon the true nature and end set for the institute and to hold discussions that will have a salutary effect on the life of the members. For the responsibility of a general chapter is not discharged Documents concerning Religious / 15 by holding elections and. legislating; .the chapter must also promote the spiritual and apostolic vitality of the whole body (see Litterae Ap. Ecclesiae sanctae, motu proprio, I, 2). Therefore, in a meeting of this kind, the entire family is gathered together in the presence of God to hear His voice and take counsel with regard to its renewal which, as also for the whole Church, "essentially consists in an increase of fidelity to its own calling" (see Conc. Vat. II Decr. Unitatis redintegratio, 6). Your congregation was founded by that most devout Doctor of the Church, St. Alphonsus, in order that its members might sanctify them-selves by an assiduous and faithful imitation of Christ and also engage in apostolic works, above all that special care of souls involving salutary con-tact with the most abandoned. Servants of God Beloved Sons, you are servants of God in the true and primary sense of the word; for "by your vows you are totally dedicated to God through an act of supreme Love" (see Const. Lumen gentium, 44). To be dedi-cated means to be given over to another as his property and possession. You should be followers of Christ as the Universal Synod advised all re-ligious (see Decr. Perfectae caritatis, 2a), corroborating, as it were, and realizing more completely the desire of your Father Founder. Hence each of you must endeavor to order his life to a certain unity and seek Christ daily with a sincere and generous heart. Daily you should put on Christ, an effort which is the beginning and the end and the whole of your life, whether as individual religious or as communities. Thus you truly make Christ present in the world, which is in many instances utterly alienated from Him, its Redeemer. Then those who see you, who speak to you or liave dealings with you may experience a certain mysterious power emanating from our Savior. Thus also you manifest the holiness of the Church, to the world which especially demands holiness in her sons. Life of Charity This daily effort to put on the likeness of Christ constitutes, however, a life lived in charity and motivated by charity. For religious thus "impelled ¯ . . live ever increasingly for Christ and for His body the Church" (Decr. Perfectae caritatis, 1 ). But love truly and properly so called is not for a limited time, is not hedged by conditions, is not rendered less ardent by difficulties, and knows no end. Justly did the Second Vatican Council address to every religious the following exhortation to fidelity: "Let all who have been called to the profession of the vows take painstaking care to persevere and excel increasingly in the vocation to which God has summoned them" (Const. Lumen gentium, 47). The life in which one dedicates himself to God with an undivided heart 16 / Review Jor Religious, Volume 33, 1974/1 becomes a means to show forth the love of God for men. Just as God "loved the world so much that he gave his only son" (Jn 3:16), so too a religious who strives to attain the fullness of his vocation is a kind of gift bestowed upon the world. For an apostolate that is enlivened by continual prayer, liturgical and private, by ascetical zeal and the practice of the vir-tues, transfuses the divine life into men and constitutes in its truest sense the service of one's brothers in Christ. Beloved members of the Congregation of the Most Holy Redeemer, you have illumined the Church by the sanctity of certain of your brethren, of whom We are pleased to recall to mind the Saints, Alphonsus Mary de'Liguorl, your founder, Clement Hofbauer, Gerard Majella, Blessed John Nepomucene Neumann. By your apostolic labors you have brought the light of divine grace to so many souls. On the occasion of this general chapter, persevere with renewed alacrity in your noble purpose, and if need be give fresh impetus to your zeal and redouble your efforts that the Church of God may reap benefit from you now and in the future as in times past. In fatherly encouragement to you in all these efforts, we lovingly im-part the.Apostolic Blessing .~o you who are present here and to all your members. ADDRESS TO MISSIONARIES OF THE SACRED HEART At the general audience of October 10, 1973, the Holy Father gave the follow-ing talk to jubilarian Missionaries of the Sacred Heart who were present at the audience. Venerable Brothers and Dear Sons in Christ, It is a joy for us to receive you on this occasion which marks the anniversary of your sacerdotal ordi-nation. For forty years you have exercised the ministry of the priesthood, having been called by the Lord Himself and sent out by the Church to preach "Christ crucified" (1 Cor 1:23) and to assist in giving witness to His Resurrection (see Acts 4:33). We can well imagine how many graces the Lord has offered you over the years and how many helps your ministry has brought to those whom you have served with fidelity and sacrifice. On this happy occasion we are glad to offer you our blessing, our felicitations, and our encouragement. We see you as part of a vast number of our brother priests who have been conscious of their responsibility and calling and who have endeavored with God's grace to perform their ministry, in the spirit of St. Paul, as one "worthy of God's approval, a workman who has no cause to be ashamed" (2 Tim 2:15). Today we wish, at this point in your lives, to confirm you in the faith, which you have received and preached, and in the priestly vo-cation that has been your precious gift, high dignity, and important obliga-tion. We urge you at this time to keep alive your hope and to maintain to the end that confidence with which you began (see Heb 3:6,14). To each Documents concerning Religious / 17 of you we say with the Apostle: "God . . . will not forget your work and the .love you have shown him by your service, past and present, to his holy people" (Heb 6:,10). May Christ fill all of you with joy and keep you in his love. On our part we cordially give your our special Apostolic Blessing. Our special greeting of grace and peace in the Lord go to the members of the General Conference of the Congregation of the Missionaries of the Sacred Heart, gathered together to consider questions of religious life and missionary activity. As we assure you of our paternal affection and en-couragement, we pray that Christ Jesus will make you apt instruments of preaching His gospel with ever greater effectiveness. We pray that you may indeed draw copiously from the riches of His love so as to be able to com-municate this same love in all its fullness "to the praise of his glori6hs grace" (Eph 1:6). Our Apostolic Blessing accompanies you in your im-portant responsibilities. ADDRESS TO THE CLARETIAN CHAPTER On October 25, 1973, Paul VI gave an audience to the members of the Claretian general chapter during which he delivered the following address. Beloved Missionary Sons of the Immaculate Heart of Mary! We express to you our deep pleasure at th!s vi.s.!t you pay us at the con-clusion of the meetings of your general chfi~ter. We hope that the work you have carried out these days will be fruitful. We hope that the dedicated service of the superior general and of the other members elected to form part of his council, will be effective and helpful for the purposes of your religious family. ~ We cannot overlook a particularly, iIluhainating circumstance, ,.which makes this joyful meeting more attractive: yesterday we celebrated the liturgical feast of St. Antonio Maria Claret. You yourselves made known for this reason your desire to visit Peter's Successor. We thank you for this gesture of support, in which we see a testimony of ekquisite spiritual affinity with your founder. How could we fail to recall before his sons the deep de-votion' he felt for the Vicar of Christ? And how could we fail to,venerate his memory in view of his eloquent and moving 'profession of faith in papal infallibility at the I Vatican Council? All that obliges us gratefully to open our mind to you in confidence, so that. you know that it is in perfect har-mony of religious sentiments with your own. THE CLARETIAN IMAGE We are sure that, during these days of your chapter, the protecting and guiding presence of St. Antonio Maria became more intense and exacting among you. And we like to think too that, when tracing the lines of re-newal, you took as your fixed point of reference the most genuine faithful- 18 / Review for Religious, Volume 33, 1974/1 ness to the origins of your institute and to the teachings on the consecrated life that the II Vatican Council proposed .and we ourself have repeatedly in-culcated. Allow us to savour with what purity of characteristic features the image of the Claretian presented itself to the contemplation of St. Antonio Maria. We read it yesterday during the lesson: "I tell myself: a Son of the Immaculate .Heart~ of Mary is a man burning with charity who sets fire wherever he passes. Nothing disheartens him; he takes pleasure in priva-tions, meets difficulties, delights in slander, and rejoices 0in torments. He thinks of nothing except how to follow and imitate Jesus Christ, in working, suffering and struggling always and only for the greater glory .of God and the salvation of souls" (El celo, c. I, BAC 188 [1959], p. 777). o See here, projected towards you, a whole program of holiness, based on religious renunciation of oneself, the fruit of its fertile evangelical vitality. It points out to you clearly,, with expressions of clear Pauline dynamism the good to which your personal and community life must aspire: the following and imitation of Christ in impulses of a charity that is always operative. BEARERS OF VALUES If to this program of interior life we add the very special cult of the Blessed Virgin h~ inculcated in you together with the~rimary dedication to the ministry of the Word, ,we have the complete picture of the Claretian vocation and spirituality. These and no others were the motives that gave life and ,meaning to the irrepressible zeal of the son of Sallent. And none other was the stamp of religious austerity that he imposed on himself to make his ministry more worthy of credit and more in conformity with the demands of the divine call. To proclaim the Good News to the point of sacrificing oneself for the good of one's brothers, to teach men the ever new languagel of;charity, characterized his overwhelming pastoral,task as Arch-bishop of Santiago in Cuba. Rightly could~we say of him, as of the Apostle of the Gentiles, that his vigor as '.'herald and teacher in faith and truth" (see 1 Tim 2:7) suffered no decrease in the midst of difficulties. On the contrary, his pastoral cares, his missionary anxiety found a way to express themselves continually in new ministerial initiatives, at home and abroad, inspired and nourished by the spirit of faithful service to the Church. Beloved sons, .appreciate this spiritual patrimony of yours;, spare no effort in tending its roots, if you really wish to be a tree always young and flourishing, able to adapt itself to the environment, to the changing require-ments of the times in order to continue to give ripe fruit to the Church, as it did in the past and continues to do at present, through its most illustrious sons. , At the chapter you have just held you have been able to convince your-selves that you are bearers of certain values that do not grow old because they .are a select part of the heritage and the universal vocation of the Documents concerning Religious /o 19 Church. The Christian community itself asks you for faithfulness and dis-cretion, generosity and disinterestedness in order to accept you and recog-nize you as the living and united sign of its human and spiritual aspirations. We do not wish to expatiate at greater length. Entrusting these thoughts to you, we wish to encourage you in your aspirations to holiness with our prayers to the Immaculate Heart of Mary so that, with the help of her motherly intercession, you may be exemplary sons of the Church. As con-firmation of these desires and as a testimony of particular benevolence we warmly impart the Apostolic Blessing to you and to the whole Claretian family. First Penance and First Communion Sacred Congregation [or the Discipline of the Sacraments and Sacred Congregation for the Clergy The Supreme Pontiff Pius X, relying on the prescription of Canon 21 of the Fourth Lateran Council, decided by the Decree "Quam singulari" issued on August 8th 1910 (AAS 1910, pp. 577-583), that children, once they had reached the age of discretion, should receive the sacraments of penance and Eucharist. That decision, having been put into operation throughout the universal Church, has produced and continues to produce very many fruits of Christian life and spiritual perfection. The "Addendum" to the General Catechetical Directory issued on the 1 lth April, 1971, by the Sacred Congregation for the Clergy (AAS 1972 pp. 97-176) confirms the custom of children receiving the sacrament of penance before Communion: "Having weighed all these points, and keeping in mind the common and general practice which per se cannot be derogated without the approval of the Apostolic See, and also having heard the Con-ferences of Bishops, the Holy See judges it fitting that the practice now in force in the Church of putting confession ahead of first Communion should be retained." The same "Addendum" took into consideration the fact that in certain regions in the Church some new practices had been introduced allowing children to be admitted to first Communion without first receiving the sacra-ment of penance. It allowed such practices to be continued for a time, pro-vided there was "prior communication with the Apostolic See and., they [the Conferences of Bishops] are at one mind with it." Having now carefully considered the matter and having taken into con-sideration the wishes of the bishops, the Sacred Congregations for the Dis-cipline of the Sacrament~ and for the Clergy, by virtue of this present docu-ment, and with the approval of the Supreme Pontiff, Paul VI, now that the 2O First Penance a~nd First Communion two years have passed, declare that these experiments should be brought to an end with the conclusion of the school year 1972-73 and that, there-fore, the Decree "Quam singulari" is to be obeyed by all everywhere. Given at Rome 24 May 1973. ANTONIUS Card. SAMORI~ Praef . JOHANNES Card. WRIGHT Praef . A Note on Intercommunion Secretariat [or the Union of Christians The following text is an explanatory note concerning the "Instruction on Intercom-munion" issued by the Secretariat for the Union of Christians on June 1, 1972; the text of the 1972 "Instruction" was given in Review ]or Religious, January 1973, pp. 12-8. 1. After the publication of the "Instruction concerning Particular Cases When Other Christians May Be Admitted to Eucharistic Communion in the Catholic Church," on June 1, 1972, various interpretations of it were given, some of which depart from the letter and the spirit of the document. To pre-vent the spread of such inaccurate interpretations and their consequences, we think it useful to recall to mind a few points. 2. With this instruction, pastoral in character, the Secretariat for Pro-moting Christian Unity had no intention of changing the rules laid down by the Vatican Council's decree on ecumenism and further explained by the Directorium Oecumenicum. The intenti6n was to explain that the existing discipline derives from the requirements of the faith and so retains its full vigour. 3. The basic principles of the instruction are: a) There is an indissoluble link between the mystery of the Church and the mystery of the Eucharist or between ecclesial and Eucharistic com-munion; the celebration of the Eucharist of itself signifies the fullness of pro-fession of faith and ecclesial communion (cf. Instruction, par. 2, a, b, c). b) The Eucharist is for the baptized a spiritual food which enables them to live with Christ's own life, to be incorporated more profoundly in Him, and to share more intensely in the whole economy of the mystery of Christ (cf. Instruction, par. 3). 4. Within the full communion of faith, Eucharistic Communion is the .4 Note on lntercommunion / 23 expression of this full communion and, therefore of the unity of .the faithful; at the same time it is the means of maintaining and reinforcing this unity. But Eucharistic Communion practiced by those ,who are not in full ecclesial communion with each other cannot be the expression of that full unity which the Eucharist of its nature signifies and which in this case does not exist; for this reason such Communion,cannot be regarded as a means to be used to lead to full ecclesial communion. 5. All the same, both the Directorium Oecumenicurn and th~ '~Instruc-tion," on,the,strength of what has already been said in the Vatican Council,s decree on ecumenism, allow the possibility of exceptions insofar as the Eucharist is necessary spiritual nour!shment for the Christian life. 6. It is the local ordinary's responsibility to examine these exceptional cases and make concr&e decisions. The instruction (no. 6.) recalls that the Directorium Oecumenicum gives the episcopal authority power, to decide whether in these r~re cases the required conditions are present or not. The episcopal authority's faculty of examining and deciding is governed by criteria laid down in the Directorium Oecumenicum (no. 55) and further explained in the instruction (no. 4 b),:. ". admission to Carbolic'Eucha-ristic Communion is confined to particular cases of those Christians who have a faith in the sacrament in conformity with that of the-Church, who experience a serious spiritual need for the Eucharistic sustenance, who for a prolonged period are unable to have recourse to a minister of their own community °and who ask for the sacrament of their own accord; all' this provided that they have proper dispositions~ and lead lives worthy of a Christian." ~. This criterion is observed if,,ail the required conditions .are verified. An object.ire, pastorally responsible examination,does not allow any vof,the con-ditions to be ignored. . ~. ~ ~ It must also be noted that the instruction speaks of particular cases, which are to be examined individually. Hence-a general regulation.cannot be~ issued which makes a catego.ry .o.ut of an exce.ptional case, nor is it possibles.to legitimate on the basis:of, epikei.a by turning this latter into a general rule. Nevertheless, the bishops can in tiae various situations decide what are theneeds that make exceptions applicable, that is to say, what constitutes a special case, and they can determine the manner of verifying whether all the required conditions are fulfilled in such a particular case. When par-ticular cases presen.t themselves fairly often in one region, following a re-current pattern, episcopal conferences can issue some guiding principles for ascertaining that al!,the conditions are verified in particular cases. Normally however it will be within the competence of the local ordinary to judge such cases. 7. For other Christians to be admitted to the Eucharist in the Catholic Church the instruction requires that they manifest a faith in the sacrament Review ]or Religious, Volume 33, 1974/1 in conformity with that of the Catholic Church. This faith is not limited to a mere affirmation of the "real presence" in the Eucharist, but implies the doctrine of the Eucharist as taught in the Catholic Church. 8, It is to be noted that the instruction (no. 5) calls to mind the fact that the Directorium Oecumenicum (par. 34-54) provides for the Orientals not in full communion with the Catholic Church rules different from those regarding other Christians (par. 55-63)o For example, (a) Since they belong to a community whose Eucharistic faith is in con-formity with that of the Catholic Church, a personal declaration of faith in the sacrament will not be required of them when they are admitted: in an Orthodox this faith is taken for granted; (b) since the Orthodox Churches have true sacraments and, above all, by virtue of apostolic succession, the priesthood and the Eucharist, conces-sions for sacramental communion must take account of legitimate reciprocity (no. 43); (c) Justifiable reasons for advising sacramental sharing are considerably more extensive. 9. The question of reciprocity arises only with those Churches which have preserved the substance of the Eucharist, the sacrament of orders, and apostolic succession. Hence a Catholic cannot ask for the Eucharist except from a minister who has been validly ordained (Directorium Oecumenicum, no. 55). 10. The desire to share the Eucharist fundamentally expresses the desire of the perfect ecclesial unity of all Christians which Christ willed. Intercon-fessional dialogue on the theology of the Eucharist (as sacrament and sacrifice), on the theology of ministry and of the Church is pursuing its course within the ambit of the ecumenical movement, supported by the promises and prayer of our Lord; it is stimulated and enlivened by the charity, poured into our hearts by the Holy Spirit who has been given to us. We express the hope that the ecumenical movement will lead to a common profession of faith among Christians and so allow us to celebrate the Eucharist in ecclesial unity, giving fulfillment to the words, "Because there is one bread, we who are many are one body" ( 1 Cor 10: 17). This note has been approved by the Holy Father, who has authorized its publication. 17 October 1973 JOHN CardinaF WILLEBRANDS President CHARLES MOELLER Secretary Decree on the Holy Year Indulgence Sacred Apostolic Penitentiary A DECREE WHICH DETERMINES WHAT SPIRITUAL WORKS ARE NECESSARY TO GAIN "THE GIFT OF THE INDULGENCE" IN THE VARIOUS LOCAL CHURCHES ON THE OCCASION OF THE HOLY YEAR The Cardinal President of the Central Committee for the Holy Year has asked this Sacred Apostolic Penitentiary to determine what spiritual works are necessary to gain "the gift of the Indulgence," which the Holy Father has promised to reinforce the spirit of reconciliation and renewal which are the characteristics of this Holy Year. Charged by the Sovereign Pontiff, the Sacred Penitentiary grants that, from the 1st Sunday of Advent of this year, until the day when the Holy Year is solemnly initiated in Rome, the faithful of the individual local Churches can gain: 1. The Plenary Indulgence, in the times to be decided by the Episcopal Conferences, if they go on a. pious pilgrimage to the cathedral church, or also to o~her churches determined by the local Ordinary, in which a solemn community function is held; 2. The Plenary Indulgence, likewise in the times to be decided by the Episcopal Conferences, if gathered in groups (for example, families, school pupils, workers, employees and professional workers, pious associations), they visit the cathedral or other churches designated by the Ordinary, and remain there in pious meditation for a suitable time, concluding the visit with the recitation or singing of the Lord's Prayer and the Creed and with the invocation to the Blessed Virgin; 3. The Plenary Indulgence if, prevented by sickness or any other serious 25 26 / Review fo.r. Religious, Volume 33, 1974/1 cause, they join spiritually in the pious pilgrimage, offering God their prayers and sufferings. As regards the diocese of Rome, which should rightly be in this matter an example and stimulus for other ecclesial communities, the same Sacred Penitentiary decrees that the times and ways to gain the aforesaid Plenary Indulgence shall be determined by the Cardinal Vicar General of Rome. Notwithstanding any provisions to the contrary. Rome, from the Sacred Apostolic Penitentiary, 24 September 1973. G. SESSOLO Regent G. CARD. PAUP1NI Grand Penitentiary COMMENTARY ON THE HOLY YEAR INDULGENCE The following commentary on the preceding document appeared in L'osser-vatore romano, November 29, 1973, page 6. 1. By order ~f the Holy Father, the Sacred Apostolic Penitentiary issued, on 24 September 1973, a decree confirming and clarifying what had already been said with regard to the Jubilee indulgence during this first phase of the Holy Year. It establishes::the so-called "work" or "pious practice" to be carried out by the faithful, at given times and places, to acquire the Jubilee indulgence. ~ .' The "work" prescribed is a "pilgrimage" to a designated church, con-cl'~ ding witl~ barticipation in a solemn community servic~ or at le.ast with the i'ecitatign 'of some prayers. Summarizing the decree of 24 September 1973 and keeping in mind both the norms for indulgences and the Holy Father's Letter of 31 May 1973, to Cardinal Maximilian de Ftirstenberg, President of the Central Committee for the Ho!y Year, the following points.may be r~oted. The faithful who, duly,dispoged, approach the sacraments of confession affd communion and pray acco~:ding to the intentions of the Holy Father and the Episcopal C~ollege, are granted, in conformity with the norms in fbrce, the gift of the i91enary indulgence, at the time~'to be determined by the respective Episcopal Conference, beginning from 2 December 1973: (a) if they'take part in a pilgrimage to the cathedral church or to another church #esignated by the local Bishop and participate in solemn comrriunity serVice there; (b) if they go in groups (for example ram!lies, "sc3ools, professignal @orkers, associations) to one of the afpresaid chur'~hes and devote the, m-s'elves for ~/suitable space bf time to pious considerations, concluding them with the recitation or the singing of the Ou{ Fath~" and the Creed and with an invocation to the Blessed Virgifi; (c) if, being unable to take part in'tli~ pilgrimage of their comn~unity (ecclesial, family, or social), because they are pi'evented by illness or any ~Decree on the Holy Year Indulgence / 27 .o, ther serious cause, they join in it .spiritually by offering their prayers and sufferings. 2. We spoke above of the faithful being ."duly disposed." This is a reminder that the '.'gift of. t, he indulgence" must .be merited by fervent prep-aration; it is bestowed to reward° and "strengthen"--as we readAn the re-cent d.e~cree--the spirit of renewal and reconciliation that must characterize the Hgly Year. , For this reason the simple practices that are required to gain the Jubilee indulgence must not be separated from the work of preparation, on which s9 much stress has rightly been laid. The practices themselves are, as ~it were, the point of arrival°and ,tOe exte_r.na_l sign of deep renewal of the spirit and reinvigorated love for God and one's brethren. . No.w, ,,the work of renewal and fervor is 'the most valuable part of the Holy Year, because, great as is the value of the indulgence that remits the te.mporal pen,alty in the case of, those who are disposed, the value of the works proposed when their fulfillment leads,to an increase of charity is in-comparably greater (St. Thomas, Supplement to the Theological Summa, q. 25~ 2, 2 and q. 27, 2, 2). ,. 3. We mentioned above--in addition to the proper disposition and the "work" prescribed~what are commonly called "conditions" for gaining the Jubilee indulgence, namely:sacramental confession, eucharistic,communion, and prayer for the intentions of the Holy Father and the Episcopal College. The three "conditions" mentioned above are also required for every other plenary indulgence, with the only difference that the prayer, according to the general norms, is said for the intentions of the Holy Father, while in this circumstance the Holy Father himself (cf. Letter to Cardinal de Ftirs-tenberg, quoted above) has wished to associate the intentions of the Bishops with his own. For the fulfillment of the conditions (cf. Norms, nn. 27, 28 and 29), the following should be noted: " (a) Communion and prayer for the intentions of the Holy Father and of the Episcopal College should be on the same day on which the pilgrimage is made, but they may be before or afterwards. (b) To fulfill the condition of prayer for the intentions of the Holy Father and the Bishops, the faithful may recite a prayer of their own choice. (c) As for sacramental confession, in order to be able to make it un-hurriedly, it can be made even twenty days before or after the pilgrimage. It should also be remembered that confession must be made even by those who do not feel any serious guilt on their conscience; that it is required on the occasion of any plenary indulgence, but even more so for the Jubilee indulgence because of the particular commitment of purification and re-newal that the Holy Year entails. The confession, in fact, if the penitent so desires and the confessor con-s~ ders ~t useful, may ~nclude not only the s~ns since the last good confession, Review for Religious, Volume 33, 1974/1 but also the sins of a longer period of time to facilitate a deeper renewal of life. Furtherra~ore, to facilitate the faithful in making their individual con-fession, the recommendation that there should be confessors available "on the days and at the hours established for the convenience of the faithful" (cf. Normae~ pastorales of the S0 Congr. of the Doctrine of the Faith. 16 June 1972, AAS 64, 1972, page 513), is especially applicable for the Holy Year. (d) During .the Holy Year it is also ct~stomary to grant confessors special faculties in order that, if necessary, they"can absolve penitents in some cases, usually "reserved" to higher authority, without the obligation of re-course to the Bishop or to other competent Superior or to the Holy See. During the first phase of the Holy Year, which is celebrated in the vari-ous local Churches, the Bishops can make provision in this regard by grant-ing, at least to the more experienced confessors, the ample faculties at their disposal (cf. M.P. Pastorale munus of 30 November 1963, n. 14: AAS 56, 1964, p. 8). 4. Mention was also made above, in a generic way, of the "norms in force." It will be sufficient to recall here expressly the following two: (a) Every indulgence can" be applied to the dead by way of suffrage (norm 4). (b) The plenary indulgence can be acquired only once a day (norm 24, 1). Religious Life: Style or Culture? Vincent P. Branick, S.M. Father Vincent P. Branick, S.M., teaches Scripture and philosophy at Chaminade College of Honolulu; 3140 Waialae Avenue; Honolulu, Hawaii 96816. Paradoxically, loneliness has appeared most intensely in communities which have accepted in full seriousness the needs of the individual to express and communicate his unique personality. Groups which have sacrificed rich traditions to avoid the suffocation of their members in a mass of impersonal structures, congregations which have radically reformed their rules in quest of a truly personalized life have found their members suffering an over-whelming sense of isolation and lack of social maturity, to the extent of a serious weakening or even destruction of~their religious vocation. The Loss of Religious Culture Obviously, the ideals of personalism governing these reforms are not false. The evident validity of these ideals has led administrators to hold to the reforms in the face of their congregations' equally evident devitaliza-tion and even extinction. The mistake lies not in the ideals but in an un-recognized consequence resulting from an oversimplified pursuit of these ideals, namely, in the loss of religious culture. Many young people who came to religious life with a profound desire to be religious are leaving for the lack of a religious culture in which they could live. Many older religous are retreating into a comfortable bachelorhood for want of a religious cul-ture in which they could grow. What is this missing culture? Culture in General In its fundamental sense, a culture is a milieu or atmosphere in which 29 30 / Review for Religious, Volume 33, 1974/1 the human person can express his heartfelt values and through which he can communicate with others about these values. A culture is a consistent pat-tern of practices and manners which specify a shared approach to life, a familiar environment in which an individual finds himself, in which he can feel "at home." This fundamental sense of culture appears most strikingly in the cele-bration of a folk-festival. A nation celebrating itself gathers up its heritage, dances, and contests as a reminder of all that its members have in common. The songs a people sings are truly its songs. These are the songs which its ancestors sang and which likewise catalyzed its ancestors' sense of identity. Through these traditioned customs a nation can celebrate its solidarity in the present and its link to its past. Thus, a folk-festival is not a celebration separated from daily life, but rather an intensification of elements active in a lesser way throughout the daily life of a people, binding a people together. The stranger can visit and enjoy the celebration, but he can never fully par-ti~ ipate in it. He is not of the same culture. Culture as a Social Reality In its more common meaning as a complex of refinements and sensi-bilities, culture is likewise basically a social concept. The "cultivated" per-son is one whose sensibilities have been refined to perceive the beauty of the art and customs of a nation, to understand and use the language and literature that bind a people together, ultimately to understand the languages and customs that bind all men together. The use of such refinement as a device for. mere self-display produces a grotesque caricature, confusing cul-ture. with snobbery. True culture is essentially a social reality. The cultivated person is one who has mastered.the symbols of a society, the symbols which are the means of communication within that scciety. As a social reality, culture is an extension of the human body's ability to symbolize the soul to others. It is an extension produced by a consistent use of many details of life, perhaps insignificant in themselves but very sig-nificant in the pattern they form together. This extension is accomplished with other persons, who together create a circle of common gestures, lan-guage, dress, and other customs, a circle in which each individual feels at home, in which he can express himself and be confident,of understanding, since he is communicating with others in a familiar medium. The N~ed of Every Man for a Culture Every man needs such a culture in which to grow. The man in society needs to feel a certain rhythm about him which he knows and which he can use as a sounding board for his inner life, allowing him to concretize and control that inner life and, above all, to share it with others. Even the her-mit has taken with him his language and his manners which remain at least an unconscious reminder of the people he knows and which .allow him to Religious Li]e: Style or Culture? / 31 express to himself the life he is leading. The man without a culture is the barbarian, the one incapable of using the symbols of communication, the conventions of sharing; thus he is reduced to grunting his basic needs. Far from suppressing individual persons and ideas, the discipline of a culture provides a man with the means of expressing and developing his individuality. The great poets expressed their genius not by creating new and private languages, but by mastering their mother tongues. Perhaps the great attraction of the "hippy culture" was its success in mediating a solidarity and communication among its members. The pattern of the many external, insignificant details permitted one member to talk to another. The long, slightly matted hair, the beard, the colorful but bleached clothes, necessarily frayed at the edges, the beads, and above all, the vocabulary--these details, insignificant in themselves, formed a culture within which one hippy could understand another. The apparent contradic-tion between the hippy ideal of freedom in personal expression, on the one hand, and the strict conformity in dress and hair, on the other, can be un-derstood in the light of the enormous importance such details have when taken together to form a culture. Religious Culture In the same way the person who enters religious life needs a culture, The person who wishes to live his Christian life in intense simplicity and poverty, the person who seeks a prolonged meditative prayer needs a pat-tern of bodily symbols to concretize his aspirations, a sounding board against which he can objectify his ideals. Furthermore, he needs others who share his spiritual values and with whom he can communicate. He thus needs an atmosphere or pattern in which he can develop this life and communicate with others about this life. He needs a religious culture. It is not surprising to find at the historical origin of religious life the practice of spiritual di-rection, the practice of communicating profound religious insights and val-ues, oa practice which gradually of itself expanded into a pattern of religious customs, into a complete religious culture. Loss ~f Culture by Focus on Style Many communities .today have lost this sense of religious culture 'by focusing rather on the question of style. The emphasis on personal style in religious life has had the value of underlining the individual differences in a community, differences which enrich a.community. Yet, in fact, this same emphasis on personal style has broken down much of the consistent re-ligious patterns and symbols in congregationsland, as a result, much of the communication among the members. Diverse individuals and groups, each absorbed in its preferred style, became isolated from each other. Frequently one religious no longer knew if.another possessed the same spiritual sensi-bilities, the same interests, the same background on which communication Review for Religious, Volume 33, 1974/1 could be based. The least common denominator in a particular community became less and less. As religious life became a "life style," attention shifted from "life" to "style," and individuals charted their courses alone, away from each other. Presupposed in this pluralistic approach was the belief that each mem-ber of a community could work out his style of life by himself. The man who wished austerity could rise early by himself, eat frugally by himself, and by himself develop a contemplative form of prayer. Supposedly, the others in the same community who did not wish to share this desert could avail themselves of more bourgois amusements. This presupposition, however, neglects man's need for a culture. In effect, this emphasis on style has led to the introduction into the con-gregations of diversities normally holding among congregations. A particu-lar community could find itself composed of austere Trappists, Christian hippies, and mere professional bachelors, each with his own spirituality, each with his own style. Sharing the same province or even living under the same roof, members of communities began to look like strangers to each other. The fundamental element of religious life, spiritual direction, be-came impossible. Prayer life broke down, not through laziness, but through loneliness, through the inability to communicate with others about one's prayer. Formation of recruits became an impossible task, often involving a series of contradictory instructions as a young person passed from the recruiting community, to the novice master, and on through the stages of formation. Rebuilding Religious Culture At present most attempts to rebuild the bond among the members of a community tend in two distinct ways.', the one "theoretical," the other "recreational." The first consists of an attempt to find and concentrate on "the essen-tials." In the face of a bewildering variety of life styles, many communities have sought to articulate the essence of their life, the core reality that every-one could accept, on which everyone could concentrate, allowing then the accidentals to vary according to individual preferences. The theologians were asked to present in clear terms the essence of religious life. General chapters met and held their breath, waiting for this description of the essence. They will probably continue to wait for some time, because the task of articulating the essence of such a concrete and mysterious reality as re-ligious life appears as an impossible job. Whatever "essential trait" is sei~ed upon, whether some particular vow, the three vows, or community life, there appears in history or in the present some obviously religious form of life that flourished or is presently flourishing without it. The appeal to ca-nonical definitions likewise fails to point out an essence of the life, since Religious Li]e: Style or Culture? / 33 these definitions appear more as descriptions after the fact, more as arti-ficially clear and distinct deliniations required for the legal functioning of the Church than as theological penetrations into the fundamental structure of the life. Like peeling away the successive skins to find the onion, the-ologians peeled away the "accidents" but found little left to identify as an essence. The second method of rebuilding the bond among the members of a community is far more down to earth and consists on stressing "the com-mon fun." While awaiting the perfect theology of religious life, people can do something practical. They can recreate together and in that recreation seek to build a community. Such suggestions as "Let's fire the cook and make our own meals together!" or "Everybody in the club room tonight for cocktails!" often clothe desperate attempts to build community. Certainly this effort has served well by focusing on the real need for sim-ple friendliness in communities (to say nothing of the marvelous cooks pro-duced). Yet the idea of common life meant more to the ancients than our attempts at common fun. Such a shallow basis of life does not attract dedi-cated young people. If all they see is this recreational aspect of our lives, they will hardly be convinced to sacrifice spouse and children for a con-viviality that can never approximate the intensity and warmth of a natural family. The community recreation is important, but it can never form the basis of religious common life. The Need to Reestablish a Religious Culture The isolation and loneliness vitiating communities can be overcome only by reestablishing a whole religious culture, a consistent and relatively stable milieu in which religious can feel at home as religious, a pattern of con-crete practices through which one religious can express his deep spiritual values to another. The precise culture will vary with each congregation. Any form, how-ever, will demand certain general lines. First, a religious culture demands an attention to a multitude of accidental details, many of which when taken alone may appear insignificant and even superficial. Neither the cut of the clothes, nor the simplicity in a house, nor the hour of rising appears worthy of an intense crusade. It is useless to seek a rationale directly behind such details, and the temptation exists to peel them away one by one, to peel them away as though from some essential core. Yet insofar as it is a cul-ture, the essence of religious life may be inseparable from the sum total of the "accidents." A religious culture does not stand or fall with any particu-lar detail, but the simple removal of each accidental reduces by that much the identifiability of that culture. Second, any religious culture is necessarily built around the form of prayer of the community, more specifically, around the degree of con-templation a community chooses to practice. A particular type of prayer 34 / Review for Religious, l/olume 33, 1974/1 often requires an ambience, a degree of calm, a type of simplicity regulat-ing the details of the whole day. Conversely, a particular form of contempla-tive prayer colors all else: personal service, the celebration of the Eucharist, professional work. The type and degree of mental prayer is thus a key ele-ment in any religious culture. Third, religious culture, like any culture, requires a willingness of the members to sacrifice personal preferences for the consistency of a com-munity atmosphere, to place a social culture before a personal style. This is not to say that the culture must take the form of some immobile mass of customs. Customs must evolve. As practices no longer serve to communicate the spiritual inspiration of a community, as gestures lose their symbolic values, they should disappear. However, a culture must change as a culture. It must evolve on,the basis of other more stable elements, not on the basis of members darting off in their own directions, according to the demands of personal style. ¯ Within the context of such a religious culture, the search for the essence of religious life can continue, guided not simply by an abstract analysis, but, .more importantly, by a lived contact with the reality. Since religious life is received by man as gift, not produced by him as invention, since the life is fundamentally beyond his natural powers, he will probably never attain that clear insight into the nature of the life that results in a precise defini-tion. Our speech about religious life will probably always be dominated more by poetic intuition than by abstract concept, a poetic intuition that feels at home with small details and operates from a position within the object spoken of. Likewise, the efforts to improve community recreation should have an important part in the building of religious culture. The simple kindness and conviviality of a community recreation can be a powerful expression of the fundamental value of fraternal love, if this expression is part of a greater milieu. Culture and Personal Development Where the individual religious finds a living and consistent culture, there he will find the medium in which to express his unique individuality. In the expressed solidarity of a group, a member has the means of developing a truly personalized life. There he has the means of expressing for himself and for others his unique riches. A culture which involves even many small details will not stifle individuality. As the expression of the spirit, a culture will function as a guide and an agent of personal development. Only a vibrant culture in religious life will dispel the present loneliness. Size and the Cohesiveness of Groups of Religious Sister Jane Marie Kerns, S.H.C.J. Sister Jane Marie is a faculty member of West Catholic Girls High School and,lives at the Convent of the Holy Child Jesus; 4724 Cedar Avenue; Philadelphia, Pennsyl-vania 19143. ~ Six years have passed since the CMSW undertook the monumental study known as the Sisters Survey in an attempt to delve into the thinking and feelings of the religious who participated. Prescinding from the reported findings, one can suspect that even the launching of such a study had value simply as a consciousness-raising device. Foremost among the areas of re-ligious life that came under scrutiny was the, dynamics of group living that we call community life. Explosive--because it is inescapably personal-- and sacrosanct--because it is integral to religious traditions and the essence of religious life as we understand it, the whole topic of group living by re-ligious is subject to biased interpretations. Why? Perhaps just because celibates need so much from community life. Perhaps just because we de, pend so much on life in community to underwrite the whole structure of the social apostolates in which we engage. Perhaps just because an ideal form of community life promises to make tangible and present the kingdom of God toward which we daily strive. Size and Cohesiveness Whatever the reason, there can be no doubt that community is a prime concern among religious and that size as related to cohesion is a pivotal area. In order to bring empirical objectivity into an issue clouded with un-conscious and often conflicting biases, the author undertook a research 35 36 / Review ]or Religious, Volume 33, 1974/1 project designed to investigate the effects of size on the cohesiveness of groups of religious living together in local communities. By devising a method to quantify the degree of cohesion exhibited through the affective choices made by members of several large and small communities, it was possible to make a comparison based on evidence more objective than opinion and more concrete than theory. Background The CMSW Survey in 1967 showed that 59.7% of the 125,000 sisters who responded to it felt that there was an optimal size of community groups beyond which it would be impossible for members living together to become a community. (Though the Survey did not define the term com-munity, it is patent from much of the literature of the day that sisters under-stand some special sense of fraternity and solidarity or cohesiveness that should be characteristic of the shared life of religious who live together.) Among the Sisters of the Holy Child Jesus, who were the subjects of the research project on which this article is based, an even greater majority-- 78.2%--concurred in the opinion expressed on the CMSW Survey instru-ment. In subsequent years a plethora of literature praising small group living has led to a general belief among religious in the therapeutic value of the small local community as the preventative for malformation of personality and as a booster shot for personal fulfillment through the healthy human interaction indispensable for strong ego-building? The impetus for the renewal of religious life given by Vatican II in-corporated much that flowed from the best developments of social psy-chology. In this context the drive to revivify the apostolate of the Church required that religious orders of men and women march in tune with the personalism of the culture of which they are a part. Definition of the Problem From this two-pronged incentive of development in the social sciences and updating in the Church, there arose interest in the applicability of many facets of small group research to religious communities. Focusing on the i~ssumptions that in a given group (1) more frequent interaction conse-quent on smaller nfimbers of members tends to produce more cohesive groups and (2) members of a small cohesive group will experience more strong satisfying interpersonal relationships than members of a larger group, the author undertook an empirical study of eleven groups of re-ligious sisters for the purpose of developing an index of cohesiveness that would enable comparisons to be made between larger and smaller groups, 1Gabriel Moran and Maria Harris, Experiences in Community (New York: Herder and Herder, 1968). This is one of many possible examples. Size and the Cohesiveness of Groups of Religious and thus promise an objective test of the hypotheses involved. In brief, those hypotheses state that community size will have a signifi-cant effect both on the number of members with whom one can have good positive relationships and also on the proportionate number of people in community with whom one can have such relationships. Definilion of Key Words Certain key words must be defined in accordance with their use in this ¯ study in order to provide a common working base. The following appear to be most important: 1. cohesion 2. good, positive relationship 3. group--small, large Because of characteristics peculiar to religious orders, the task of defining terms is more complicated than simply borrowing from highly quoted au-thors in the field. A method of definition by distillation was employed in areas where circumstances required. A prime example was the term cohesion. In consulting authors,~ one is confronted with a notion of forces constraining members to remain in the group. But there is nothing in the literature that seems to correspond to the force of perpetual vows which bind the religious to membership in the re-ligious institute and to residence in specific local communities according to the directives from authorities in the order. Two levels of "force" are in-herent in the situation of the religious. One revolves around the strength of his commitment to the religious life itself and the second around the de-gree of commitment with which he engages in the affairs of the local house in which he lives--a commitment arising basically from a sense of duty toward an ideal based outside of the group in which he lives. A third force, distinct from the levels mentioned above, yet probably to some extent conditioned by his whole approach to religious life, is the at-traction that the local community holds for the religious by reason of the rapport he feels with particular members of that given group at any one time. Since all the groups used in this study operate under the same two forces resulting from religious profession in the order, it appears that the third type of force is more germane to our purposes here. Therefore, cohe-sion in this study denoted ". the degree of attachment (involvement, be-longingness, importance) that members have for the group.":' In this con-text then cohesion refers to the obvious capacity of the group to satisfy the ~The writings of men like Cartwright and Zander or Festinger, Schachter, and Back are typical. :~Clovis R. Shepherd, Small Groups: Some Sociological Perspectives (San Francisco: Chandler, 1964), p. 25. 311 / Review [or Religious, Volume 33, 1974/1 personal needs of its members. It is this connotation that is meant by "strong, satisfying, interpersonal relationships" referred to in the second assumption; and this is the definition of good, positive relationships used in this work. (Though use of the word "friendship" might be a more graceful way of ex-pressing these ideas, its use is being purposefully avoided to.allow for a more open-ended definition of friendship to be employed later in the pre-sentation. ) By small groups, we shall mean groups of between 6 and 11 members and the large groups used in the study ranged from 12 to 29. Procedure The procedure used in the research involved a sociogram-like type of questionnaire in which the respondents were asked to list any number of sisters with whom they had lived during the last year and with whom they would enjoy engaging in a series of activities ranging from purely recrea-tional, to work related, to deeper, more intimate sharing on the religious plane. In every situation the emphasis was on the natural affectivity of one sister for her companions and not any exercise of supernatural charity? Approximately 91% of the sisters responded thus providing the researcher with excellent material from which to construct four measures of cohesion. Three of these stemmed from analysis of who chose whom and how often. By diagrammatically presenting the chain of relationships resulting from tracing the choices of the most frequently chosen individuals as they re-lated to the others in. community, a distance factor was developed. Finally, a study was made of the average number of "good friends" that the sisters INDEX OF COHESION AS DEVELOPED THROUGH THIS STUDY Community z-score corrected distance use of per- average size order ranking z-scores factor sonality votes rank " A 1 1 1 1 1 B 3 2 2 2 2 C 8 3 5 6 6 D 2 5 4 4 3 E 4 7 3 5 4 F 5 6 9 9 7 G 6 4 7 3 5 H 9 10 8 8 l0 I ll 11 6 7 8.5 J 7 8 10 10 8.5 K 10 9 11 11 I1 4For a complete exposition of the steps involved in the research readers are referred to the original work by the author, Sister Jane Marie Kerns, A Quantitative Analysis o[ Size and Cohesion (unpublished M.A. thesis, St. Louis University, 1973). Size and the Cohesiveness oI Groups of Religious / 39 in each house claimed. In this phase of the project each respondent was permitted to define the phrase "good friend" in any way that she felt was adequate and then she was asked to tell how many such "good friends" she had in the~ community in which she lived. Analysis of this section revolved around both the absolute number of good friends claimed and the number proportionate to the size of the community. Interpretation of Results A word of caution is in order here. Before any interpretation of the results can be presented, it must be remembered that this study was de-signed to measure relative cohesion only. It cannot be stretched to comment on disunity, on morale, or on working efficiency of the groups involved; and it must be seen as a measure of natural affectivity--a factor which cannot be assumed to be the dominant motive force for most of the group's activity. This caution is necessary both to maintain a scientific discipline and also to prevent our losing sight of the supernatural aspects of community life that cannot have been explored in this kind of work. Be that as it may, it is still remarkable to notice that the study revealed the presence of no isolates--persons not chosen by any other members of a group--in any of the eleven communities totaling 141 religious. Not only are there no iso-lates, but in actual count there is no, member of any community who was not chosen by at /east 21% of the members of the community who re-plied--- by no fewer than 50% of the members in 7 out of the 1! com-munities. Therefore, it can be insisted that we are justified only in conclud-ing to relatively more or less cohesion but not to any implication of disunity or disaffection. Size as a Significant Factor It can be stated unequivocally that the empirical evidence presented points to size as a significant factor in the study of cohesion. There is every reason to conclude that the smaller, the group, the more the members demonstrate stronger natural choices for a wider segment of the group. But hidden within this general overall conclusion are several important considerations that must be brought to light. Whereas the techniques used here demonstrated the validity of the commonly held belief that small groups tend to be more cohesive, the ques-tion dealing with friendship upset the commonly held expectation that more good friendships are found within small groups and that theoexistence of such friendships is the reason for greater cohesion. From our study the results indicated that such a line o[ r~easoning is faulty. In the first place, smaller houses reported neither a greater number of friendships absolutely nor a greater number proportionately speaking. Hence, friendship and co-hesion are not synonymous nor are they positively related. Rather, it might be concluded that they are alternatives within the group process. 40 / Review ]or Religious, Volume 33, 1974/1 Two possible lines of thought might be adduced to explain the seeming contradictions posed by the fifth stage of the investigation. First, by de-veloping and combining some of the thought of Simmel~ and of Mancur Olson'~ with regard to small groups, a synthesis can be arrived at which sheds light on the subject. Simmel's contribution springs from his conten-tions that smaller groups have qualities, including types of interaction among their members, which inevitably disappear when the groups grow larger. Olson points to a major difference between large and small groups when he formulates as a principle: ". the larger the group, the less it will further its common interests." Second, by appropriating some of the insights of Sister Joan Michele Rake7 and blending them with the thought of Simmel and Olson, the contradiction of fewer friendships in more cohesive groups is dissolved. Sister Joan Michele draws the boundaries between "engulf-ment" by the community and self-development of the healthy religious who makes good use of the structures of community. Hers is not so much a study of the effect of size but rather a clarification of issues on some of the dynamics at work in any group. The Specifics of Small Groups Consider the relative investment that members of a small group must make in order to obtain the benefits of membership and conversely the mag-nitude of the slack that must be taken up by the remaining members if one member fails to carry his own weight. More specifically, consider the num-ber of functions that must bc performed smoothly if life in the house is to be mutually beneficial. Since the small group enables not only face-to-face rela-tionships but even more importantly, person-to-person contact and consul-tation, many of the decisions reached and the functions implicit in the religious life lived in community are arrived at and disseminated tacitly. For example, each one knows from personal experience that does not need explicitation that communal worship can only be consummated if the com-munity is present and each one knows that in a small house her absence is both noticed and keenly felt. The differential involved is not merely a quan-titative one, but actually a qualitative one. There is a certain unspecified number below which communal worship declines into merely a collection of individuals attending the same liturgical function. And it is this height-ened sense of awareness of the qualitative contribution made by personal participation of each that typifies the small group. Person-to-person contact makes possible agreement--implicit or ex-plicit-- on common goals of a more specific nature than can be formulated '~Kurt H. Wolff, The Sociology o] Georg Simmel (Glencoe: Free Press, 1950), p. 87. ~;Mancur Olson, The Logic o] Collective Action (New York: Schocken, 1968), p. 36. rSister Joan Michele Rake, Friendship in Religious Li]e (unpublished M.A. thesis, Duquesne University, 1969), Chap. 7. Size and the Cohesiveness of Groups o]. Religious / 41 when a larger number of individuals is involved. And converSely, devia-tion from the commonly accepted ideas is more obvious and therefore re-quires more of an expenditure of psychic energy for continued adherence on the part of the deviant and more of an effort on the part of the group as a whole to combat either by modifying the idea or by converting the deviant member. Whether we speak of positive elements that tend to unite or of negative elements that tend to threaten the group's solidarity, there is more immediate response required, a greater expenditure of personal effort on the part of each member in the small group, and a return in the way of benefits of group membership commensurate with the effort expended. The Specifics of Large Groups In the large group the sahae level of return is expected, but the level of expectation of individual participation is lower. Since person-to-person com-munication on. :every issue and between every set of persons is too time-consuming and too indeterminate in the process of seeking consensus, cer-tain abstractions in the form of community mechanisms, offices, and so forth must be established and these become looked upon as the expression of group cohesion that can no longer be immediately and obviously attained. The areas of shared ideas becom6 somewhat more general and, therefore, more readily acceptable to the total group in spite of the greater variety of opinions. In turn these more abstract expressions of relations and more general types of agreements require less commitment on the part of the individual. Though the ideas themselves may be less "radical," less basically rooted in the peculiar characteristics of the group, more generalized, ad-herence to the ideas becomes more radical, more a bare minimum that can-not be sacrificed if group unity is to be maintaini~d. A full complement of the members is not required to constitute a "com-munity presence." Absenteeism is not as noticeable--certainly not as per-tains to the particular individual who is absent, since her personal contribu-tion has in some ways become distanced or formalized in the large group setting. Differences between Small and Large Groups Wha~t results from the above discussion is an argument to the effect that the demonstrably greater cohesion among the small group members results more from a heightened sense of personal investment and personal con-cern, a greater consciousness of the personal element in the affairs of the house, a greater consonance between the individual's own approach to life since his personality enters more fully into the determination of group atti-tudes, a greater sense of the interdependence of the persons in the com-munity in all its affairs---especially because they answer directly to and for each other. In the larger group some degree of personalism is lost as the sheer force of numbers demands some degree of abstraction and the substi- Review ]or Religious, Volume 33, 1974/1 tution of shared symbols that can be immediately present to all when the person-to-person common search for common understanding is not practi-cal, The sense of interdependence is therefore "once removed" with the result that the individual who has to expend less of herself in contributing to and in conforming to more general ideas is then .freer to develop inde-pendently of the group in more areas. Not only is there in larger groups more room for individualism to fluorish and a greater variety of personality types emerging (assuming of course the absence of any rigorous pressure to conform in all respects), but this sharper differentiation among component personalities enables stronger, more particularized dyadic relationships to de-velop out of the shared responses. Hence, we see the application of Simmel's principle that the quantitative increase in size of a group leads to a qualitative differentiation ~on the part of the individuals.8 Simmel holds that an individual tends to maintain a certain balance between the social and the individual aspects of his life. When he is involvi~d in a small group with a high profile for cohesiveness or for strong identity as a group, he has little opportunity to express his own individuality--and little need to do so since there is satisfaction offered in the group. But when he is involved in a larger group with a less ~iell-defined profile, °one that is less consonant with his unique personality since it is necessarily more generalized, he then finds scope--indeed he must--to express his individuality. As the group gains in individuality ~(a situation that pertains to small groups), the individual loses and vice versa. The Question of Friendship Sister Joan Michele believes that wherever the "corporate mentality" is strong among religious--that is, a tendency to look on the group life as an exercise in efficiency--it will be more difficult for 'real friendships to grow. If friendship is ". an encounter between two persons. [which] results in an enduring nonexclusive relation which is lived as a gift of affinity and affection and occasions the autonomous growth of the persons involved,''~ it can only flourish where there is a real encounter of unique personalities --personalities well-developed, mature, sharing a common ground in .their search for truth, and coming, as it were, by chance upoh an unconscious, mysterious affinity that raises comrades, colleagues, and companions. above those levels of association to a new plane that is by no means the necessary consequence of living in community. Precisely what dynamics are generated by the presence of more or fewer dyadic relationships could not be explored in this project since the identity of "good friends" was not revealed; but it has been necessary to digress into these areas ever so slightly, simply to make the point that the cfn-~ 8Wolff, The Sociology o! Simmel, p. 87. '~Rake, Friendship, p. 52. Size and the Cohesiveness of Groups of Religious / 43 clusions reached in this research are quite validly and integrally consistent with the general direction of small group theory. Yet there is real danger that they may lend themselves to simplistic interpretations that do not con-vey the whole picture. The research has confirmed the theory that (1) community size does have a significant effect on the number of members with whom one can have good, positive relationships---both the absolute number and the proportionate number of members; and that (2) the smaller size communities are the ones that exhibit these good, posi-tive relationships more frequently. Equally important, however, are the findings resulting from the question on friendship; namely, the members living in larger groups tend to report both a greater number of "good friends" and to consider a greater proportion of members of the com-munity in the category of "good friends." The above statement when coupled with the theory of writers like Van Kaam, Sister Joan Michele, and even classical authors such as Simmel indi-cates there are ways in which the more cohesive small groups are at the same time more restricted in opportunities for developing friendship and that friendship might actually exist as an alternative to cohesiveness, not as a concomitant element. Practical Conclusions Taking a step beyond the scientifically validated conclusions of the study itself and addressing the practical value of all this for the present-day religious community, there are perhaps two major points to be considered. The first point of practical concern for religious is the importance of the absence of isolates from the communities studied and the commentary this is on the ability of religious who share the overall goals of the religious institute to assimilate members into a community even when religious have no voice in choosing where or with whom they will live. Though this point cannot be pushed beyond the limits mentioned earlier, it can be cited as evidence that the freedom in assigning personnel that has been a plus factor enabling religious groups to function efficiently in the apostolate is not in and of itself incompatible with the desire to provide living condi-tions that foster good interpersonal relationships. The second point to be made is that decisions regarding community size (where circumstances allow for either possibility) might reasonably be made in favor of smaller community groups at a time when the call to re-newal emphasizes our need to search together for a more radical commit-ment to the essence of religious life. If sociologists and psychologists are correct in their assessment of the differential in ability of various size groups to reach consensus at various levels of abstraction, certainly religious would do well to make use of this knowledge in their efforts to re-create 44 / Review ]or Religious, Volume 33, 1974/1 in the Spirit the shared faith that brought their institutes into being. Further-more, if the members of congregations are appraised of what can and cannot be achieved in groups of various sizes, realistic expectations can constitute solid foundations auguring well for solid progress. Structures of themselves will never cure. But they can facilitate if used wisely, and they can hinder if used poorly or ignored. Size is not of itself a panacea, nor a Pandora's box. Perhaps we have mistakenly held in the past that the same quality of religious life can exist with six or sixty in the community. As we eschew past folly, let us not perpetuate new foolishness by assuming that small size will do more than facilitate the emergence of a faith sharing which will depend for its quality, not on numbers but on the grace of God realized in the lives of those who grow together toward the fulfillment of their covenant with both God and His People. The Liturgy of the Hours in Religious Communities John Allyn Melloh, S.M. Father John Allyn Melloh, S.M., a member of the School of Divinity of St. Louis University, lives at the Marianist Residence; 4528 Maryland Avenue; St. Louis, Missouri 63108. The Liturgy of the Hours should not be looked on as a beautiful monument of a past age, to be preserved almost unchanged in order to excite our admira-tion. On the contrary, it should come to life again with new meaning and grow to become once more the sign of a living community.--The General Instruc-tion on the Liturgy of the Hours, paragraph 273 Reform, renewal, restoration of the liturgy is always one of the paramount concerns of any ecumenical council; Vatican II was no exception. Desirous of "imparting an ever increasing vigor to the Christian life of the faithful" (Constitution on the Sacred Liturgy, paragraph 1), the Council fathers placed liturgical reform top on the list of their priorities. If the liturgical celebrations of the People of God were to be a "foretaste of that heavenly liturgy which is celebrated in the holy city of Jerusalem toward which we journey as pilgrims" (Constitution on the Sacred Liturgy, paragraph 8), then much renewal was needed, lest the pilgrim people of Yahweh seek a new city-~one where celebration was indeed a reality! Restoration of Eucharistic praxis, as well as an updating of other sacra-mental ritual celebrations, was essential for the nourishment of Christian piety and the mediation of the salvific graces to all mankind (Constitution on the Sacred Liturgy, paragraph 1 !). Equally important for the liturgical life of the ekklesia was the restoration of the Divine Office, the Liturgy of the Hours, the "public prayer of the Church" (Constitution on the Sacred Liturgy, paragraph 90). In the age of aggiornamento, this "wonderful song 45 46 / Review for Religious, Volume 33, 1974/1 of praise" (Constitution on the Sacred Liturgy, paragraph 84), which had all but entirely disappeared, had to be revived; and a genuine "revival" was needed for the "voice of the bride addressed to her bridegroom" (Constitu-tion on the Sacred Liturgy, paragraph 83) had become mute. This "very prayer which Christ himself, together with his body, addresses to the Father," had become, over the ages, a prayer which Christ, along with a few isolated members--becoming fewer day by day--of His Church addressed to the Father. The opus Dei had become the onus Dei.t General Instruction on the Liturgy of the Hours Almost ten years later, in February 1971, the Sacred Congregation of Divine Worship issued the General Instruction on the Liturgy of the Hours. In five chapters, full of good solid Christology, ecclesiology, and spirituality, this document speaks of the Liturgy of the Hours as a viable prayer form for the Church--even in 1973! Perhaps one of the most significant Roman documents issued of late, and certainly the longest and most theological document ever issued on the topic of the Divine Office, the General Instruc-tion makes clear that the intent is the restoration and revitalization of the Liturgy of the Hours. The "ptiblic and communal prayer of the people of God is rightly considered among the first duties of the Church" (General Instruction, paragraph 1), for the ekklesia is most itself, achieves its own special identity, and fulfills its mission when the assembly is together at prayer, especially at liturgical prayer. Vatican II has consciously and firmly asked that~the Liturgy of the Hours once again be prayed, that this prayer form once again be given life by the living People of God--that it may become a living prayer and that the entire Church may "offer praise to God . . . in singing that canticle of praise which is sung throughout all ages in the halls of heaven" (General Instruction, paragraph 16). The New Book of the Liturgy of the Hours A day to be hailed in litui'gical circles was 23 June, 1971, for on that day, L'osservatore romano published Laudis canticum, officially promulgat-ing the new book of the Liturgy of the Hours. The work of Vatican II and its liturgical commission had borne fruit. The new edition of that book once called the "Breviary" had been arranged and prepared in such a way as to encourage the faithful to celebrate the hours. Once again, this necessary complement to Eucharistic worship and sacramental practice was restored so that it would become "the prayer of the whole people of God" (Laudis canticum, L'osservatore romano, page 1 ). At least now there was a chance that should one of the faithful stumble across the Prayer of Christians he might recognize it! In the new edition--albeit interim--of the Liturgy of the Hours genuine reforms were made. Structure of the hours was modified, the cycle of Psalmody changed, intercessor3/prayer introduced--all with a view to pub- The Liturgy of the Hours in Religious Communities / 47 lic celebration of the Hours of Prayer. In its restored form, the Divine Office was to be a "font of piety and nourishment for personal prayer" (Laudis canticum, L'osservatore romano, page 1 ). Toward a Revitalized Celebration The documents of Vatican II, the General Instruction on the Liturgy of the Hours, Laudis canticum--all ask that the prayer of Christ be con-tinued by the members of His Body; earnestly they request that this prayer of Jesus be continued in the revitalized celebration of the Liturgy of the Hour's. It is in our spatio-temporal matrix that groups of praying men and women can continue this prayer of the Lord who lives ever making inter-cession for us (Heb 7:25). Communal prayer will once again take root in the Church at large, replacing, in part, private prayer, especially that form of private recitation of the Office which is a liturgical anomaly. Once again the Church-united may celebrate the prayer of the Hours "to give Him glorious praise" (Ps 66:2). The General Instruction on the Litu.rgy of the Hours, despite the wealth of genuine theological principles and very fine material for meditative re-flection, is rather weak in detailing how the Liturgy of the Hours may "be celebrated in communities--"celebrated" as opposed to "recited," "said," or "read." In the following pages, it is my intent to ,describe how the Liturgy of the Hours is celebrated in our Marianist community in St.Louis, Missouri; likewise, since Evensong was celebrated each evening at St. Mary's University in San Antonio, Texas, during the. 1973 summer session, using the same format of celebration, I would like to include comments from those who participated in those liturgical celebrations. Morning Praise Matins consecrates to God the first movements of our minds and hearts; no other care should engage us before we have been moved with the thought of God, as it is written, "I thought of God and sighed" (Ps 76:4), nor should the body undertake any work before we have done what is said, "I say this prayer to you, Lord, for at daybreak you listen for my voice; and at dawn I hold myself in readiness for you, I watch for you" (Ps 5:4-5).--The General Instruction on the Liturgy o] the Hours, paragraph 38; quotation from St. Basil Morning itself conveys the notion of rebirth and renewal; the gift of God--a new day to be lived out in Christ--stirs the soul of the Christian to prais.e and to supplicationl The character of the Morning Office quite naturally becomes an act of dedication, of preparation, of offering the first fruits of the day's labor to the Lord, in the hope that the entire day will be pleasing in His sight. As Morning Praise is celebrated in our community, a vested celebrant enters the chapel and greets the community after reverencing the altar. A Morning Hymn is sung; this hymn thematically recalls the symbol of God who is light (1 Jn 1:5) and of Christ who is the Sun of Justice (Mal 4:2). Review for Religious, I"olume 33, 1974/1 Praise and thanksgiving for light--both natural and supernatural-colors the sung praise of Father, Son, and Holy Spirit. A redeemed people, brought from darkness to the kingdom of God's beloved Son (Col l:13), from darkness of idolatry to the light of the Gospel, we praise our God for crea-tion, for redemption--for the light of day and the light of Christ. A brief penitential rite--an offering of incense--follows the hymn. During the incensation of the standing community, Psalm 51 or 63 is sung. St. Basil explains: "When day is breaking, all together, as from one heart, sing the Psalm of confession [Ps 51] to the Lord, each one making his own these words of repentance." John Chrysostom points out that Psalm 63, an ardent cry of longing for the Lord, is also a Psalm of purification, giving voice to the Christian's awareness of his weakness and need for the loving mercy of the Lord. A collect concludes this brief prayer for purification and readies the community for the celebration of the Word of God. The community is seated during the singing of the morning Psalmody. Psalms of praise, especially the traditional morning Psalms 148 through 150, are used. Ordinarily, only one Psalm is sung and the usual mode of singing is responsorial. Psalms are chosen according to themes well suited for a morning prayer. A significant pause for silent prayer follows the singing of the Psalmody. An appropriate Psalter collect, stressing praise of the beneficent God, concludes the sung Psalmody. An adequate rhythm of community prayer is enhanced through the use of lectio continua in Morning Praise. Especially appropriate are Old Testa-ment selections; since the Epistles and Gospels are proclaimed during the celebration of Evensong or the Eucharist. The choice of readings varies with the Church year. After a period of silence of several minutes, all stand for the singing of the Gospel Canticle of Zachary, which accompanies the offering of incense. As a symbol of intercessory prayer "going up" in the Lord's sight (Rev 8:3-4)--a survival of the Temple usages described in Exodus 29 and 30-- the offering of incense is made at the altar, which is then incensed. Intercessory prayer is generally a brief morning litany which concen-trates on themes of renewal, dedication for the work of the day, prayer for God's continual blessing throughout the day. Usually the prayer is sung; and on penitential days the community kneels for this prayer, which is con-cluded by an appropriate collect. The Lord's Prayer, which Tertullian has called the "epitome of the Gospel itself," that eschatological prayer which stresses the primacy of the kingdom and the life of those living in it, can be considered the climax of the Office. The prayer is always sung and the congregation prays it in the usual orans position. A blessing concludes the Morning Office--the prayer of praise of God, of thanksgiving for creation and redemption, and of ardent desire for the life of the Kingdom. The Liturgy of the Hours in Religious Communities / 49 Evensong Our fathers did not think it right to receive the blessing of evening light in silence. Rather, the moment it appeared, they would praise and thank God for it.--St. Basil, Treatise on the Holy Spirit As day is drawing to a close and the evening is upon us, the Christian community gathers to give thanks "for what has been given us during the day, or for the things we have done well during it" (St. Basil, Regulae fusius tractatae, Resp. 37, 3; PG 31, 1015). With an evening light service, the celebration of Evensong commences. To the proclamation: Jesus Christ is the Light of the world! intoned by a vested deacon, the congregation responds: A Light that no darkness can extinguish! During the ceremonial illumination of the church, the lighting of the candles and the lighting of the chapel lights, an evening hymn is sung. Ordinarily the Phos Hilaron is sung in one of its several settings, or another appropriate evening hymn, stressing the theme of Christ our Light, is sung. A diaconal proclamation, an act of thanksgiving for the blessings of light and an act of praise of God, concludes the light service. An evening act of contrition, an offering of incense, follows; and Psalm 141, "The Psalm at the kindling of lights," accompanies the liberal incensa-tion of the community. This offering of incense, an atonement symbol (Num 17:11-3), is a purificatory action. It should help the Christian com-munity recall the "sweet odor of Jesus Christ" (2 Cor 2:14-6) and be a symbol expressive of that saving blood of the Lamb who ever lives to make intercession for us (Heb 7:25). An appropriate Psalter collect is a conclu-sion to this ritual action. Evening Psalmody is sung responsorially. Ordinarily only one Psalm, in addition to Psalm 141, is sung in the evening. Evening themes of thanks-giving for the blessings of the day and repentance for inevitable daily failings can be found in the Psalter. Such Psalms are appropriate for the evening Office. A period of meditative silence of significant length follows the sing-ing, and this period of prayer is concluded with the praying of a collect. The reading from Scripture is taken from the cycle of readings in the new lectionary. Customarily, Epistle and/or Gospel readings are used in the evening. A homily is preached when Evensong is celebrated immediately preceding the community evening dinner. The period of meditative silence is broken by the singing of the Gospel Canticle of the Virgin Mary which accompanies the offering of incense. In line with the use of incense as a symbol of intercessory prayer, the altar is honored with incense to affirm our belief and real participation in the com-munion of saints (Rev 8:3-4). Gospel Canticles, reverenced as the good news of salvation, are always sung standing. A fundamental part of Christian prayer, intercession for the universal needs of the Church and the world, is offered, following the urgings of Paul (1 Tim 2:1-4). The traditional Byzantine Litany of Peace is often 50 / Review ]or Religious, Volume 33, 1974/1 sung as one form of intercessory prayer. Other litanies are also used. One of the most famous and popular of the Eastern hymns is the Tri-sagion, which came into wide usage after the Council of Chalcedon in the fifth century. A hymn of Trinitarian praise and thanksgiving as used with the doxology, it is a fitting introduction to the prayer given us by Jesus. It is essentially of the same prayer style of praise and thanksgiving as we find in the prayer given by Jesus and as such it is a beautiful sung introduc-tion. Expressing an ardent desire for the coming of the kingdom and a solemn plea for the forgiveness of sin and genuine fraternal reconciliation, the Lord's Prayer is a most fitting conclusion to the Christian Office. A solemn blessing, most often tripartite in form, is the dismissal of the community, an invocation of the power of God upon the assembly and a petition for the mercy and loving kindness of the Almighty Lord in whose name we have gathered. At times, the Kiss of Peace is exchanged at the conclusion of Evensong, as a symbol of the peace of the kingdom, that peace which alone can be given by the Lord of that dominion. ' Resurrection Vigil of the Lord's Day Come,O faithful: let us drink a new drink, produced miraculously not from a barren rock, but springing from the tomb which is a fountain of immortality: the tomb of Christ by which we are strengthened. Glory to your holy resurrection, O Lord! Today the whole creation, he~iven and earth and the deepest abysses of the earth are filled with joy. Let the whole universe celebrate the resurrection by which we are strengthened. Glory to your holy resurrection, O Lord! Yesterday I was buried with You, O Christ! Today I rise with You in your resurrection. Yesterday I was crucified with you: glorify me with you in your kingdom. Glory to your holy resurrection, O Lord! Christ is risen from the dead! He has crushed death by his death and bestowed life upon those who lay in the tomb. Glory to your holy resurrection, O Lord! Jesus is risen indeed, as He had foretold: He has given us eternal life and abundant mercy.--Third Ode, Easter Canon of John of Damascus Byzantine Daily Worship, Easter Sunday, page 849 These words contain the spirit of unrestrained joy of the Christian who encounters the Paschal Mystery of the Lord Jesus. The sense of triumph, of joy, of exultation, and of hope permeate this entire text. While the vigil of the Easter celebration of the resurrection is truly "Mother of all Vigils," nevertheless a weekly commemoration of the Pascha of the Lord is in the mainline tradition of the Church. The celebration of the Resurrection vigil of the Lord's Day, which takes place at eleven o'clock Saturday evening, is a wonderful preparation for the Eucharistic Banquet of the Lord's Day. It is a rich and deep experi-ence of the mystery of the passion, death, and resurrection of our Lord and The Liturgy o] the Hours in Religious Communities / 51 Savior Jesus Christ, celebrated communally with hymnody, Psalmody, and readings. The Night Watch, that time when we gather as a community, to recall the resurrection of Jesus and to pray for His glorious return, is a service of the Word celebrated with grandeur. The chapel is in darkness awaiting the appearance of the New Light. A vested presbyter and vested deacon enter, bearing the lighted Paschal Candle. The diaconal proclamation of Christ as the Light of the World begins the celebration, and the ceremonial illumina-tion of the church is accompanied by the singing of the Phos Hilaron. A Byzantine setting of Radiant Light, arranged for three-part singing, is a magnificent hymn of light praising Father,' Son, and Holy Spirit. The Paschal Candle is honored with incense during the singing. The deacon sings Hip-polytus' Easter Hymn or the Paschal Praeconium, giving voice to the joyful thanksgiving of the Christian assembly. The singing of Psalm 141, with its accompanying offering of incense, is polyphonic. While this ritual action is an evening act of contrition, it is nevertheless a joy-filled, because confident, plea for the loving kindness of the Lord who always awaits with eagerness the return of those who have been unfaithful. Concluding this action of repentance is an appropriate collect. At times the singing of Psalm 141 is omitted in favor of using a differ-ent Psalm, one with Paschal overtones. The second Psalm, sung respon-sorially, takes on a Paschal character through the use of alleluia antiphons. The great cry "Alleluia" re-echoes in the hearts of those who have experi-enced the risen Lord and Psalms of praise express the gratitude of the as-sembly for the Great Passage of the Lord. One of the charismatic speeches recorded in Acts with a sung respon-sorial Psalm or an appropriate patristic reading is the First Lesson, followed by a distinct pause for reflection on and assimilation of the text. The Gospel Alleluia is intoned as the Book of Gbspels is incensed. The account of the Resurrection is sung by the d
Issue 30.6 of the Review for Religious, 1971. ; EDITOR R. F. Smith, S.J. ASSOCIATE EDITOR Everett A. Diederich, S.J. QUESTIONS AND ANSWERS EDITOR Joseph F. Gallen, S.J. Correspondence with the editor, the associate editors, and the assistant editor, as well as books for review, should be sent to I~VIEW FOR RELIGIOUS; 612 Humboldt Building; 539 North Grand Boulevard; Saint Louis, Missouri 6:31o3. Questions for answering should be sent to Joseph F. Gallen, S.J.; St. Joseph's Church; 321 Willings Alley; Philadelphia, Pe.nnsylvania 191o6. + + REVIEW FOR RELIGIOUS Edited with ecclesiastical approval by faculty members of the School of Divinity of Saint Louis University, the editorial offices being located at 612 Humboldt Building; 539 North Grand Boulevard; Saint Louis, Missouri 63103. Owned by the Missouri Province Edu-cational Institute. Published bimonthly and copyright ~) 1971 by REVIEW 'VOg RELIGIOUS. Published for Review for Religious at Nit. Ro\'al & Guilford Ave., Baltimore, .Xld. Printed in U.S.A. Set'ond class postage paid at Baltimore, .Maryland and ,at addithmal mailing offices. Single copies: $1.25. Subscription U.S.A. and Canada: $6.00 a year, $11.00 for two years: other countries: $7.00 a year, $13.00 for two years. Orders should indicate whether they are for new or renewal subscriptions and should be accompanied by check or money order paya-ble to REVIEW POg RELIOIOGS in U.S.A. currency only. Pay no money to persons claiming to represent REVIEW FOR RELIGIOUS. Change of address requests should include former address. Renewals and new subscriptions should be sent to REviEW FOR RELIGIOUS; P. O. Box l 110; Duluth, Minnesota 55802. Manuscripts, editorial correspondence, and books for re-view should be sent to REVIEW FOR RELIGIOUS; 619 Humboldt Building; 539 North Grand Boulevard; Saint Louts, Missouri 63103. Questions for answering should be sent to the address of the Questions and Answers editor. NOVEMBER 1971 VOLUME 30 NUMBER 6 JOSEPH F. GALLEN,.S.J. Decree on Confessions of Religious. In a decree dated December 8, 1970, effective immedi-ately, and confirmed by the Pope on November 20, 1970, the Sacred Congregation for Religious and Secular Instb tutes made the following.changes in the canon law on the sacrament of penance for religious, especially religious women, and on exclusion from a religious institute of one in temporary vows because of ill health. These provisions will remain in force until the new Code of Canon Law is effective. Number 4, e), of the Decree states that the pre-scriptions of the present canon law that are contrary to the new provisions, incompatible with them, or which because of them no longer apply, are suspended. Any provision of the Decree that~ affects novices will apply to those in a temporary commitment other than temporary vows. The numbering of the Decree has been retained in the following explanation. 1-2. The Decree exhorts religious to value highly the sacrament of penance as a means of strengthening the fundamental gift of metanoia or conversion to the king-dom of Christ, and to esteem in the same way the fre-quent use of this sacrament, which debpens ~true knowl-edge of self and humility, provides spiritual direction, and increases grace. These and other wonderful effects, according to n. 2, contribute not only to daily growth in virtue but are highly beneficial also to the common good. 3. All religious, men and women, clerical and lay, ex-empt and nonexempt, should strive to receive the sacra-ment of penance frequently, that is, twice a month. Supe-riors are to encourage this frequency and make it possible [or the members to go to confession at least every two weeks and even oftener, if they wish to do so. In the past, canon law did not oblige religious to go to confession at least once a week. The canonical obligation extended onl~ to superiors, who had to make it possible for their subjects to confess at least once a week. How-÷ ÷ ÷ Joseph F. Gallen, s.J., writes from St. Joseph's Church at 321 Willings Alley; Philadelphia, Penn-sylvania 19106. VOLUME 30, 1971 4" 4" J. F. Gallen, S.J. REVIEW FOR RELIGIOUS 944 ever, the Code of Canon Law presupposed that an obliga-tion of weekly confession, existdd at least from custom, and very universally the constitutions obliged religious to confess at/east once a week. 4, a). "All women religious and novices, in Order that they may have proper liberty, may make their confession validly and licitly to any priest approved for hearing confessions in the locality. For this no special jurisdiction or designation is henceforth required." The first sentence of this number" gives all women reli-gious and novices, in orders, congregations, or societies of common life, the right always to go to confession validly and licitly to any priest of their choice, whether he is diocesan or religious, who is approved for confessions in the locality of the partic.ular confession. Furthermore, as this number of the Decree also states, the confessor does not have to be designated or appointed, for religious women.' Even in the past there were no canonical norms on the confessions of men or women postulants, who were regulated canonically by the same laws on confession as secular men and women. Religious women and novices are therefore .no longer obliged to go to ordinary or ex-traordinary confessors, eveh when such confessors exist for their houses. The special confessor of a particular reli-gious woman of canon 520, par. 2, no longer exists be-cause a religious woman may go, even habitually or al-ways, to any confessor of her choice. The same reason excludes the supplementary confessors (c. 521, par. 2), the occasional confessor (c. 522), and the confessor of seri-ously sick religious women (c. 523). Number 8, e), of the recent norms on the papal enclosure of nuns permits the following: "A priest [even if he possesses no jurisdiction for confessions] may likewise be admitted to assist those religious suffering from a chronic or greave illness." Mere spiritual direction, unlike absolution, does not require jurisdiction for confessions. Because of the sus.pended canons listed above in this paragraph, canon 2414, the last canon in the Code, is also suspended. This canon reads: If a superioress acts against the prescriptions of canons 521, par. 3, 522, and 523, she shall be admonished by, the local or-dinary; if again delinquent, she shall be punished by removal from office, and the Sacred Congregation of Religious is to be immediately informed of the matter. By reason of the second sentence of this number, spe-cial jurisdiction is no longer required for the valid or licit confessions of professed women religious or novices, whether in orders or congregations, nor for those in the analogons states of societies of women living in common without public vows (c; 675). All of these are now ab-solved in virtue of the same jurisdiction as secular women. Priests ordinarily possess jurisdiction for the con-fessions of the faithful ol~ both sex~esf@hey may therefore, in the locality for which they posses such jurisdiction, valid!y absolve the religious women listed" above any-wherd, in the confessional or outside of it. They may licitly do the latter in a case of sickness or for any other reason of like import (c. 910, par. 1). In the pa.st, to absolve validly and licitly the~ same religious women listed above, special jurisdiction was nec-essary. The jurisdiction was special becfiuse it "~as not contained in the jurisdiction granted for the faithful of both sexes~or for women. It had t3 be given expressly for religious women (c. 876, par. 1). The pres.ent suspension of the necessity of special jurisdiction also implies the suspension of the necessity of the designation of a special spiritual director (c. 520, par. 2) by the local ordinary or the regular superior. The i'eason for the necessity of this designation was that special jurisdiction for confession was granted to such a spiritual director. Lay religious institutes o[ men. According to n. 5 of the Decree, the applicable norms of n. 4 on women appertain~ also to lay institutes of men. Therefore, all religious and novices of such institutes may go to confession to any confessor, as explained above for women (n. 4, a). Be-cause of this right of choice, the special ordinary ~onfes-sor of professed °(c. 528), for whom the permission of the religious superior was° required, no longer exists," as is true also of the supplementary confessors of novices in the same institutes (c. 566, par. 2, n. 3),'and likewise of the occasional confessor of both professed and novices (c. 519). All of canon 566, par. 2, on confessors of novices in lay and clerical institutes of men is also suspended. Clerical institutes o[ men. Nothing is said directly in the Decree on the confessions of members of clerical or-ders' or congregations except that they too Should go to confession twice a month (n. 3). However, the applicable provisions on the confessions of women religious and nomces must also apply to clerical institutes. Otherwise, their members would be in an inferior condition to that of religious women and of the members of lay institutes of men, which has not been their status thus far in the laws of the Church. It is also the sufficiently evident intention of the Sacred Congregation to simplify the law on confes-sion [or religious and to grant greater liberty, and these are also desirable in the laws affecting clerical institutes. Therefore, all religious and novices in clerical institutes may make their confession to any confessor, as explained above [or women (n. 4, a). It would be incredible that clerical religious alone would be excluded from the pre-ceding concession. As above for lay institutes of men, the occasional confessor of both professe.d and novices (c. 519) ÷ ÷ ÷ Conlesslons VOLUME 30, 19TI 945 ~. l~. Gallen, $.~. REVIEW FOR RELIGIOUS 946 no longer exists nor the supplementary confessors for novices of canon 566, par. 2, n.3. 4, b). An ordinary confessor must be named for monas-teries of contemplative nuns, for houses of formation of women, and for large houses of women. An extraordinary confessor is to be named at least for the first two types of the preceding houses. The women religious and novices are not obliged to present themselves to either such ordi-nary or extraordinary confessors. The provision for the monasteries of contemplative nuns should in practice be extended to nuns who are doing immediate apostolic work, for example, conducting schools within their monasteries, and also to the houses or monasteries of contemplative congregations of sisters, for example, the Sisters Adorers of the Precious Blood, who have monasteries in the archdiocese of Portland, Oregon and in the dioceses of ~Brooklyn, Lafayette, Indi-ana, Manchester, Ogdensbu?g, Portland, Maine, and To-ledo Houses of formation of women include novitiates and juniorates, although the small number of novices and juniors and other circumstances can in some cases render the appointment of ordinary and extraordinary confessors impractical. There is no canonical definition of a large religious house. The determination of such houses should be made hy the local ordinary after a considera-tion of all the circumstances and even by consultation of its members. It could happen that the members of a very large house in a city can and prefer to go to any confes-sor. The presence or absence of members who cannot go outside the house for confession is obviously an impor-tant factor. Nor is consideration for the confessor to be forgotten, for example, an ordinary confessor who would come every two weeks and find nothing to do. In some cases a priest such as the one Or" ones who celebrate daily Mass in a larger house may be able to handle readily the few confessions that will occur. The fact that no religious woman or novice is obliged to present herself to any of these ordinay or extraordinary confessors follows from the general principle of the decree in n. 4, a), that all women religious and novices may make their confession validly and licitly to any priest approved for hearing confessions in the locality. This number of the Decree commands merely [he appointment of an extraordinary confessor, that is, the confessor who frequently, not neces-sarily at least for times during the year, is accessible that the members of the community may have the opportunity of confessing to another than the ordinary confessor. This was the definition of the same wording in canon 528 on the extraordinary confessor for professed religious in lay institutes of men. The Code explicity commanded the extraordinary confessor of professed religious women and novices (c. 521, par. 1)and of novices in institutes qf men' (c. 566, par. 2, n. 4) to be available atleast four times a year, but this provision is suspended by the Decree, In a liouse of ~formati0n, ord_i.nary .and extraordipar.y_, confeS, sors are to be app0intedl only for those in formation unless, with regard to an ordinary confessor, tbe other members of the house are sufficient to constitute a large house. This doctrine is evident from the fact that ordi-nary and ~xtraor,dinary confessors would not be ap-pointed [or these other members if they were in another house. Therefore, for example, in a novitiate house these confessors are appointed for the novices, not [or the mem-bers of the generalate or provincialate staff residing in tbe same house of formation. 4, c). "For other co.mmunities [in additition to the monasterieg of nuns, houses of formation, and large houses of n. 4, b) immediately above] an ordinary confes-sor may be named at the request of the community itself or after consultation with its members if, in the judgment of tlie ordinary, special circumstances justify such an ap-pointment." The "special circumstances" will be at least very com-monly those that prevent the religious women of a house fi'om going to confession twice a month unless an ordi-nary confessor is appointed. This can arise from the pres-ence in the house of religious who cannot go out for confession, from the location of the house that makes access to other confessors difficult, or that allows such access to only one confessor, for example, the sole priest in the one parish in a small town, and so forth. Lay and clerical institutes oJ men. With the exception of that on monasteries of nuns, the provisions of n. 4, b) and c) immediately above apply also to lay institutes of men by reason of n. 5, and to clerical institutes in virtue Of the arguments given under n. 4, a). It would again be incredible that ordinary contessors would continue to have to be appointed for all houses of clerical institutes (c. 518, par. 1) but only for the restricted number of houses of religious women and lay institutes of men ac-cording to n. 4, b) of the present Decree. Houses of for-mation in Clerical institutes include also houses of study (C. 587) and houses for the apostolic year and tertianship (see Sedes Sapientiae, nn. 48, 51). The judgment on the existence of a large house and on the special circumstan-ces tbat justify the appointment of ordinary confessors in houses that are not houses of formation or large apper-tains in clerical orders and congregations to the religious superior who has the right of appointing ordinary confes-sors according to the constitutions 0f the particular insti-tute. 4, d). "The local ordinary should choose confessors 4. 4. 4. ~. F. Gallen, S.]. REVIEW FOR RELIGIOUS 948 ~arefully. They should be priests of sufficient maturity and possess the other necessary qualities. The ordinary may determine the number, age and term of office of the confessors and may name them or renew their appoint-ment after consultation with the community concerned." This paragraph of the decree commands the local ordi-nary to choose the ordinary and ektraordinary confessors of women religious and novices of the tw9 preceding sections with care. The suitability of priests for these two duties appertains to the judgment of the local ordinary. For example, it is no longer required that these confessors be 'forty years of age (c. 524, par. 1). The local ordinary also determines the number of such confessors, and it is no longer demanded that per se only one ordinary and extraordinary confessor be appointed for each house (cc. 520, par. 1; 521, par. 1). The local ordinary may but is not obliged to determine the duration of the term of office of these confessors, for example, two year.s, and may reappoint them immediately and indefinitely after con-sultation with the community concerned. He may also, with the same consulation, immediately appoint an ordi-nary coiafessor as extraordinary of the same commun.ity (see c. 524, par. 2). Clerical and lay institutes o[ men. The ordinary and extraordinary confessors in these institutes from the na-ture of the matter are to be priests suitable for the office. The provisions, however, of n. 4~, d) of the Decree imme-diately above apply only to institutes of women both from their wording, which is based on the canons on confessors of religious women, and from the fact that the present canon law prescribes no qualities for the ordinary and extraordinary confessors in institutes of men, whether clerical or lay. It is evidently permitted to follow such a provision as the previous consultation of the com-munity concerned. The following are the canons specifically on confessors of religious that remain in force: Can. 518, par. 1. In . every clerical Institute there shall be deputed. [ordinary] confessors with power, if it be ques~ tion of an exempt Institute, to absolve also from the cases re-served in the Institute. Par. 2. Religious Superiors, having faculties to hear confes' sions, can, in conformity with the law, hear the confessions of their subjects who spontaneously and freely approach them for that purpose, but they may not without grave reason hear them habitually. Par. 3. Superiors must take care not to induce, personally, or through others, by force, by fear, or by importunate persua-sion, or by any other means, any of their subjects to confess his sins to them. Can. 524, par. 3. The confessors, whether ordinary or extra-ordinary, of religious women are not, in any manner, to inter- fere either in the internal or external government of the com-munity. Can. 525. For all houses of religious women immediately subject to the Apostolic See or to the local Ordinary, the latter selects both ordinary an.d extraordinary ,confessor;. ~o~" those subject to a Regular Superior, this Superior presents the con-fessors to the'Ordinary who will grant them the approval to hear the confessions of'the nuns; the Ordinary also shall supply, if necessary, for the negligence of the Regular Superior, Can. 527. According to the terms of canon 880, the local Ordinary can, for a serious~ cause, remove both the ordinary and extraordinary confessor of religious women, even when the monastery is subject to Regulars and the confessor himself a Regular, nor is the Ordinary bound to make known the reason for the removal to anyone except to the Holy See, if it should require the reason from him; he must, however, if the nuns are subject to Regulars, inform the Regular Superior of the removal. Can. 875, par. 2. In an exempt lay Institute, the Superior proposes the confessor, who, however, must receive jurisdiction from the Ordinary of the place in which the religious house is situated. The preceding are taken from the authorized but unof-ficial translation, Canonical Legislation concerning Reli-gious. Canon 891, which also remains in force, is ~not contained in this translation. It reads as follows: Can. 891. The master of novices and his socius, the superior of a seminary or of a college may not hear the sacramental con-fessions of his students residing in the same house with him, unless the students spontaneously request this in particular cases for a grave and urgent reason. The canons therefore specifically on confessors of reli-gious that remain are part of canon 518, par. 1, and all the rest of this canon; all of canons 524, par. 3, 525, 527, 875, par. 2, and 891. "II The final clause of canon 637 is to be understood in the sense that a religious in temporary vows who, because of physical or mental illness even if contracted after pro-fession, is judged by the competent superior with the consent of his council, on the basis of examinations by physicians or other specialists, to be incapable of living the religious life without personal harm or harm to the institute, may be refused admission to renewal of vows or to final profession. The decision in such cases is to be taken with charity and equ!ty." According to canon 637 a professed of temporary vows could be excluded from the renewal of temporary vows or from making perpetual profession because of ill health ofily if it was proved with certainty that the ili health had been contracted and fraudulently concealed or dissi-mulated before the first profession of temporary vows. The same principle is true of the dismissal of a professed of temporary vows (c. 647, par. 2, n. 2). These canons are not completely logical. The time of temporary vows is Confessions 949 4. 4. 4" J. F. Gallen, S.J. REVIEW FOR RELIGIOUS 950 one of probation; the canons permit exclusion or dis-missal of such professed for other inculpable causes; and canon 637 otherwise requires only .just and reasona-ble causes for exclusion and canon 647, par. 2, n. 2, only serious reasons for dismissai. These canons also caused serious and, without recourse to the Holy See, even insol-uble problems. This was verified especially with regard to psychological disorders when the subject would not vol-untarily leave the institute. His retention could cause great difficulty to the institute, even intensify his own condition, and cases occurred in which superiors could not in conscience admit such subjects to further profes-sions, particularly to perpetual profession~ It is evident that the decision in these cases of physical or psychologi-cal health is to be made with proper regard and considera-tion for the subject, and, as the Decree states, with char-ity and equity (see REVIEW I~OF RELIGIOUS, 16 [1957], 218-9, 271; 25 [1966], 1104-5). In virtue of the present legislation in II, an exclusion from further temporary or perpetual profession because of physical or psychological illness, even if contracted after the first temporary profession, may be made by the competent superior with the consent of his or her council if they judge, on the basis of examinations by physicians or other specialists, that the subject is incapable of living the religious life without personal harm or harm to the institute. The subject should ordinarily at least be first encouraged to leave voluntarily and this as soon as such a condition is sufficiently ascertained. The new legislation is concerned only with an exclu-sion from further profession; it does not extend to the dismissal of a professed of temporary vows in the same case. This can cause a serious difficulty if the case comes to a head when a considerable part of a temporary profes-sion is unexpired, for example, in the early part of the second year of a three-year profession, and the subject will not leave voluntarily. This case, when it occurs, may be proposed to the Sacred Congregation for a solution. Practical summary o[" the Decree. The~ norm'~f fre-quency of confession is every two weeks. All religious may always confess to any confessor in the locality. Spe-cial jurisdiction is not required for religious women. The only confessors proper to religious are ordinary confessors in monasteries Of nuns and in the following houses of men and women: houses of f6rmation, large houses, and other houses in special circumstances, and extraordinary confessors in the same monasteries and houses of forma-tion. Such confessors of women do not have to be forty years of age. A professed of temporary vows may be ex-cluded from further professions because of physical or psychological illness. CHRISTOPHER KIESLING, O.P. Ministry in the Schools of the Church Religious should get out of Catholic schools. Such schools should not exist.The Church should not be in the business of education, but should devote its resources to the social problems of our day. Moreover, Church schools serve the affluent middle and upper classes more than the oppressed minorities. Religious, ther~efore, should go into other ministries in which they can serve the world, especially the underprivileged. Undoubtedly it is good that religious are venturing into nev~ ministries besides ~eaching or administration in schools of the Church. It is good for sisters and brothers because some have temperaments, inclinations, interests, and talents which equip them much better for other min-istries titan that of the church school. It is good for the Chnrch and the world because both have grave needs which can be met only by the service of highly motivated and generous people such as religious. But while some religious should be encouraged to enter into new forms of apostolate, it would be most unfortu-nate if others were not encouraged to enter Or Continue in the apostolate of the schools of the Church. This apos-tolate is extremely important and even assumes, a ni~wness today by virtue of the many changes taking place in both the Church and the w6rld. As is well known, these schools are threatened with extinction today. The demise of the schools of the Church, however, is a most grievous set-back to the emergence of mature Christian laymen in the life and apostolate of the Church and hence in the Church's mission to the world, especially to the world's social problems. Vatican II expres'~d the int.egral mission of the Church with special clarity. It was compelled to do tiffs in its efforts to describe p, ositively the place, digni_ty, and role of the laity in the Church. The Decree on the Apostolate o] the Laity, for instance, says: 4- 4- Christopher Kies-ling, O.P., is a fac-ulty member of Aquinas Institute School of Theology in Dubuque, Iowa 52001. VOLUME 30, 1971 951 + C. Kiesling, O.P. REVIEW I:OR REI.IGIOUS 952 Christ's redemptive work, while of itself directed toward the salvation of men, involves also the renewal of the whole tem-poral order. Hence the. mission of the Church is not on!y to bring to men tlie message and grace of Christ, but also to pene-trate and perfect the temporal sphere with the spirit of the Gospel (n, 5). Tlie missiofi of the Church, in other words, is not to rescue men from this world for salvation in another world, but to unite men to God in this world and through them permeate human activity, culture, and his-tory with fl~e spirit of Christ, thus cooperating with God in bringing all creation to its divinely intended goal: eternal life and resurrection of the body for men in a new heaven and a new earth. Every member of the Church participates in her mis-sion: For this the ChurCh was founded: that., she might bring all men to share in Christ,s saving redemption; and that through them the whole world might in actual fact be brought into relationship with him. All activity of the Mystical Body directed to the attainment of this goal is called the apostolate, and the Church carries it on in various ways through all her members. For by its very nature the Christian vocation is also a vocation to the apostolate (ibid., n. 2). The Church is the whole body of baptized believers, sent by Christ into the world to bring men his truth and grace and to work for the divinely willed perfection of creation. In order to accomplish this mission, baptized believers nfinister to one a~aother, building up the whole Body of Christ in truth and grace for service to the world for the glory~of tlte Father. Some ministries are purely charismatic, the fruit of the Spirit's quickening believers to particular services to fellow members of Christ's Body for their joint mission to the world. Some ministries are also institutional, that is, in addition to the call of the Spirit, they have a more or less per.manent place and a more or less defined [unction in the structure of the Chnrch as ordained by God in Christ or by the Christian community in the course of history; consequently, these ministries appear in the canon law of the Church. But whether institutional or not, all these ministries are in-cludetl in the Spirit-inspired serf-help which the members of Christ's Body give to one another for the vigorous life of His Body and for its continuing mission and ministry to the world. What is required of the members of Christ's Body if they are to fulfill their apostolic vocation? They need articulate faith, a keen appreciation of the meaning and value of creatures, and zeal coupled with skill for building a better world of truth, justice, love, and freedom for every man, woman, and child. By "articulate faith" is meant a faith with some under- standing of the assertions.of faith, .including recognition of the difficulties which these assertions present to human intelligence today, their historical conditioning, and their need for continual reinterpretation and restatement if they are going to remain vali'd'expression~ of'~tuthentic faith in the midst of constantly changing human con-sciousness of reality. More importantly, articulate faith is aware of itself as.an adventure into ineffable mystery and personal communion with the living God, for which faith's assertions are a means not an end: a gateway, not the end of the road. Articulate faith also includes the willingness, ability, and c6nfidence to talk about what one believes. Because faith is a great adventure toward the fulfillment of men's deepest longing, one is willing, even eager, to discuss matters of faith; and one does not shy away from such discussion for fear of being wrong, because one is aware that faith is response to a loving Person who is more interested in drawing men to per-sonal communion with Him than He is in theological niceties. Vatican II expects the members of the Church to have such articulate faith, in accord with their capacity for it. According to the Decree on the Apostolate of the Laity, "the apostolate of the Church and of all her members is designed primarily to manifest Christ's message by words and deeds and to communicate his grace to the world" (ibid., n. 6). Noteworth~ in this statement is that all mem-bers of the Church are to manifest Christ's message by words, as well as deeds, and to communicate His grace. The ministry of teaching and sanctifying is not restricted to the clergy's ministry of the word and the sacraments. The decree proceeds to note that one of the ways in which the laity exercise their apostolate of "making the Gospel known and men holy" (ibid.) is through the testi-mony of a good life. But it goes on to say that "an aposto-late of this kind does not consist only in the witness of one's way of life; a true apostle looks for opportunities to announce Christ by words addressed either to non-believ-ers with a view to leading them to faith, or to believers with a view to instructing and strengthening them, and motivating them toward a more fervent life" (ibid.). ¯ In other words, the laity, as well as the clergy and religious, are responsible for building up the Body of Christ in truth and love and [or implementing its teach-ing and sanctifying mission. To fulfill this responsibility, laity, as well as clergy and religious, need articulate faith. A second need which each member of Christ's Body has is for a keen appreciation of the meaning and value of creatures: The Lord wishes to spread his kingdom . In this kingdom, creation itself will be delivered out of its slavery to corruption 4- 4- 4- Schools VOLUME 30, 1971 4" 4" 4" C. Kiesling, O.P. REVIEW FOR RELIGIOUS 954 and into the freedom of the sons of God (cf. Rom. 8:21) . The faithful, therefore, must learn the deepest meaning and the value of all creation~ and how to relate it to the praise of God. They must assist one another to live holier lives even in their daily occupations. In this way the world is permeated by the spirit of Christ and more effectively achieves its purpose in justice, charity, and peace (Constitution on the Church, n. 36). In the light of revelation,, baptized believers must see and appreciate creatures in their original goodness and in their relationship to the Incarnation and the eschaton; They should perceive and treasure creatures as the poet does, with awe and reverence for the uniqueness and beauty of each. They should not view them simply with the detached, calculating eye of the technician. Yet tech-nology too is a creature of God, so that Christians should understand and evaluate rightly its place and products in the scheme of things. Especially must the Christian be aware and appreciative of man and the mysteries of his being: the human body, feeling and emotion, love and sex, work and play, community and celebration, art and science, the aspirations of the human spirit~and the long-ings of the human heart--all bathed in the light of God's gracious love. Thirdly, the members of Christ's Body need zeal cou-pled with skill for building a better world: By their competence in secular fields and by personal activity, elevated fr6m" within by the grace o[ Christ, let them labor vigorously so that by human labor, technical skill, and civic culture created goods may be perfected for the benefit of every last man. Let them work to see that created goods are more fittingly distributed among men and., in their own way lead to general progress in human and Christian liberty (ibid.). Baptized believers should also "by their combined efforts remedy any institutions and conditions of the world which are customarily inducements to sin, so that all such things may be conformed to the norms of justice and may favor the practice of virtue rather than hinder it" (ibid.). They need to "imbue culture and human activity with moral values" (ibid.). The question now arises: By what means are the mem-bers of Christ's Body going to develop articulate faith, appreciation of the meaning and value of creatures, arid zeal with skill for building a better world? Can weekly liturgies of the word (including homily) and the Eucha-rist accomplish this end? Even supposing the Scriptures are well read, the homilies well prepared and delivered, and the celebration well carried through, weekly liturgies alone hardly seem capable of generating the qualities which Christ's members ought to have to fulfill their apostolic vocation. CCD classes are not going to yield the needed qualities. They are limited in time. They p~vide little sustained interaction between mature Christians and growing ones over a wide spectrum of life. Their very organization fosters the idea of faith as a gegment of life, [,or Which one sets aside a piece of time each week. Finally, they are impeded in effectiveness by the forced and often chaotic conditions under wliich .they operate. Newman Centers too are very limited in what they can do to develop the necessary qualities in the members of Christ's Body beyond a small circle. Courses in "religiqus studies" are far from adequate means. They are by definition uncommitted, objective examination of religion and religions. They are highly intellectual, speculative, whatever existential and subjec-tive use an individual student may make of them. They are also limited in the amount of time given to them and, being a self-cOntained part of a curriculum, they convey the impression that religion also is a self-con-tained part of life, rather than~a dimension of all life. Adult education does not appear to be the solution. The competition for adults' time and attention is ex-tremely intense. Moreover, dae qualities required of a mature Christian should be well developed before he reaches the age at which l~e would enroll in adult educa-tion courses that are more than remedial. The answer is not Catholic newapapers, magazines, and books. People who love and profit from reading are relatively few in our activist culture, and are becoming even fewer in this post-linear age of happenings and tele-vision in the global village. The Church's recourse to happenings and television will not be much more fruitful than literature for achieving the necessary goal. Once people are gathered, happenifigs and television can be extremely effective instructors, but the problem is pre-cisely gathering the people. Unless people are already rather strongly motivated religiously, they are not going to prefer religious happenings and television programs to their secular coi~nterparts. As for parents as the source of the needed Christian maturity, parents are limited in what they Can do for their children. They cannot ,.lead their children to an articulate faith much beyond their own. They will find themselves limited especially when they come to helping their children develop that keen appreciation of the meaning and value of creation which Vatican iI urges for all members of Christ's .Body. Parents may be able to foster such apl~reciation for the simpler things of life, but they may be at a loss in matters of biology, the physical universe, history, poetry, drama, music. Parents' social consciousness and involvement may or may not be very highly developed, and will almost always be limited in 4- 4- 4- Schools VOLUME .'30, "1971 955 + 4. 4. C. Kiesling, O.P. REVIEW FOR RELIGIOUS 956 scope because of family responsibilities and finite human energies. Social services of the Church are not ordered, by defini-tion, to the development of mature Christians, but to relieving the pressing needs which men and women have in their personal and social lives, in order that their lives may meet basic standards of health, decency, dignity, and happiness. It is difficult to imagine any project of the Church which offers the opportunities that schools do for p.ro-viding the members of Christ's Body with the develop-ment of faith, .appreciation of creation, and apostolic zeal and know-how which they need and to which they have a right. Several points are to be noted about this affirma-tion. First, it does not mean that schools alone do the whole job. There is still need for good liturgies, adult educa-tion, and all the rest. Secondly, the schools referred to are not only elementary schools. High schools and colleges are more important. Thirdly, the assertion speaks of schools for providing the needed qualities of articulate faith, appreciation of creation, and apostolic zeal with skill. It does not speak simply of religion courses in schools operated by the Church, though such courses have their rightful place. It is not a matter of the Church going into the education business, so that it can, with ease, slip religion courses into the curriculum. It is, rather, a matter of providing a Christian milieu in which learning to live a full life can Occtlr. Finally, the argument is not based on the actual con-duct or achievements of the Church's schools in the past. Whatever judgment is rendered on the past, the situation has changed so much since Vatican II that the schools of the Church today constitute an entirely new set of oppor-tunities. In recent years new methods of teaching have evolved which make learning boi:h more exciting for students and more in contact with life in society. Lay teachers have become a familiar part of the faculties of the Church's schools. Priests' and religious' styles of life have changed, bringing them into closer contact with ordinary life and with the laity, particularly their students. The ghetto mentality has largely disappeared, so that Church schools are less prone to be instruments of defense and more liable to be openings to the world. The ecumenical spirit enables Protestant, Anglican, and Orthodox Christians, as well as Jews and men of other beliefs, to have some place in the education that goes on in the schools of the Church. Administrators, faculties, and students are more aware of the school's obligations to the civic community in which it exists, All these new [actors mean :that the value of the Church's schools today cannot be judged on the basis of their past conduct and achievements. The opportunities which the schools of the: Church offer do not consist only or even mainly in the possibili-ties for religion courses or religious pract~ices. They con-sist in the possibilities for the young to develop articulate faith, a keen appreciation of creatures, and zeal with com-petence for building a better world by close association in learning and doing with mature Christians who them-selves have such faith, appreciation, and zeal. There is a difference, I would maintain, between what a youth derives from a course in English literature taught with competence and enthusiasm by a Christian whose faith permeates his life, and what he derives from such a course taught by someone else. A course in English litera-ture well taught by a Christian tells a young person that Christianity embraces all of life, that it is willing and able to learn from human experience as well as from revela-tion, that it recognizes the Spirit of God working in the world and speaking to men through human events, per-sonal and social. Besides this non-verbal communication, there can be explicit comparisons between the views of life in English literature and the view of the gospel. These comparisons are opportunities to develop articu-late faith without indoctrination. But even without any explicit mention of Christian faith, this course in English literature is a Christian ministry. As Vaticap II affirmed, Christians should have a deep sense of the meaning and value of all creation. The Church, therefore, has a duty to provide for its members to learn about creation through the arts and sciences illumined by the gospel. It is a precious gift which a Christian teacher gives to a student in patiently helping him to appreciate-a poem, even though faith is not explicitly referred to. If this Christian teacher of English literature is also aware of the world's and ldcal community's problems; if he is involved outside the school in trying to build a better world, if he lets this be known to his students and even involves his students in his social concern outside the classroom, his students will be made aware of another dimension of the Christian vocation and will even gain some knowledge of what they can do concretely to build a better world. If the administrators and teachers in a school of the Church are articulate in their faith, if they treasure God's creatures, if they are socially concerned and involved, if they constitute the nucleus of a genuine, open Christian community into which they assimilate their students, that school offers unparalleled opportu.nities for developing in the members of Chris,t's Body the qualities nece~ssary for + ÷ + Schools VOLUME 30, ].971 957 + 4. + C. Kiesling, O,P. REVIEW FOR RELIGIOUS 958 their sharing the mission of the Church to mankind and the world. But, it may be objected, should not such a Christian teacher of English literature or physics or sociology or mathematics be in apublic school? Could he not perform a most valuable Christian ministry there Yes, he could; and such Christian teachers--lay, religious, cleric-- should be in public schools. They would be fulfilling the Church's apostolic mission to the world in a most excel-lent way. But could his pupils derive as much benefit from him in the public school as they could in a school of the Church---or of the Churches, as some would propose in this ecumenical age? In a public school, his pupils could only rarely, and then with the greatest circumspection, explicitly view the subject with the teacher in the light of the gospel. Never could they celebrate their Christian awareness of the subject in worship, liturgical or other, unless they met outside the school and school time. This condition raises the complex problem of finding a con-venient opportunity for such celebration; and it intro-duces a division into the public school community, which could Iead to all sorts of unpleasant complications: More-over, students in a public school would not experience their learning within a known Christian milieu and hence would not see it as part of Christian life and Chris-tian life as embracing it. But is this not the age of anonymous Christianity? Is it necessary for students to examine explicitly a subject in the light of the gospel, to celebrate it in worship, and to see it as part of Christian life and Christian life as em-bracing it? Recourse to the concept of anonymous Christianity is a way Christians have adopted to take the sting out of the widespread de-christianization and secularization that has occurred in modern times. But anonymous Christianity, though a good thing in comparison to being altogether outside the influence of God's grace,'is a humanly imper-fect thing. To be human is to have self-awareness. Man is not only conscious as animals are, but reflectively con-scious; he is aware of himself as animals are not. If man's self is actually graced by God, then his self-awareness should include that fact, otherwise he is not fully self-aware, not fulIy human. Hence it is important, not only for Christian education but for the human education of the Christian, that he see what he learns as part of Chris-tian life and Christian life as embracing it. When one reads carefi~lly the documents of Vatican II in regard to its ideal of what Christian laymen should be in the life and mission of the Church, one cannot help asking how they are ever going to achieve that ideal, and how clergy and religious are going to help them in fulfill- ment of their priestly and religious responsibilities to serve their fellow members in the building up of Christ's Body. What i~ called for is not comprehended under the labels of religious instruction or religious practices. Nor is it adequately described as handing on, preserving, or nourishing Christian faith, What is required is education in the fullest sense of the word, education of the whole man for the whole of life, bnt education with a'Christian quality to it. Of all the Church's projects, its schools offer the most opportunities for such education. With such education, Catholic laymen would exercise their role in the mission of the Church, not by contributing money to a Human Development Fund, of which the hierarchy is the banker, but by becoming involved in human development in the neighborhood, city, state, nation, and the world. This latter is the more authentic fulfillment of the Christian apostolate by which the members of Christ's Body partici-pate in its mission to the world. The schools of the Church will very likely be fewer in number in the future. But they remain unique opportun-ities for building up the Body of Christ for its mission. Abandonment of the struggle to maintain them and, still more important, to exploit their new possibilities under the conditions, which have arisen since Vatican II will grievously set back the emergence of the layman and the mission of the Church to the world. It will promote the tendency of the Church to be identified with the clergy and religious rather than the whole People of God, and to become a club for fellowship in subjective re_ligious experience rather than the leaven in the dough ~of his-tory. Religious' involvement in the schools of the Church remains both~an important and challenging ministry. Schools VOLUME $0, '].97~ 959 SISTER MARY JEANNE SALOIS, R.S.M. Opinions of the Laity on Changes in Religious Life Sister Jeanne is director of research services at the Sis-ters of Mercy Gen-eralate at 10000 Kentsdale Drive, Box 34446; Be-thesda, Maryland 20034. REVIEW FOR RELIGIOUS 960 Literature concerning recent developments in the re-ligious life provide little information on the effects of these developments on the laity. Since the prima.ry pur-pose of adaptation and renewal as stated in the docu-ments of Vatican II is to become more effective in promoting the kingdom of God on earth---"That this kind of life and its contemporary role may achieve greater good for the Church, this sacred Synod issues the following decrees" 1--it should be helpful to know how a section of this kingdom feels about the adaptation they are observing. Such knowledge should contribute sub-stantially to an honest evaluation of the changes being made. This article summarizes the thinking of lay people on adaptation in religious life in seven parishes distributed geographically from the New England coast to mid-western United States. A random sampling of 60 families from each of the parishes listed in Table 1 participated in this study. Treatment o[ the Data: The investigator sent an in-strument entitled "Opinionnaire to Obtain the Lay-man's Assessment of Religious Women in the Church Today" to 420 randomly selected persons. Of these, 220 responded, constituting 53.4 percent returns. Distribu-tion of respondents is shown in Table 2. Eighty-three men and 137 women responded to this opinionnaire. Of these only One was black, the others being white. Age of respondents varied as indicated be-low: 1Walter M. Abbott, S.J., ed., The Documents o[ Vatican II, "Decree on the Appropriate Renewal of the Religious Life," n. 1. Age of Re~#ondent Number in Category Percent 20-29 16 7 30-39 59 27 40-49 77 35 50-59 42 19 60-69 19 9 70- 7 3 Approximately half of the respondeqts attended a Catholic grade and high school and most of them at-tended college. Most of the respondents indicated they were professional or sell-employed with very few saying they were semi or unskilled workers. TABLE :1 Parishes Participating in Study to Obtain Opinions of Laity on Changes being' Made in Religious Congregations Parish* City and State Our Lady of the Assumption St. Joseph Immaculate Heart of Mary Sacred Heart Immaculate Conception St. James Gate of Heaven Atlanta, Georgia Denver, Colorado Detroit, Michigan Hattiesburg, Mississippi Memphis, Tennessee New Bedford, Massachusetts Dallas, Pennsylvania * Parishes were selected at random from the total list of parishes being served I~y a religious congregation of women. TABLE 2 Distribution of Laymen Who Responded to Opinionnaire New Denver, Bedford, Hatties- Dallas, Colorado burg, Atlanta, Detroit, Memphig, Penn~yl, chusettsMassa" Mississippi Georgia Michigan Tennessee vama No. % No. % No. % No. % No. % ~o. % No.! % 17 58.3 26 43.3 41 68.3 28 46.6 37 62.7 36 Findings from Opinionnaire: Items and comments of respondents will be summarized under the three headings on the instrumefit: (1) The individual's personal contacts with sisters, (2) the religious life, and (3) sisters' aposto-lates. Personal Contacts with Religious Sisters Almost three-fourths (72%) of the respondents at-tributed most of the credit for helping them become religious persons to their parents. Twenty-six percent credited the sisters for having provided them with in-spiration, and 9 per cent mentioned the clergy. When asked how much influence for good religious sisters had exerted on them, participants responded as 4. 4- 4. Laity Opinion VOLUME 30, 1971 961 Sister 1eanne REVIEW FOR RELIGIOUS 962 follows: A mount of Influence Number Percent Very great influence 58 '26 I~reat influenc'e 54 24 Some influence 63 29 A little influence 29 13 No influence 13 6 Thus, 50 percent of respondents indicated that re-ligious sisters had influenced them greatly for good and 29 percent said sisters had influenced them some. Most of the respondents consider sisters friendly and easy to meet (192 or 88%). Nineteen respondents (13%) consider the sisters unaware of people around them, and four persons said they were unfriendly. When asked if they would go to a sister for help if they had some personal religious problem, 106 (48%) said they would go rarely, 71 (32%) said they would never go, and 38 (17%) said they would usually go to a sister for help. Most respondents feel that sisters show respect for them as persons (all do--61%; some do--36%). Ninety percent of respondents indicated that the sisters they have known spend most of their time in the educa-tion of children. Ninety percent are pleased with this effort, 6 percent are indifferent, and 3 percent are un-happy. Most respondents believe that sisters manifest an in-terest in the welfare of people in general (78%), and 18 percent don't know. Two percent said that sisters do not manifest an interest in the welfare of others. When asked to express their thinking on the age distribution of the sisters serving them, 81 respondents (37%) said age is not important, 74 (34%) s.aid the age distribution was about right, 25 (11%) said they did not have enough younger sisters, and 5 (2%) said they did not have enough older sisters. The Religious Life Two-thirds of the respondents believe there is no difference between the religious life and mariage in so far as thei~ comparable merits are concerned. Seventeen percent believe the religious vocation more pleasing to God, and 25 respondents (11%) said they didn't know. One hundred and twenty-five respondents (57%) said they would respond favorably if they had a daughter who wanted to become a religious, 77 (35%) would be neutral, and 15 (7%)would respond unfavorably. Most of the respondents (93%) said the sisters they have known seem to be happy. Respondents were widely distributed in their thinking on the economic level of religious living. One hundred and nine (50%) of the respondents believe that the sisters are living on the same or better economic level than they are. Sixty-nine (31%) believe they are living more comfortably than~ the sisters, and 41 ~(19%) said they don't know. When asked whether the sisters seem more progressive since Vatican 11, 161 (73%) said they were either out-standing or quite progressive. About 10 percent found them too progressive and approximately the same per-centage considered them not progressive at all. Almost three-fourths (70%) of the respondents pre-ferred to see religious women living in a convent espe-cially designed for them. Fourteen percent prefer to see ~them in a middle-class residence near their employment. Only two persons said they prefer to see sisters in a home in a poor neighborhood, and three persons said in an apartment. Thirty-eight respondents (17%) said they didn't care. Fewer than half (44%) of the persons responding in-dicated that they like to see religious dressed in a habit which includes a veil. About one-third (32%) like to see religious in conservative attire which does not include a veil, and 7 percent like to see them in contemporary clothing with accessories identical to lay women. Four-teen percent don't care what religious wear. Two-thirds of the respondents like to see sisters par-ticipating in all parish activities. Twenty-four percent-wish religious to participate in all parish activities ex-cept those which are purely social, such ,as dances. Seventeen respondent,s (8%) prefer that sisters attend only those activities related to the school, such as home-school meetings. Apostolic Services When asked how they would react if the sisters would decide to withdraw entirely from the school in order to do other works in the parish, 72 percent said they would respond unfavorably. Eighteen percent said they would be neutral, and 9 percent said they would respond fa-vorably to such a decision. Respondents .were asked if they thought the sisters should be 'more active in working with the poor. Re-sponses were evenly distributed with 68 (31%)in the affirmative, 70 (32%) in the negative, and 72 (33%)with no opinion on thismatter. Responses to items which attempted to find out which apostolaies seemed most necessary to the laity left no room for doubt. They strongly endorse the Catholic school concept and wish sisters would continue in this endeavor. In response to an item concerning the services they 4- 4- 4" 4" 4. Sister Jeanne REVIEW FOR RELIGIOUS 964 would prefer sisters provided for them if they were .in need of such services, 68 percent said they wished them to teach children. Other services given some priority by respondents were to administer to the sick in institutions (12%), administer to the sick in homes (5%), and teach adults (4%). Only one percent wish sisters to teach poor children only. Respondents were asked which apostolic works, if any, sisters should discontinue in which they are presently engaged. Each respondent could list three works. Results follow. Campus Ministry on Secular Campus 32 Diocesan services 92 Social work 19 College 16 High School I 1 Elementary school 10 Hospital 9 Religious Education 5 Respondents were asked to list in order of priority the works which they believed sisters should be engaged in at the present time and in the future. The following priorities were established by.averaging the ranks of the 220 respondents. 1. Teaching religion in Catholic school 2. Administrator in Catholic school 3. Teaching secular subjects in Catholic school 4. Teaching in Religious Education Program 5. Administrator of Religious Education Program in parish 6. Serving in Parish Ministry working with families 7. Staff position in health institution 8. Administrator in health institution 9. Social worker in inner city 10. Rehabilitation of drug addicts 11. Serving in Campus Minstry on secular campus 12. Administrator or staff position in public institution Comments of Laity on Adaptation and Rerlewal of Sisters In their comments on the adaptation they are observ-ing in religious communities, participants expressed di-verse opinions, presenting a kaleidoscopic view of re-ligious congregations. Many respondents praised the sisters for some of the changes they are making and for their continued dedication. Some, accustomed as they are to uniformity within religious communities, are using similarity of dress and dutifulness to t~aditional occupations as the criteria for evaluating renewal in religious life. Some are using normal standards of ac-ceptable behavior and are surprised and scandalized at the extremes to which some sisters are going in their new freedom. To the laity, these sisters seem immature and insincere, wanting the best of two worlds. Thus, much of the renewal effort is suspect to some of the laity, both that being made by large groups of sisters attempting to renew sincerely in keeping with the changing needs of the world and by the small group of extremist whose actions the layman is questioning. The comments below are typical of those made by many respondents. I don't think the'sisters are'adapting to the needs of the Church. Some sisters are radical; some are conservative: Some are in habits; some are not. Some are worldly; some are not. They seem to be divided among themselves. Some seem to act as immature young women wanting the best of both worlds. They ~vant the respect due to religious and the fun and entertainment of single women. They are mainly interested in satisfying their own desires. Opinions concerning the habit differed with many respondents reluctantly accepting the demise of" the traditional habit in favor of some lesser form of identifica-tion. Many emphasized the, importance of a religious identity and regret the loss of respect which the habit has always commanded. On careful analysis, responses seem to set forth the .primacy of "habit" over "person" in the thinking of some lay persons. I feel the sisters should have uniform attire~ even if it is a simple colored dresg with a large cross. They are married to God and should be proud of their vocation. They would also command more respect and be more useful, as people would be aware of their vocations and ask for help seeing the gar-ment, not the per.son. It was surprising to see how the laity identify religious with the traditioffal professions to the extent of con-sidering new occupations completely incompatible with the vocation itself. Sisters should either be in the religio~as vocation, or if they want to do soc.ial work they should not do it under the guise of a religious. Religious have pushed into social care areas where .they are not qualified. They have given scandal, betrayed their com-munity life and their origina! vocation. Sisters should work where they can influence and strengthen the faith and morals of young Catholics. Let others care for their social and physical needs. The laity continues to look for the dedicated, hard-working sister wh6 spends her time going from her work to her prayers in the convent where her physical, and social needs are met. They are surprised when they see sisters becoming more like other women in their use of leisure and in the external manifestation of their fem-ininity. They feel that the purpose o[ religious women was + + + Laity Opinion VOLUME 30, 1971 965 ÷ ÷ Sister Jeanne REVIEW FOR RELIGIOUS 966 and is to stay in the classroom and teach their children, and that to betray this purpose is to betray their calling as religious. Sisters should do what they have done for many years--see to the education of our future citizens. Most of God's work is just that--hard work--and this is probably the main thing I have always admired about the nuns I have known. They were committed and worked hard with little thanks or praise, and I'm sure they were often discour-aged and unsure of their accomplishments. Some of the laity are interpreting the trend to leave the traditional apostolates as a sign of individualism which prompts one to wish to "do her own thing." I find it disturbing that some sisters, when given the op-portunity to work in the world today, become concerned with their own needs or interests under the guise of making money for their order. Since Vatican II, I feel that many nuns are confused and at odds with their own previous commitment. Teaching sisters now seem to feel social work is their bag, nursing nuns feel that teaching would be more appropriate, etc. Confusion stems, I believe, from a lack of the whole spirit we used to know as dedication to God's work. It is being replaced today in all of society by a personal need to do your own thing. A change very pleasing to the laity where it has taken place is the updating observed in methods of teaching and curriculum. They praise the sisters who are more understanding of child nature than they used to be and who are ready to meet the explosion of knowledge which today's children are experiencing. They complain if these changes are not taking place. Unfortunately, older nuns are not adjusting methods, cur-riculum, and themselves personally to many facts, namely,. that today's children know much more in space and science study than is in textbooks and they often know more than the the teacher herself. The teacher's attitude often becomes bel-ligerent rather than pleased that children are this way. Some personal evaluation seems necessary. The older nuns seem to adapt to the needs of the Church. Younger nuns could learn from them. It is no longer a voca-tion to them, it is ajob. Some middle class lay people feel that religious are now prejudiced against them. They argue .that their needs for the services of religious are as great as those of any other segment of society. We who are just ordinary people--working, living, and .dying--also need the help and example of the religious sister in today's world. We feel that what's the use when our lives and struggles are treated with disdain. We don't want to be applauded, but we feel that by living an honest and decent life and ever-striving to do the works of Christ, that we ought to be considered at least as human as the girls who have il-legitimate babies who you would think had won the grand prize for all the attention they are given. In short, love us too, even though we have never broken a law. I believe ~many sisters aye giving up "their 6wn" to work in the inner cities and for social causes. A poor soul is not .Primarily found in a poor person--the person may be rich, middle 'class or ~poor. We should try to help all equally so all can be saved. Another change taking ~place among religious women which is greatly appreciated by the laity is the attitude of considering all persons as equals. They are happy that sisters have come down from their pedestal and no longer seem to expect deference from the laity. The sisters, I believe, are progressing to include all persons with whom they come in contact as equals. I used to. feel the sisters considered themselves.very special and should be looked up to by all. I think they are more aware of people's needs than previ-ously. They are more sensitive and less untouchable. Some have lost self-respect by playing down to the laity too much. Much of the advice given to religious by respondents argued for the maintenance, of balance in the matter of adaptation and warned against extremes. Don't go overboard! Keep attire and sense of misSio~a in line with Catholic beliefs. If the sisters participate in secular affairs, I feel they should remember they are sisters and uphold the traditions and reputation Catholic sisters have always had. General impressions reported by respondents include the following: I get the feeling they are not of the Church but of the world. Instead of giving up things of the world they are acquiring things of the world. Nuns, in general, appear ito be departing from a way of life which identified them as religious, and as a result of ,this proc-ess, society appears tO have less respect for religious orders. I think sisters are doing a fine job. This is a time for all people to join t.ogether and to remember that God is the father of all, not just the white man, Many so-called Christians have forgotten this. General Statements on Opinions of Laity From the many ideas expressed by the laity responding to this opinionnaire, a few generalizations can be stated: There is little evidence at this time that the changing needs of society, for example, the rapid increase of Catholic students on the secular university campus, have penetrated the thinking of: lay people to any great extent. Criteria used by most of the laity for judging sisters remain the. same today as before Vatican II in spite of the shift toward greater personal freedom and more leisure in society as a whole~ However, a few of .the respondents 4- 4- + Laity Opinion VOLUME 30~ 1971 967 Sister Jeanne REVIEW FOR RELIGIOUS 968 do seem to comprehend rather accurately the reasons for change in religious congregations. A few religious who, in the eyes of the laity, have seemingly lost sight of the meaning of religious vocation are impeding acceptance of the necessary changes large numbers Of religious women are making. There are certain paradoxes in the thinking of the laity concerning religious sisters at present. The laity are happy that sisters consider them as equals, no longer expecting deference; yet they lament the elimination of' external signs, such as the habit, which commands special respect. The laity give major credit to their parents for being the grea.test influence for holiness in their lives; yet they insist that the sisters are essential to growth of holiness in their children. The laity are happy that sisters have stepped down from their pedestal to walk among them; yet they wish to continue admiring them at a distance when they need help in the solution of their personal religious problems. In summary, respect for religious among the laity in this sample has decreased as a result of the changes made by religious congregations since Vatican II. This loss of respect can be attributed to a failure on the part of laymen to understand the reasons basic to change and their failure to recognize new needs in society for the services of religious women. It is also the result of unwise individual choices which some religious are making in their personal lives. The laity need the assistance of sisters if they are to understand the motives for their new behaviors. Perhaps the greatest need of the laity, as well as of religious, is familiarity with social doctrines of the Church and the emphasis given to these doctrines in the documents of Vatican II. Reflections of the Writer Religious congregations are attempting to implement the new emphases of Vatican II. The laity, familiar with the old structure, fail to understand the inevitable re-suits "of implementing such documents as "Declaration on Religious Freedom" from Vatican II, and Mater et Magistra, the encyclical letter of Pope John XXIII. An example of this implementation is the attention religious congregations are now giving to the dignity of the human person. In Mater et Magistra (215) we read, Whatever the progress in technology and economic life, there can be neither justice nor peace in .the world, so long as men fail to realize how great is their dignity; for they have been created by God and are His children. According to the social teachings of the Church, society is at~the, service of the human person to respect his dignity and allow him to attain his end and his full human development: "Society is made for man and not man for society.''2 Plus XII s~aid: "Man is a personal being, endowed.with intelligent& and free will;" ~a~ being who has the final choice of what he will or will not do," s Enhnciating this principle of the dignity of the human person, the ""Document on Religious Freedom" from Vatican II states: God calls men to serve Him in spirit and in truth. Hence they are bound ih consdence but they standunder n0: Com-pulsion. God has rbgard for :the dignity of the human person who.m He himseff created; man is to be guided by his own judgment and he is to enjoy freedom. . In contemplating these teachings concerning the basic freedoms o[ man and applying them to herself, a religious may conclude that she does not relinguish her innate freedom to govern herself when she enters a religious congregation. She believes that she is responsible to God alone for her actions and that she is responsible for keeping these actions in line with the life she has com-mitted herself to live. If this reasoning is correct, obe-dience in religious life needs to find its meaning apart from the responsibility of one person to govern the life of another. If religious growth takes place through responsible choices made freely, each person must be free to choose in matters pertaining to her personal life. In their efforts to implement tile new emphasis on the dignity of the person and_ her freedom of choice, religious congregations are eliminating rules which formerly gov-erned the personal life o[ each member. Remove pro-hibitive rules designed to channel actions according to a certain pattern which all members are exp6cted to observe and they are going to act as do all other members of the human race uniquely and differently. Some per-sons are going to make unwise choices as is true of persons in other walks of life. Freed from rules which prevent extremes, religious women are going to demon-strate their good taste or lack of it in their external appearance, their behavior, their use of leisure, and in their professional activities. But the end of this process is good the coming to being of a religious who is interiorly motivated to govern herself in a manner suited to her commitment as a woman who has dedicated her life to Christ and the service of His kingdom on earth. The new religious will come to r~alize as never before th~it she has been made = Plus XI,'Divini Redemptoris. a Pius xIi, "Allocution to the Sixth International Congress on Criminal Law," October 15, 1954, + Laity Opinion VOLUME 30, 1971 969 Sister Jeanne REVIEW FOR RELIGIOUS 970 in God's likeness to imitate His perfection, His goodness, and His love and mercy for men. She will realize that sh~ must 'lift herself up to God freely if she wishes to l~articipate with Christ in life eternal, in the divine life of God and of the Blessed Trinity. This is the destiny of all men, the religious included, and all must freely choose to follow this path, for with Christ there is no coercion, no forcing, no want of freedom. Surely every adult' outside of a religious community reaches the period in her life when she is no longer told what to wear and where to go. The fully committed re-ligious woman who has dedicated her life to Christ and to the service of his kingdom on earth should "be equally capable of" exercising her God-given freedom and of assuming the responsibility for her actions and her destiny. Lay people need to understand that they will be observing some evidence of poor taste as religious use the freedom they now have. Poor judgment is not a monopoly of the laity; it can also be expected of religious. Unless the formation period in the life of young re-ligious provides an understanding of how the gospel message is translated into daily living as a religious, sisters cannot be expected to make decisions in keeping with their form of life. In their uncertainty regarding the preparation which best prepares individual religious to exercise greater freedom, some congregations are ab-dicating their responsibility fbr the formation of young religious. To supose that new members who have not developed an understanding of the religious life will make personal decisions in keeping with it is a rash assumption. If religious congregations are to make wise choices. during this period of renewal and adaptation, they must take time to study the past and realize Gully the import of char~ge on the present and future. Unless changes are in line with the purposes for which the congregation was formed in the first place, the congregation will give way to a new entity or disintegrate completely. In-dividual members of apostolic religious congregations in the past realized their service of Christ in His Church through service of the congregation whose corporate end was this divine service. Today, many religious see them-selves as groups of dedicated individual members with a diversity of tasks. If religious retain the apostolic dimension of their original commitment, the transfer from corporate to individual commitment may be a change of means rather than ends. However, if the apostolic dimension of one's service is lost, the primary purpose of apostolic religious congregations in the Church no longer exists. When no unifying purpose is present, organizational structure becomes meaningless. It has been the purpose of this study to provide some insight on the reaction of the laity to observed change in religious congregations in the year 1971, Hopefully, the opinions expressed in this report will be.helpful to religious congregations as they chart their c0urse'for the future. + 4- 4- Laity Opinion VOLUME ~0, 1971 97! SISTER MARY JOHN MANANZAN, O.S.B. Must I Love You for God's Sake? ÷ ÷ .I. Sister John is a graduate student of the Gregorian Uni-versity and resides at Via dei Bevilac-qua, 60; Rome, Italy (00165). REVIEW FOR RELIGIOUS 972 Read the title without a pause and with the correct intonation lest you miss the point of this article, it is not an exasperated exclamation like "Must I put up with you, for heaven's sake?" The article concerns itself rather with the question whether we should love others "for the sake of God." This phrase has been so misinterpreted in the past and still also in the present that the word "char-ity" has fallen into disrepute or at least it has acqui~?ed a cold, antiseptic atmosphere. People say "I don't want your charity"--"I will not be an object of charity." In the stu-dent house where I lived while I was studying in Ger-many, the girls were very wary of "nuns" doing things for charity. Once an Idonesian girl living in another house got sick. A German friend of mine announced her inten-tion of driving over. I spontanously exclaimed: "I'11 go with you." She looked at me and cautiously asked: "Are you doing it for charity?" The reason for such wariness is that doing things for charity or for God's sake is taken to mean something like: "Actually you are a nasty fellow and for yourself I wouldn't lift a finger. But I am doing this because I see Christ in you." I don't tbink for a moment that Christ is at all pleased with such pious prattle. And the person concerned rightly feels himself an "object" of charity--a means to some altruistic, humanitarian or still worse to a spiritual ideal. C. S. Lewis in his delightful book Four Loves gives a punchy example of an "unselfish . self-sac-rificing" mother who "just lived for her family." In a remarkable self-deception she literally worked herself to the bone for them but actually what she managed to do was to suffocate each member of her family, because she did not actually see them as persons and did not really consider their real needs; She looked through them to work for her image of being an ideal mother. She used them as means to fulfill her need to be needed. In a similar manner "loving others for God's sake" has some-how taken on the meaning of disregarding the individual person. On this point one can learn a great deal from Kant who has been accused of having never written a word on love. But he actually offers a very solid foundation for what we call "love of neighbor" in his famous (infa-mous?) categorical imperative. This principle has also suffered a very one-sided treatment. The frequently cited formulation is the one that approximates the Golden Rule wearing a grim duty-conscious facial expression. A less quoted formulation however reads: "Act in such a way as to treat humanity whether in yourself or in others never only as a means but always also as an end/' Kant's moral theory is based on the absolute valuation of the person. A person is for him an autonomous subject. He alone possesses the dignity to be happy (Wtirdigkeit, glficklich zu sein). For this reason, a person may never be regarded only as a means but should be willed as a good-in- himself. This absolute valuation of a person manifests itself first and foremost in doing one's duty towards him. Again on this point Kant is frequently misinterpreted. No less than the great German poet Schiller is guilty of this shallow interpretation of Kant when he writes: Gladly I serve my friends but alas I do it with pleasure Hence I am plagued with doubt that I am not a virtuous person. This is answered by a similarly poor interpretation of Kant and a worse poetry: Sure your only recourse is to despise them entirely And then with aversion do what your duty enjoins you. Kant did not mean at all that interest and affection would detract from the moral worth of an action. His term "duty" is a limiting term. It simply isolates the factor which accounts in the last analysis for the moral worth of an action. But once this is ascertained, one can embellish one's action with all the affection one is capa-ble of. I think it is important that Kant makes this em-phasis. There are really people who lavish their affection here and there and everywhere but neglect their elemen-tary duty towards these same persons. It is this forgetfhl-ness of Kant which is responsible for the benevolent tyr-anny in many lands suffering from social injustice, where the rich landlords or employers give to their exploited laborers "in charity" what they owe them in justice. The elementary duty of "love of neighbor" is thus to take the person as an'end in himself and never a means for anyone or anything. Truly? Not even for God? No, not even. God needs no means. He is His own End. He ÷ ÷ Love VOLUME 30, 1971 973 doesn't rely on any means to reach it. What then does loving others "for God's sake" mean? If it means anything at all, it means: one must take the other in his totality. Man is essentially a relation. A per-son is most a person in his relation to God. One can give him absolute value because he has already been radically affirmed by an absolute Person, He is worthy to be loved because he has already been radically loved. One can therefore love him for his own sake if one regards him in the totality of his being rooted in God. But the totality of man also means his being an individual distinct person. Therefore "love of neighbor" means taking this concrete person beside me for what he is and loving him with all his quirks. I think it is one of the characters of Peanuts who said: "I love humanity; It is people that I cannot stand." To love another is to see him. It is to love him "interestedly." "Disinterested love" is no love. It is too pretentious. It is being in love with one's perfectly selfless way of loving. This is the reason why I think foreign aid to developing countries miserably fails in arousing the gratitude of the people it helps. It is literally disinter-ested. There is no interest in the people as persons. No wonder they feel insulted and are resentful. They do not feel loved--they feel that they are objects of love. The same is true in individual relationships. One wants to be loved,' becau'se one is lovable. A boy who tells a girl "I love you, because of your pug nose" is not necessarily being superficial. Maybe he grasps the point of love better than if he were to enumerate the noblest .motives in the world. I think the art of loving is to find something very concrete .in someone (be it a pug nose, a crooked smile, a naughty left eyebrow--whatever it is. There is one in every person aching to be discovered!), to discover this recapitulation of his personality and in this burning focal point of his being, to love him intensely. 4- + Sister John REVIEW FOR RELIGIOUS 974 TENNANT C. WRIGHT, s.J. A Note on Poverty This is simply a report on a mode of poverty lived at one Jesuit house in Mexico City. The report is drawn from a conversation with several members of the commu-nity there, including the Father Minister who was influ-ential in setting up the program and helps with its ad-ministration. The program seems particularly enlightening at this moment when there is such discussion of poverty and how it fits with a religious' psychological need to feel economically productive and responsible. The Mexican community is made up of Jesuits who receive a salary at one of the Universities (non-Jesuit) in Mexico City. The salary i.s paid by the University directly to the individual Jesuit~ It is turned over by the Jesuit to the community. The community treasury, derived from the salaries, is then divided into three parts: First, there is a common fund for the community, out of which comes such general expenseg as house upkeep, and the room and board of the Jesuits living there. Second, there is a monthly personal amount returned to each Jesuit, an equal amount to each, no matter what his salary from the University. Out of the monthly "allowance" the Jesuit is expected to take care of his or-dinary personal items, such as clothes, recreation, the or-dinary personal necessities of his study and work, his ordinary travel. Third, there is a fund retained by the community for emergencies. As I understand it, the emergencies are gen-erally of two types, each handled differently. There is that personal emergency which arises from the unexpected, for example, an accident, a particularly large medical bill. Such personal emergency expenses are met by the community in a direct payment (not a loan) out of this emergency fund. But this third fund also covers those personal but more expensive items needed by some but not all. For instance, if one of the Jesuits in the course of his work needs some particularly expensive equipment or books or a car, then the community lends to this Jesuit the money to buy the T. C. Wright is a faculty member of the University of Santa Clara; Santa Clara, California 95053. VOLUME .30, 1971 975 special item. The loan is made without interest, but it is gradually paid back to the community out of the individo ual's monthly allowance. This question of loans to the individual for special expenses is crucial. The Mexican community is clear that this is not a case of dominion, of true ownership. Rather it is a more sophisticated way of responsible use. The special item is only purchased after consultation with the superior. The ultimate decision remains with the supe-rior. Although the item is used with the responsible dis-cretion of the individual, when and if his need for it is no longer present it is sold and the money returned to the community fund. Although this three-fold scheme of community use of [unds seems simple and clear in presentation, Father Minister and other members of the Mexican Jesuit com-munity emphasized that the implementation of this mode of poverty has more difficulties and is more complex than its simple outline indicates. 4- 4- 4- T. C. Wright REVIEW FOR RELIGIOUS 976 W. L. L~CROIX,.S.J. The New Property" and the of PovertY In the past ten years there has taken place a consider-able change in the attitudes of many vowed to the reli-gious life with respect to their "having" material goods. At times, this change in attitude has been reflected by attempts to patch the tearsin earlier lived interpretations of the vow of poverty by talk of a "vow of common life," or something of the sort. By these patchwork efforts, peo-ple have tried to bring within a reflective understanding of the vow such new lived interpretations of poverty that permit individuals to have exclusive control over many more material items (from transistor radios to individual vacations) than were ever previously found acceptable. In this brief essay, I would like to suggest that these efforts are of secondary consequence. I submit that there is a much more pressing problem for the practice of vowed poverty in contemporary America. This more pressing problem emerges from the recent, qualitative leap taken in the lived interpreta)ion of property. If the vow of poverty at all concerns some deliberate taking up of a life style that is designated by its extraordi-nary attitude toward property (this does seem to be the "matter" of the vow), then it is of major importance to talk about that which a political economist might call today the "new property." This concept is both simple and subtle, so let me briefly try to present what lines of thought are involved, and then appraige the implications of "new property" for what I will call the positive "thrust" of the vow of poverty. The "'New Property" Property may be described as a socially acknowledged relation that a person has to what is considered, in the broadest sense, an item of value. Now what is considered of value (except for subsistence in food, clothing, shelter) is to a great extent determined by the concrete attitudes W. L. LaCroix, S.J., is a faculty member of Rock-burst College; 5225 Troost Avenue; Kansas City, Mis-souri 64110. VOLUME 3~0, 1971 ÷ ÷ ÷ W. L. LaCroix REVIEW FOR RELIGIOUS 978 within a cultural milieu. And what are the manifold ways in which, ordinarily understood, one may acquire rela-tion to items of value are familiar to us all. And so we have our ordinary image of what we talk about when we use the term "property." But this imagining is so easy only because so few have done serious reflection on some significant socio-economic developments of the last fifty years. Many people today. continue to be undisturbedly at ease with talk about property exclusively under the rubric of the individual's possession, use, and control of "permanent" and fixed (real property) or of manipulable or consumable items of value (personal property). In fact, however, with the growth of a corporate society in America, some are able to argue convincingly that this familiar rubric of prop-erty has become at least partially obsolete, and that the part where it is obsolete is the more important part. One major indication of the need for a new rubric is that, in, our society heavily toned by business relation-ships, political economists and businessmen now are will-ing to say that, for most of the large business corporations, there are capital investors, there are top and middle man-agers, there are employees, customers, unions, the govern-ment, and the society at large that are related to the corporate organization, but there are no owners. That is, there are none except the impersonal (albeit legal) entity of the corporation itself. Certainly one reason here is that the business corporation is no longer an item compassa-ble by any individual who might attempt personally to organize and control it, that is, to "possess" it, to have it as private property. This growth to bigr~ess is one that has moved not only vertically in the size of an individual corporation, but hlso horizontally to interlace organizations of diverse kinds into one corporate society. Qualitative alterations have taken place in how and by whom social relation-ships are determined within the individual private orga-nization, in the relations between the individual private organizat~ions, and between these organizations, govern-mental bodies, and the social community itself. Corpora-tional businesses today act less with attention to the com-petitive market and more with attention to a mutual self-interest of the leading businesses, or even at times with a mixture of this and "public interest." Government does not hesitate to curtail initiative from a "private" firm for the sake of "public interest," or, conversely, to subsi-dize private sector business for the "public interest," or to contract out to business and to educational institutions some "public interest" undertaking. Educational institu-tions concern themselves with good relations with the business community and government for financial assist- ance; and with accreditation agencies for professional prestige. In a society composed of such interlaced organ~izations, the sharp distinctions between the public and the private sectors of activities have faded (I will suggest a test for this further on), and all members of society have been drawn into new and manifold relations to all the organi-zations. This means that those items of value, or wealth, which the individual can have as "private property" have become secondary in social significance. From Locke to World War I in Anglo-American thought these items have been the key to civic freedom, self-identity, and individual capacity to initiate effects in society. Now the socio-economic fi'eedom, identity, and initiative--in one word, the social power---of the private property holder are minimal. As a society we have entered an era where the initiative comes from organizations which act for or-ganizational or for "public" interest. And the "public" interest today means .less and less each individual's inter-ests and more and more only organized interests~ As part of a growing consensus on the relations of persons to new items of value today, A. A. Berle, Jr., has spoken of the divorce from older property of the socio-ec-onomic power to make determinations in society. He terms this the distinction between "individual possessory holdings" and "power systems." What is at stake here :is not merely the separation of ownership from socio-eco-nomic control, but the "increasing elimination of pro-prietary ownership itself and its replacement by, substan-tially, a power system." Charles A. Reich has spoken of the new form of wealth which one obtains in a corporational social structure through the relationships one has to various organiza-tions. These relationships gain for one a place in the interlaced socio-economic system of organizations. The new marriage of wealth and power is a union within the blood line of the power structure itself, for the wealth is itself new power. One has this new wealth of socio-eco-nomic place, or power status, in so far as one has actively functional relations to the power systems. As active within the power systems, one individually has the socio-economic power without the need of property in the tra-ditional sense of individual possessory holdings, One only needs to obtain a place, a status in the power systems. To clarify how this change brings in new dimensions in the question of poverty, let me develop briefly how one acquires this power, what the power is, why it is special today, and whether it is legitimate. ~ (How acquired) One enters a place of power not by ownership, but by the possession of whatever credentials the people presently with an active function in an organi- 4- "New Property" VOLUME 30, 1971 979 ÷ ÷ ÷ W. L. LaCroix REVIEW FOR RELIGIOUS 980 zation designate as required. They in turn designate what matters are required in response to the organization's demand in view of~ its present strength and future fate in the interlaced system. These admission credentials are supposed to, and often do, signify the possession of some expertise, some "know how" in terms of the functions and goals of the organization. One's relations to active power status in an organiza-tion is always conditional. It is forever a trial marriage and lasts only as long as the person's power decisions make things function well for the organizational system. In turn, one is subject to those interchanges of power which constitute the organization to which he belongs directly, and to those interchanges of power by which his organization is interlaced within the American corporate system. One is tied to his organization's fate, which itself is precarious, by one's personal credentials, which are constantly under test. For brevity~s sake, let us call one's conditional relations to this new wealth of power status the "new property" (even though I have modified Reich's use of the phrase). Some kind of status in a community or in a private orga-nization, of course, is nothing new. But the status now at point is no longer simply a social by-product of possessory holdings, ancestry; or profession. The new status is a place of socio-economic power within active organiza-tional power. (What is power) As Berle has noted, we are still philo-sophically immature in reflections on power. For our pur-poses here, let us be satisfied with a simple concept: power allows the wielder to initiate decisions on the transmission, use, and determinations of socio-economic assets for the lives of persons. One who holds power has a "scope of significant choice" (Carl Kaysen) open to his decisions within a corporational social structure that widely and significantly affect the determinations of how one himself and others experience and express human values. Today we have large social and economic organi-zations which depend upon and which generate power to their members. These organizations are managed by non-owners whose decisions and instructions, by the mecha-nism of the organization, are made causative at distant points of application, both inside and outside the indi-vidual organization. Normally one distinguishes "power to do things" and "power over persons," but this distinction often is only in the relative immediacy of the results of power's exercise. And the exercise of "power over" brings a reduction for those affected in the range of personal alternatives in socio-economic activities, and an increase in dependence on the power's exercise. (Why special) As society's organizations become more complex, they become more interlaced and thereby more counterbalanced in their scope of initiative action. This primordial counterbalance, however, is less in terms o~ conflict and more in terms of agreement. As a result, as organizations grow to need each other, they become less counterbalanced in the consequent effects o~ their actions in the public arena. This is an important point. It any-one subject to a function of organizational power is still ultimately free to disassociate himself from .the power, with some but with no drastic repercussions in his total li~e style, then the "power over" that person may be said to be private. Sucb a freedom of the one subjected to private "power over" presupposes other, significantly dis-tinct sources of "power to do" things which produce real options for the one subject to the power system at hand. But if the disassociation, if possible at all, from one power would at best only bring about the substitution o[ tbe one by another qualitatively the same source of 'power over," then the "power over" may be said to be public. From this test of the distinction of the public and tbe private sector o[ society, one sees that the real c~runch of the "new property" power is that, more and more, its consequent effects can no longer be balanced out by deci-sions made by others with power. It is so far forth public. Power status is thus one's place in the organizationally active determination of the quality of people's lives. As holders of "new property," individuals exercise the resultant social power to determine some relations that others will have to the organization or to its products, and thereby to the corporateI society. With an ethical vocabulary based on the old p, roperty rubrics, many sta-tus power people still speak ofI these determinations they bring about in tbe lives of ot[~ers only in terms of privi-leges or options, and not in terms of rights and basic human values. They thereby presume that to deny a rela-tion to the orgamzat~on or to deny a cr~uc~sm of its products is merely to deny a lprivilege or to deny tbe immediate value of certain options. There is no wonder that umvers~t~es, for example, st~ll ~ns~st that students are there not by right but by privilege. When orgamzauons were private, such talk was movie acceptable ethically. But today, when org~inizations both decide upon and, in their interlaced stance, supply thos~ credentials which deter-mine a person in the roles he b~ts in tbe corporate society, the subject's relation to them i~ now public and nearly or completely in the area~of rigltts. We are less and less a society o~ persons who receive entrance into "private" organizations by privilege or lwho use the products of organizations by option. Simp,ly stated, the "new prop-÷ ÷ ÷ "New Property" VOLUME 30, 1973. 981 ÷ ÷ ÷ W. L. LaCroix REVIEW FOR RELIGIOUS 982 erty" gives not only "power to do," but, more signifi-cantly for human and Christian values, direct "power over" persons. " (How legitimate) Such "power over" persons requires justification. One must question such power that can "make things happen" in respect to basic values in a society and ask if it is legitimate. The question is raised today for non-owned economic organizations and is espe-cially vital for all organizations which by the interlacing of society have had their power effects take on the "pub-lic" quality noted above. Power is a fact, but the persons concerned can ask for the rights to its possession and to its use. By "legitimate" I signify that there are good answers in terms of human values to the questions "How come such and such has power" and "For what purpose does such and such have power." Such questions ask for standards by which to judge the possession and use of power which are extra-neous to the power itself. In a society of fre6 persons, power can legitimately be obtained and legitimately be used only under the aegis of some expression of "public consensus." Berle has sug-gested two phases in any legitimization. (1) People get control, within an organization's power mechanism by some inner organizational ritual established by the orga-nization and accepted at least passively by the public consensus. (2) Such people use socio-economic power le-gitimately if the organizati6n has a [unction to perform within the values of the full society which is acknowl-edged by consensus, and if their use of the power is appropriate to that function. (Of course, few such func-tions are well-defined, but public consensus has positive though vague ideals here of what is acceptable.) Let us stipulate that, ambiguous as it is, power over persons can be legitimate. And let us for convenience designate anybne with legitimate power over persons in our corporate society as one who has "authority," but let us call such authority in the socio-economic structure "authority (P)." By this authority (P) ~ person rightfully can affect others in societal relationships by making things happen [or them, and thus can determine them in respect to some of the values in their lives. Given that individuals are persons, non-counterbal-anced power to affect their lives will be legitimate ulti-mately only if it positively contributes to their develop-ment as individual and as social persons. In our corporately interlaced society, this legitimacy will imply that those who have power will be accountable to all per-sons whose lives the exercise of the power affects. In summary, then, the argument is that today "new property" is identified with the exercise of "power over" in the socio-economic field, d one's "power over" activ-ities, one's authority (P),g ~"ves one's social identity and one's social initiative.°Keep in]mind that, in a true sense, one need not "own" anything [in order to have this "new property." " [ I do not wish to argue here that the concept of "new property" is accurate. This h~s been done forcefully by the political economists. All I need is this brief and un-doubtedly inadequate overview in order to ask for Some reflection on the relation of ~his advent of "new prop-erty" to the vow of poverty in ~eligious life. / The Vow ol Poverty In every activity within the[ corporate society, ,persons make and express their selves as they transact with other persons. Thus each one in deeds gives answers to those questions which are either exp!icitly or at least implicitly in every personal encounter: "~Who are you?" and "What do you mean for me?" ,, The social power that is theI new property' makes one respond in terms of status and function: "I am one who has tlus place m the social sttqucture and "I determine these values for you." Let me at once contrast withlthese responses what I call the positive thrust of the vow of poverty and suggest that tt ~s that wluch would permit one to respond: I am the human being Ch~'ist has made !me, are you such a human being, too?" On~ thereby expresses the message and the challenge of the Good News by one's very life style itself. Usually in activities we express a functional connection between some parts of ourselves and some parts of the supporting socio-economic system. We are teachers, pro-fessors, administrators at such and such an educational institution; we are experts and on such and such commit-tees; we have such ahd such training, such and such de-grees, such and such publications to our credit; thereby we are in such and such relationships to this organization within the complex of interlaced organizations. That is "who we are." By this part-function'ality we conceptually merge a re-sponse to "Who are you" with the response to "What do you do?" or even more broadly "How do you fit into the socio-economic system?" Thus when .asked "Who are you?" or when we ask of others "Who is that?" we really change the meaning of the question in,our minds and then employ functional categories "to handle" other per-sons in our thoughts and to have identification as we are "handled" in the thoughts of others. (We must be taught to do this: a little girl at the border, when asked if.she was an American, replied, "No, my daddy is an Ameri-can. I'm a girl.") 4- 4- + "New Property" VOLUME 30, 1971 983 ÷ ÷ ÷ W. L. LaCroix REVIEW FOR RELIGIOUS 984 Generally then, and perhaps more especially in a "new property" milieu, one's functional roles in the corporate society determine one's self identity. And this identity is more and more dependent upon the fate of one's immedi-ate organization within the corporate society, and upon. one's acceptance by functional peers and one's perform-ance among functional inferiors. Thus the primary con-cern of the person with "new property" must be organiza-tional. This is antithetical to the thrust of vowed poverty. A second, equally significant factor from "new prop-erty," the socio-economic power endemic to organiza-tional place also jabs at the thrust of vowed poverty. One with "new property" determines the lives of others Jor them because, as functional within and dependent upon socio-economic power, one exercises "power over" per-sons. Those who consider the vow of poverty as significant for Christian religious life can no longer ignore the con-tradiction that occurs when one points only to one's "min-imal individual possessory holdings" and Overlooks one's "new property" holdings. Since many religious in the United States are in education, let us use an example from this organizational area to put the problem strik-ingly. Let us ask: Can one who has a vow of poverty act consistently if he becomes the president of a uniyersity? Even if he lives a most frugal and Spartan private life, one stripped of all but the immediately necessary mate-rial items, can he in deeds live the thrust of the vow of poverty, since 'he has willy-nilly status wealth in the pub-lic socio-economic system and acts constantly with "power over" persons? Can he express the message and challenge ¯ of the Good News in any continuous form coming from his life style itself if he so connects himself with the interlaced set of organizations whose basis is a power to determine for other persons items basic to their values in life? The same questions can be put to the tenured profes, sor, the high .school principal, and so on. Perhaps a test for an opposition to vowed poverty would be: Do the respect and consideration one has from peers and inferi-ors in societal transactions come primarily from one's "new property" functions or not? Some have argued that poverty does not mean the neg-ative "not using material items of value," but rather the positive "sharing of the effects and experiences resultant from any possession and use with the concrete religious community." These values are one's talents, the experi-ences of one's apostolate, as well as the gifts one receives, one's former individual possessory holdings, and so forth. Thus they might argue that one can also use the "new property" consistently without effect on poverty in reli-gious life. I suspect that such an argument misses the qualitative newness of the "new property.~" It also un~terplays the positive thrust in the rentmciation of the old property, suggested in this section's opening. I will stipulate that some of the inward thrust of pov-erty may be in terms of mutual sharing with the commu-nity. But the vow must be ultimately for the life of the Good News in the mission of the whole Christian com-munity. It cannot have for its final term the limited reli-gious community: And ~he outward thrust (and part of the inward thrust itself) of poverty is precisely so that one can respond to contact with others as a (Christian) human person and challenge the others also to be (Chris-tian) human persons. Poverty has been an attempt to remove those identification handles which passively ob-struct the transmission of the Good News which chal-lenges others to be in, deeds what Christ has made them. Perhaps more importantly in our time and place, poverty seeks to remove that public power which actively ob-structs others from determining for themselves their free response to the challenge of the Good News. This mission of the Good News one legitimately .ob-tains and legitimately exercises by the action of the Trin-ity in human history. Let us for convenience designate anyone with the legitimate mission to challenge others with the Good News as one who has Christian authority, but let us call this challenging authority "authority (C)." By this authority (C), a person in encounter~ can legiti-mately challenge others to be consistent with themselves as individual and social persons, but the challenger has no power to determine the others in respect to their values as human persons, because the thrust of one's Christian mission is to leave the others confronted with the Gospel challenge but free to determine themselves, As there is authority (P) which is legitimate power to challenge others by determining to some extent human values for them, so here there is authority (C) ~hich is the mission to transmit a legitimate challenge but with-out any power to determine for the one c.hallenged. Those who live a vow of poverty would seem to want to specialize in ~some continuity of deeds and life style in this Christian authority (C). Of course, it is not impossible for one tO have status property and to exercise the consequent determining power and still,, in addition, to transmit by authority (C) the challenge of the Good News. Christians who do not vow poverty do it every day. But they do not attempt to specialize in a continuity of deeds .which emphasize au-thority (C). 4- "New Property" VOLUME 30, 1971 985 ÷ ÷ W, L, LaCroix REVIEW FOR RELIGIOUS 986 Some would argue that those with the vow of. poverty also can utilize the "new property" and its logically con-seqt~ ent authority (P) as a means in their life style. They argue that religious do not rest in this "new property" but can have it and remain true to the thrust of the vow because, for example, they use the "new property" to make professional contacts vital to the universalization of the Good News. Let us reflect here not on the strengths of such a defense, and there are some, bnt on its weaknesses. A. Some would say that religious need the status, which is the wealth of the "new property," in order to contact the important people in a society organized around power status on their own level. From the "new prop-erty" gained by administrative, academic, or other cre-dentials, religious can contact the organizational profes-sions of the clay and influence them. But do religious as status members speak to others as trans-status human beings or as co,possessors of power status? Do religious who contact as holders of "new property" contact the whole person and challenge the other with authority (C)? Must religious not necessarily, if they are fellow "new property" holders, speak to others pronouncedly as fun-damental co-members who are equally bound to the power and th'e fate of the structure in dominance in today's corporate society? Remember, unlike the old property, one never "owns" the "new property;" One is always conditionally and precariously subject to the orga-nizations which generate the active power place. One keeps the p.lace only by somehow contibnting actively to a successful exercise of socio-economic "power to do" and "power over." B. Why was not a parallel argument valid for religious to have the "old" property? If it was not valid, what value did Christians place on the vow of poverty in the past that made it so? Was it simply the release from worry over those things which other people must daily worry about? Certainly not. Christians held [or some rea-son that religious vowed to poverty could give a special continuity to the use of authority (C) lrom the very form their life style gave to all their activities. Religious could give this special continuity to the use of authority (C) if they were not the equals of others as holders of individ-ual possessory property, if they encountered the others not in a role of co-wielders of social power from that property, but radically as persons unconnected with a social function category. Can this thrust be realized if religious with a vow of poverty are equal co-holders of social economic public power from the "new property" of today? It is not easy to answer this with a simple "no." Many seem successful in their mission with the Good News to challenge others t(; be "the persons Christ has made them even though these present challengers, vowed religious, or lay Christians, are co-holders with the chall~n~ged of the "new property." X~'hether such success is limited to this period of transi-tion, wherein few are fully .aware of the i.mplicationS of "new property," is a good question. But whether even such success continues to make a religious vow of poverty meaningful is a better one~ ÷ ÷ ÷ "New Property" VOLUME 30, 1971 987 ROBERT OCHS, S.J. Experiments for Closing the Experience Gap in Prayer ÷ ÷ ÷ Robert Ochs is a faculty member of Bellarmine School of Theology; 5't30 South University Avenue; Chicago, Il-linois fi5615. REVIEW FOR RELIGIOUS 988 "Speaking exactly as one friend speaks to another"- these are the words with which Ignatius Loyola character-izes what he calls "colloquies," conversations with the Father, Christ, or Mary which conclude so many of the exercises which make up his Spiritual Exercises. This prayer of conversation, explicitly evoking a personal part-ner, is not the whole of prayer. To try to make it such, to focus on the divine Thou in all our prayer, is a strain which can cut us off from other avenues of divine contact. Trying to force all prayer irito a conversational mold can even short-circuit what it intends to further, by making us hurry past the "impersonal" world of divine power and energy, fire and spirit, not to mention Silence and nothingness. Yet to turn our back on it would be to lose a vital dimension of religious experience. Prayer as conversation, dialogue, or encounter with God has recently become much harder for increasing numbers of Christians, as they have rediscovered God both as transcendent mystery and as immanent Spirit. But, I submit, neither our new awareness of God's tran-scendence or of his immanence is the real cause of our inability to meet God in a face to face encounter. For some reason we are not bold enough, or realistic and imaginative enough, in our use of dialogal prayer. Prayer of colloquy is not nearly "colloquial" enough. Speaking with God "exactly as one friend to another," as Ignatius flatly states it, has yet to be really explored, partly out of a misplaced fear of anthropomorphism, partly because our personal relationships themselves have become so bland that we have forgotten exactly how intimate friends do speak to one another. (I sometimes feel Dr, George Bach's paperback, The Intimate Enemy: How to Fight Fair in Love and Marriage, would be a better aid to prayer nowadays than many books directly on prayer,) Underlying our lack of imagination is a peculiar mind set of ours which renders any boldness in encountering God all but impossible. Until we alter this mind set about where and how God is encountered, about the mediurn of any encounter with God, any modeling of our encounter with God on the model of human encounters will look merely like improved make-believe. The Spiritual Exercises speak a great deal about this medium, what Ignatius calls creatures or .simply "all things." Early in the text~ the so-called "Principle and Foundation" insists on "indifference" to things, using them "in as far as" they help find God. And toward the end, the "Contemplation to Attain Love" reminds us that love manifests itself in deeds and consists in a mutual sharing of goods. Between these two exercises, which span the whole Ignatian retreat, the effort is to make things a vehicle of mutual communication instead .of an obstacle, to make them a locus of encounter and matter for shar-ing. As an introductory school of prayer the Exercises teach us to find God in all things, so that things become the means of exchange for dialogue. The whole effort to encounter God involves us therefore in a vast transforma-tion of our view of things. All this sounds terribly obvious. And yet the shift in point of view we are called on to effect in ourselves is enormous, and if we could do it we could pray. The effort involves, for a Christian who supposedly "already believes in God" but does not yet really live in faith, the overcoming of an attitude about God and things which is perhaps the great obsta_cle to encounter with God in our lives, an attitude I Choose to call Deism. Deism sounds at first a harmless enough term, and that is partly why I have chosen it. Giving a harmless name to what one feels is The Great Obstacle has the advantage that it opens us to look for the obstacle to prayer within ourselves and our own pale Christianity. For much that goes by the name of Christianity is no more than Deism, and Deism is as far removed from Christian faith as ag-nosticism or atheism. At any rate, Deism stands along with agnosticism and atheism on the opposite side of the line dividing belief from unbelief. And it is perhaps more dangerous than those two, because it apes Christianity and obscures it own lack of faith. After all, is it not at least theistic, admitting the existence of God? But it ad-mits a God with whom one does not deal, an inaccessibld God with whom one does not argue or wrestle. From the viewpoint of faith the Deist is worse off than the atheist who seeks an accessible God but cannot find him. It is not true that believing in a Deistic God is better than + ÷ ÷o VOLUME 30, 1971 989 ÷ ÷ ÷ Robert Ochs REVIEW FOR RELIGIOUS 990 believing in none at all, because to believe in a God who does not enter into intimate relationships with men im-plies giving him certain personal attributes opposed to such relationships, making him aloof, arbitrary, uncon-cerned. While faith says He is our Father. Deism is far from harmless. It is religion without reli-gious experience, religion without encounter and without prayer. It declares God inaccessible. It views the world of things precisely as providing no access to God. It would be profitable to read Ignatius' "Contemplation to Attain Love" as an overcoming of Deism, seeing God dwelling in creatures, "conducting Himself as one who labors" for us in all creatures on the face of the earth. The "Contempla-tion" is the effort to see deeds as potential manifestations of 10ve and all goods as material for mutual sharing. I somewhat regret having to use the term Deism, be-cause it sounds too exclusively associated with the ages of' enlightenment and rationalism. What I mean by it is less a theological position than a state of mind, one which is still very much with us. Deism is a whole sensibility impeding our prayer. One could almost define it as the opposite of finding God in all things, as finding things and supposedly finding God, but not putting these two together except in an awkward juxtaposition. It is what modern thinkers are trying to overcome when they talk of transcendence in immanence and of encountering God in the world. We are Deists when we find God in religion and' not in secular things, and when we admit that reli-gion is more important but more boring than life. We are Deists in our inability to talk about God without using pale language divorced from life, language made more and not less abstract when it becomes pious. We are Deists when we live out our own human growth Odyssey without relation to our spiritual Odyssey. These are old accusations. We are no doubt overfami-liar with these aspects of our Deism. Accordingly, in the following pages I propose taking a look at certain things in which we are not used to finding God. We do not look for God in these things because we think He is already there. We are already aware of the problem of finding God in matter, in the secular, in the ugly. But the things I want to look into with the reader are, briefly, the will of God, our thoughts (especially our religious thoughts), and our images of God and ourselves as we engage God in dialogue. If we looked more for God in these things, .we would be much more able to pray. The best way to take this look is not by direct description, but by watch-ing our spontaneous reactions provoked by certain thought experiments. This way we can uncover the var-ious Deistic mind sets we are caught up in. We should not be surprised by this procedure. The Exercises them- selves proceed often in this same fashion, asking us, for example to imagine three classes of men or to imagine ourselves at tile hour of deatli, or to enter in fantasy into a gospel scene and then ',reflect On myself." The itinerary through the Exercises proceeds as much by uncovering and then healing attitudes of unbelief as by appropriat-ing attitudes of belief. God Present in the Things .That Are His will The second is that love consists in a mutual sharing of goods, for example the lover give and shares with the be-loved what he possesses, or something of that which he has or is able to give: and vice versa, the beloved shares With the lover. Hence, if one has knowledge, he shares it with the one who does not possess it; and' 'so also if one has honors, or riches. Thus, one always gives to the other.--Spiritual Ex-ercises, n. 231. Let us start hy a look at our will-of-God-talk. There is, in fact, a curious anomaly in much recent will-of, God-talk. This anomaly can be expressed in different ways. For example, we seem to be theists in our discei:ning process, and secularists in our carrying out process (and therefore Pelagian Deists all round: Discern as if every-thing depended upon God; act as if everything depended on you). Our talk of discerning God's will sounds more convincing than our talk of God's will once discerned. We do talk rather convincingly (that is, convincedly; with words that at least sound as if we were convinced of the reality we were talking about) about finding God'S will, but our handling of God's will once we have supposedly found it seems to give the lie to such talk. It is not iust that we fail in performance, that we are slow to fulfill what we think we must do, as Christians have always felt themselves to be. It is that the talk that accompanies our efforts to fulfill the wi.l,1 of God sounds as if we were~less than convinced that there was any such thing as a will of God manifested in discernment. In short, our talk gives the impression that we aim at doing more than merely discerning "What the situation calls for," because we in-sist on giving it a theological dimension. And yet once we have discerned "the will of God," we carry on as if this theological dimension were sheer ideology. Various Symptoms point to this, especially Our vacilla-tion and our regrets (and recriminations). Our vacillation during the process of discernment, weighing and search-ing our motives, 'indicates that we take seriously what we are doing. But vacillation after the moment of deciSion indicates rather the opposite. Again, it is not so much vacillation in performance I am talking about, but a kind of vacillation in the belief which governs the perform-ance. (If you are going to believe in a will-of-God uni-verse, an agnostic observer might say, at least take the ÷ ÷ ÷ Prayer VOLUME 30, 1971 991 ÷ ÷ ÷ Robert Ochs REVIEW FOR RELIGIOUS 992 advantages as well as the onus of your world view, and taste a bit of the joy and enthusiasm that ought to accom-pany such a belief.) For example, a line of action em-barked upon as a result of discernment will be aban-doned with a lightness incompatible with the discern-ment talk which launched it. The project is not adjusted in the light of new circumstances, discerned anew, as we say, but is changed without recourse to any discernment process at all. A project may be entered upon with some sense of vocation, and then abandoned with neither a sense of infidelity to any call, nor a sense of a new version of the call. If it does not work out, it is simply dropped as a misguided enterprise shot through with human fallibil-ity. After this, curiously enough, the whole discernment process may be started again, with'hopes inexplicably undimmed of finding this time the will-of-God project that will not turn sour. This phenomenon makes one wonder if any genuine discernment was ever done at all, especially when one considers that true discernment does not just provide the knowledge of what to do, but the grace to carry it out, the grace not to forget for long that one is about the Lord's business. Nadal remarks that what struck the early companions about Ignatius was his single-mindedness once he had adopted a course of action through discernment. Ignatius especially deplored the failure of spiritual nerve or what he called courage in difficult enterprises. Another index is regret. We have pursued a course under the aegis of God's will, expended our energies on it, and it does not work out, or works only tolerably well. Hindsight reveals all the deficiencies of our original choice--it looks dated, it is not what we would have chosen if we knew then what we know now. We regret, we recriminate, we think rather quickly .that we have been duped, wasted our efforts, labored under a very human delusion. Even though when we made the deci-sion we claimed to be aware that we had no choice but to choose, further postponement of decision being a worse choice than the one we made, yet we have no sense of accomplishment, no sense of having done God's will or even qf having done our best trying. For another index, let us observe our reactions to the account, in Chapter I of Acts, of the drawing of lots to fill up the vacancy left in the Twelve by Judas' betrayal. Matthias and Barsabba
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Timothy Mitchell on Infra-Theory, the State Effect, and the Technopolitics of Oil
This is the first in a series of Talks dedicated to the technopolitics of International Relations, linked to the forthcoming double volume 'The Global Politics of Science and Technology' edited by Maximilian Mayer, Mariana Carpes, and Ruth Knoblich
The unrest in the Arab world put the region firmly in the spotlights of IR. Where many scholars focus on the conflicts in relation to democratization as a local or regional dynamic, political events there do not stand in isolation from broader international relations or other—for instance economic—concerns. Among the scholars who has insisted on such broader linkages and associations that co-constitute political dynamics in the region, Timothy Mitchell stands out. The work of Mitchell has largely focused on highly specific aspects of politics and development in Egypt and the broader Middle East, such as the relations between the building of the Aswan Dam and redistribution of expertise, and the way in which the differences between coal and oil condition democratic politics. His consistently nuanced and enticing analyses have gained him a wide readership, and Mitchell's analyses powerfully resonate across qualitative politically oriented social sciences. In this Talk, Timothy Mitchell discusses, amongst others, the birth of 'the economy' as a powerful modern political phenomenon, how we can understand the state as an effect rather than an actor, and the importance of taking technicalities seriously to understand the politics of oil.
Print version of this Talk (pdf)
What is, according to you, the biggest challenge / principal debate in current globally oriented studies? What is your position or answer to this challenge / in this debate?
I'm not myself interested in, or good at, big debates, the kinds of debates that define and drive forward an academic field. The reason for that is partly that once a topic has become a debate, it has tended to have sort of hardened into a field, in which there are two or three positions, and as a scholar you have to take one of those positions. In the days when I was first trained in Political Science and studied International Relations, that was so much my sense of the field and indeed of the whole discipline of political science. This is part of one's initially training in any field: it is laid out as a serious debate. I found this something I just could not deal with; I did not find it intellectually interesting which I think sort of stayed with me all the way through to where I am now. So although big debates are important for a certain defining and sustaining of academic fields and training new generations of students, it is not the kind of way in which I myself have tended to work. I have tended to work by moving away from what the big debates have been in a particular moment. My academic interests always started when I found something curious that interests me and that I try to begin to see in a different way.
However, I suppose with my most recent book Carbon Democracy (2011), in a sense there was a big debate going on, which was the debate about the resource curse and oil democracy. That was an old debate going back to the 70's, but had been reinvigorated by the Iraq war in 2003. But that to me is an example of the problem with big debates, because the terms in which that debate was argued back and forth—and is still argued—did not seem to make sense as a way to understand the role of energy in 20th century democratic politics. Was oil good for democracy or bad for democracy? The existing debate began with those as two different things—as a dependent or independent variable—so you would already determine things in advance that I would have wanted to open up. In general I'm not a good person for figuring out what the big debates are.
But I think, moving from International Relations as a field to 'globally oriented studies', to use your phrase, one of the biggest challenges—just on an academic level, leaving aside challenges that we face as a global community—is to learn to develop ways of seeing even what seem like the most global and most international issues, as things that are very local. Part of the problem with fields such as 'global studies', the term 'globalization', and other terms of that sort, is that they tend to define their objects of study in opposition to the local, in opposition to even national-level modes of analysis. By consequence, they assume that the actors or the forces that they're going to study must themselves be in some sense global, because that is the premise of the field. So whether it is nation states acting as world powers; whether it is capitalism understood as a global system—they have to exist on this plane of the global, on some sort of universal level, to be topics of IR and global studies. And yet, on close inspection, most of the concerns or actors central to those modes of inquiry tend to operate on quite local levels; they tend to be made up of very small agents, very particular arrangements that somehow have managed to put themselves together in ways that allow them take on this appearance and sometimes this effectiveness of things that are global. I'm very interested in taking things apart that are local, on a particular level, to understand what it is that enables such small things, such local and particular agents, to act in a way that creates the appearance of the global or the international world.
Now this relates back to the second part of your question, about substantive concerns that we face as a global community. When I was writing Carbon Democracy there was all this attention on the problem of 'creating a more democratic Middle East', as it was understood at the time of the Iraq war. It struck me that when debating this problem—of oil and democracy, of energy and democracy—we saw it as somehow specific to these countries and to the part of the world where many countries were very large-scale energy producers. We were not thinking about the fact that we are all in a sense caught up in this problem that I call carbon democracy, and that there are issues—whether it is in terms of the increasing difficulty of extracting energy from the earth, or the consequences of having extracted the carbon and put it up in the atmosphere—that we, as democracies, are very, very challenged by. Those issues—and I think in particular the concerns around climate change—when you look at them from the perspective of U.S. politics, and the inability of the U.S. even to take the relatively minor steps that other industrialized democracies have taken: this inaction suggests a larger problem of oil and democracy that needs explaining and understanding and working on and organizing about. I also think there is a whole range of contemporary issues related to energy production and consumption that revolve around the building of more egalitarian and more socially just worlds. And, again, those issues present themselves very powerfully as concerns in American politics, but are experienced in other ways in other parts of the world. I would not single out any one of them as more urgent or important than another, and I do think we still have a long struggle ahead of us here.
How did you arrive at where you currently are in your approach to issues?
Well, I had a strange training as a scholar because I kept shifting fields. I actually began as a student of law and then moved into history while I was still an undergraduate, but then became interested in political theory; decided that I liked it better than political science. But by the time I arrived in political science to study for a PhD, I had become interested in politics of the Middle East. This was partly from just travelling there when I was a student growing up in England, but I also suppose in some ways the events of the seventies had really drawn attention to the region. So the first important thing that shaped me was this constant shifting of fields and disciplines, which was not to me a problem—it was rather that there was a kind of intellectual curiosity that drove me from academic field to field. And so if there was one thing that helped me arrive at where I am, it was this constant moving outside of the boundaries of one discipline and trespassing on the next one—trying to do it for long enough that they started to accept me as someone who they could debate with. And I think all along that has been important to the kind of scholarship I do; yet therefore I would say where I currently am in my thinking about my field is difficult in itself to define. But I think it is probably defined by the sense that there are many, many fields—and it is moving across them and trying to do justice to the scholarship in them, but at the same time trying to connect insights from one field with what one can do in another field. I have always tried to draw things together in that sense, a sense that one can call an interdisciplinary or post-disciplinary sensitivity.
I think the other part of what has shaped me intellectually was that, in ways I explained before, I was always drawn into the local and the particular and the specific and I was never very good at thinking at that certain level of large-scale grand theory. So having found myself in the field of Middle Eastern politics in a PhD-program, and being told that it involves studying Arabic which I was very glad to do, I then went off to spend summers in the Arab world, and later over more extended periods of time for field research. But to me, Egypt and other places I've worked—but principally Egypt—became not just a field site, but a place where I have now been going for more than 30 years and where I have developed very close ties and intellectual relationships, friendships, that I think have constantly shaped and reshaped my thinking. And even when I am reading about things that are not specifically related to Egypt—the work I do on the history of economics, or the work I have done on oil politics that are not directly connected with my research on Egypt—I am often thinking in relation to places and people and communities there that have profoundly shaped me as a scholar.
So traveling across different contexts I'd say I have not developed a kind of set of theoretical lenses I take with me. Rather, I would say I have developed a way of seeing—I would not necessarily call it 'meta', I see it as much more as sort of 'infra': much more mundane and everyday. While I have this sort of intellectual history of moving across disciplines and social sciences in an academic way, there is another sort of moving across fields, another sensibility, and that sensibility provides me with a sense of rootedness or grounding. And that is a more traditional way of moving across fields, because whether when one is writing about contemporary politics or more historically about politics, one is dealing constantly with areas of technical concern of one sort or another, with specialist knowledge. Engaging with that expert knowledge has always provided both a political grounding in specific concerns and with a kind of concern with local, real-world, struggles on the ground. So that might have been things like the transformation of irrigation in nineteenth-century Egypt, or the remaking of the system of law; or it might be the history of malaria epidemics in the twentieth century, or the relationship between those epidemics and transformations taking place in the crops that were grown; or, more recently—and more obviously—of oil and the history of energy, and the way different forms of energy are brought out of the ground. And I should mention beside those areas of technical expertise already listed, economics as well: a discipline I was never trained in, but that I realized I had to understand if I was to make sense of contemporary Egyptian politics—just as much as I had to understand agricultural hydraulics or something of the petroleum geology as a form of technical expertise that is shaping the common world.
In sum, what keeps me grounded is the idea that to really make sense of the politics of any of those fields, one has got to do one's best to sort of enter and explore the more technical level—with the closest attention that one can muster to the technical and the material dimensions of what is involved—whether it is in agricultural irrigation, building dams or combating disease. And entering this level of issues does not only mean interviewing experts but arriving at the level of understanding the disease, the parasite, the modes of its movement, the hydraulics of the river, the properties of different kinds of oil... So as you can see it is not really 'meta', it really is 'infra' in the anthropological way of staying close to the ground, staying close to processes and things and materials.
What would a student need to become a specialist in IR or understand the world in a global way?
A couple of things. I think one is precisely the thing I just mentioned in answer to your last question: that is, the kind of interest in going inside technical processes, learning about material objects, not being afraid of taking up an investigation of something that is a body of knowledge totally outside one's area of training and expertise. So, if I was advising someone or looking for a student, I would not say there is a particular skill or expertise, but rather a willingness to really get one's hands dirty with the messy technical details of an area—and that can be an area of specialist knowledge such as economics, but also technical and physical processes of, for instance, mineral extraction. I think to me this is—for the kind of work I am interested in doing—enormously important.
The other thing that I would stress in the area of globally-oriented studies, is that one could think of two ways of approaching a field of study. One is to move around the world and gather together information, often with a notion of improving things, such as development work, human rights work, international security work. This entails gathering from one's own research and from other experts in the field, with a certain notion of best practices and the state of field, and of what works, and therefore what can then be moved from one place to another as a form of expert knowledge. Some people really want that mobile knowledge, which I suppose is often associated with the ability to generalize from a particular case and to establish more universal principles about whatever the topic is. And in this case one's own expertise becomes the carrying or transmission of that expert knowledge. One saw a lot of that around the whole issue of democratization that I mentioned before in the Middle East, around the Iraq war when experts were brought in. They had done democracy elsewhere in the world and then they turned up to do it in Iraq, and again following the Arab Spring.
Against that, to me, there is another mode of learning, which is not to learn about what is happening but to learn from. So to give the example, if there is an uprising and a struggle for democracy going on in the streets of Cairo, one could try and learn about that and then make it fit one's models and classify it within a broader range of series of democratizations across the world, or one could try and learn from it, and say 'how do we rethink what the possibilities of democracy might be on the basis of what is happening?' To me those are two distinct modes of work. They are not completely mutually exclusive, but I think people are more disposed towards one or the other. I have never been disposed, or good at, the first kind and do like the second, so I would mention that as the second skill or attitude that is useful for doing this sort of work.
In which discipline or field would you situate yourself, or would we have to invent a discipline to match your work?
I like disciplines, but I do not always feel that I entirely belong to any of them. That said, I read with enormous profit the works of historians, political theorist, anthropologists, of people in the field of science and technology studies, geographers, political economists and scholars in environmental studies. There are so many different disciplines that are well organized and have their practitioners from which there is a lot to learn! But conversely, I also think, in ways I have described already, there is something to be learnt for some people from working in a much more deliberately post-disciplinary fashion. The Middle East, South Asian and African Studies department to which I have been attached here in Columbia for about five years, represents a deliberate attempt by myself and my colleagues to produce some kind of post-disciplinary space. Not in order to do away with the disciplines, but to have another place for doing theoretical work, one that is able to take advantage of not being bound by disciplinary fields, as even broad disciplines—say history—tend to restrict you with a kind of positive liberty of creating a place where you can do anything you want—as long as you do it in an archive. I quite deliberately situate myself outside of any one discipline, while continuing to learn from and trespass into the fields of many individual disciplines. They range from all of those and others, because I am here among a community of people who are also philologists; people interested in Arabic literature and the history of Islamic science; and all kinds of fields, which I also find fascinating. The first article I ever published was in the field of Arabic grammar! So I have interests that fit in a very sort of trans-disciplinary, post-disciplinary environment and I thrive on that.
Yet doing this kind of post-disciplinary work is in a practical sense actually absolutely impossible. If only for the simple fact that if it is already hardly possible to keep up with 'the literature' if one is firmly situated within one field, then one can never keep up with important developments in all the disciplines one is interested in. There are some people that manage to do this and do it justice. My information about contemporary debates in every imaginable field is so limited; I do not manage to do justice to any field. In the particular piece of research I might be engaged in, I try to get quickly up to pace on what's going on, and I often come back again and again to similar areas of research. I am currently interested in questions around the early history of international development in the 1940's and 1950's, and that is something I have worked on before, but I have come back to it and I found that the World Bank archives are now open and there is a whole new set of literatures. I had not been keeping up with all of that work. It is hard and that is why I am very bad at answering emails and doing many of the other everyday things that one is ought to do; because it always seems to me, in the evening at the computer when one ought to be catching up with emails, there is something you have come across in an article or footnotes and before you know it you are miles away and it has got nothing to do with what you were working on at the moment, but it really connects with a set of issues you have been interested in and has taken you off into contemporary work going on in law or the history of architecture… The internet has made that possible in a completely new way and some of these post-disciplinary research interests are actually a reflection of where we are with the internet and with the accessibility of scholarship in any field only just a few clicks away. Which on the one hand is fascinating, but mostly it is just a complete curse. It is the enemy of writing dissertations and finishing books and articles and everything else!
What role does expertise, which is kind of a central term in underpinning much of the diverse work or topics you do, play in the historical unfolding of modern government?
That is a big question, so let me suggest only a couple of thoughts here. One is that modern government has unfolded—especially if one thinks of government itself as a wider process than just a state—through the development of new forms of expertise, which among other things define problems and issues upon which government can operate. This can concern many things, whether it is problems of public health in the 19th or 20th century; or problems of economic development in the 20th century; or problems of energy, climate change and the environment today. Again and again government itself operates—as Foucault has taught us—simultaneously as fields of knowledge and fields of power. And the objects brought into being in this way—defined in important ways through the development of expert knowledge—become in themselves modes through which political power operates. Thanks to Foucault and many others, that is a way of thinking or field of research that has been widely developed, even though there are vast amounts of work still to do.
But I think there is another relationship between modes of government and expertise, and this goes back to things I have been thinking about ever since I wrote an article about the theory of the state (The Limits of the State, pdf here) that was published in American Political Science Review a long time ago (1991). The point I made then, is that it is interesting to observe how one of the central aspects of modern modes of power is the way that the distinction between what is the state and what is not the state; between what is public and what is private, is constantly elaborated and redefined. So politics itself is happening not so much by some agency called 'state' or 'government' imposing its will on some other preformed object—the social, the population, the people—but rather that it concerns a series of techniques that create what I have called the effect of a state: the very distinction between what appears as a sort of structure or apparatus of power, and the objects on which that power works.
More recently one of the ways I have thought about this, is in terms of the history of the idea of the economy. Most people think of 'the economy' either as something that has always existed (and people may or may not have realized its existence) or as something that came into being with the rise of political economy and commercial society in the European 18th and 19th century. One of the things I discovered when I was doing research on the history of development, is that no economist talked routinely about an object called 'the economy' before the 1940's! I think that is a good example of the history of a mode of expertise that exists not within the operations of an apparatus of government but precisely outside of government.
If you look in detail at how the term 'the economy' was first regularly used, you find that it was in the context of governing the U.S. in the 1940's immediately after the Second World War. In the aftermath of the war there was enormous political pressure for quite a radical restructuring of American society: there were waves of strikes, demands for worker control of industries, or at least a share of management. And of course in Europe, similar demands led to new forms of economy altogether, in the building of postwar Germany and in the forms of democratic socialism that were experimented with in various parts of Western Europe. As we know, the U.S. did not follow that path. And I think part of the way in which it was steered away from that path, was by constructing the economy as the central object of government, coupled with precisely this American cultural fear of things where government did not belong. So this was radically opposed to how the Europeans related government to economy: European governments had become involved in all kinds of ways, deciding how the relation between management and labor should operate in thinking about prices and wages; instituting forms of national health insurance and health care; and the whole state management of health care itself... Now this was threatening to emerge in the U.S., and was emerging in many ways in the wartime with state control of prices and production. In order to prevent the U.S. from following the European path after the war, this object outside of government with its own experts was created: the economy. And the economists were precisely people who are not in government, but who knew the laws and regularities of economic life and could explain them to people. It is interesting to think about expertise both as something that develops within the state, but also as something that happens as a creation of objects that precisely represent what is not the state, or the sphere of government.
Your most recent book Carbon Democracy (2011) focuses on the political structures afforded, or engendered, by modes of extraction of minerals and investigates how oil was constitutes a dominant source of energy on which we depend. Can you give an example of how that works?
Let me take an example from the book even though I might have to give it in very a simplified form in order to make it work. I was interested in what appeared to be the way in which the rise of coal—the dominant source of energy in the 19th century and in the emergence of modern industrialized states—seemed to be very strongly associated with the emergence of mass democracy, whereas the rise of oil in the 20th century seemed to have if anything the opposite set of consequences for states that were highly dependent on the production of oil. I wanted to examine these relations between forms of energy and democratic politics in a way that was not simply some kind of technical- or energy determinism, because it is very easy to point to many cases that simply do not fit that pattern—and, besides, it simply would not be very interesting to begin with. But it did seem to me, that at a particular moment in the history of the emergence of industrialized countries—particularly in the late 19th century—it became possible for the first time in history and really only for a brief period, to take advantage of certain kinds of vulnerabilities and possibilities offered by the dependence on coal to organize a new kind of political agency and forms of mass politics, which successfully struggled for much more representative and egalitarian forms of democracy, roughly between the 1880's and the mid 20th century. In general terms, that story is known; but it had been told without thinking in particular about the energy itself. The energy was just present in these stories as that which made possible industrialization; industrialization made possible urbanization; therefore you had lots of workers and their consciousness must somehow have changed and made them democratic or something.
That story did not make sense to me, and that prompted me to research in detail, and drawing on the work of others who had looked even more in detail at, the history of struggles for a whole set of democratic rights. The accounts of people at the time were clear: what was distinctive was this peculiar ability to shut down an economy because of a specific vulnerability to the supply of energy. Very briefly, when I switched to telling the story in the middle of the 20th with oil, it is different: partly just because oil was a supplementary source of energy—countries and people now had a choice between different energy sources—but also because oil did not create the same points of vulnerability. There are fewer workers involved, it is a liquid, so it can be routed along different channels more easily; there is a whole set of technical properties of oil and its production that are different. That does not mean to say that the energy is determining the outcome of history or of political struggles, and I am careful to introduce examples that do not work easily one way or the other in the history of oil industry in Baku, which is much more similar to the history of coal or the oil industry in California for that matter. But you can pay attention to the technical dimensions in a certain way, and the to the sheer possibilities that arise with this enormous concentration of sources of energy—which reflects both an exponential increase in the amount of energy but also an unprecedented concentration of the sites at which energy is available and through which it flows—that you can tell a new story about democratic politics and about that moment in the history of industrialized countries, but also the subsequent history in oil-producing countries in a different way. That would be an example of how attention for technical expertise translates into a different understanding of the politics of oil.
This leads to my next question, which is how do you speak about materials or technologies without falling into the trap of either radical social reductionism or a kind of Marxist technological determinism? Do you get these accusations sometimes?
Yes, I think so, but more so from people who have not read my work and who just hear some talks about it or some secondary accounts. To me, so much of the literature that already existed on these questions around oil and democracy, or even earlier research on coal, industrialization and democracy, suffered from a kind of technical determinism because they actually did not go into the technical. They said: 'look, you've got all this oil' or 'look, you had all that coal and steam power' and out of that, in a very determinist fashion, emerged social movements or emerged political repression. This was determinist because such accounts had actually jumped over the technical side much too fast: talking about oil in the case of the resource curse literature, it was only interested in the oil once it had already become money. And once it was money, then it of course corrupts, or you buy people off, or you do not have to seek their votes. The whole question of how oil becomes money and how you put together that technical system that turns oil into forms of political power or turns coal into forms of political power, does not get opened up. And that to me makes those arguments—even though there is not much of the technical in them—technically very determinist. Because as soon as you start opening up the technical side of it, you realize there are so many ways things can go and so many different ways things can get built. Energy networks can be built in different ways and there can be different mixes of energy. Of course most of the differences are technical differences, but they are also human differences. It is precisely by being very attentive to the technical aspects of politics—like energy or anything else, it could be in agriculture, it could be in disease, it could be in any area of collective socio-technical life—that one finds the only way to get away from a certain kind of technical determinism that otherwise sort of rules us. In the economics of growth, for instance, there is this great externality of technological change that drives every sort of grand historical explanation. Technology is just something that is kept external to the explanatory model and accounts for everything else that the model cannot explain. That ends up being a terrible kind of technical determinism.
The other half of the question is how this might differ from Marxist approaches to some of these problems. I like to think that if Marx was studying oil, his approach would be very little different. Because if you read Marx himself, there is an extraordinary level of interest in the technical; that is, whether in the technical aspects of political economy as a field of knowledge in the 19th century, or in the factory as a technical space. So, conventional political economy to him was not just an ideological mask that had to be torn away so that you could reveal the true workings of capitalism. Political economy has produced a set of concepts—notions of value, notions of exchange, notions of labor—that actually formed part of the technical workings of capitalism. The factory was organized at a technical level that had very specific consequences. The trouble with a significant part of Marx's theories is that he stopped doing that kind of technical work and Marxism froze itself with a set of categories that may or may not have been relevant to a moment of 19th century capitalism. There is still a lot of interesting Marxist theory going on, and some of the contemporary Italian Marxist theory I find really interesting and profitable to read, for example. Some of the work in Marxist geography continues to be very productive. But at the same time there are aspects of my work that are different from that—such as my drawing on Foucault in understanding expertise and modes of power.
How come so many of the social sciences seem to stick so rigidly to the human or social side of the Cartesian divide? It seems to be constitutive of social science disciplines but on the other hand also radically reduces the scope of what it can actually 'see' and talk about.
I think you are right and it has never made much sense to me. I suppose I have approached it in two kinds of ways in my work. First, this kind of dualism was much more clearly an object of concern in some of the early work I published on the colonial era, including my first book, Colonising Egypt (1988), where I was trying to understand the process by which Europeans had, as it were, come to be Cartesians; had come to see the world as very neatly defined it into mind on the one hand and matter or on the other—or, as they tended to think of it, representations on the one hand and reality on the other. And I actually looked in some detail, at the technical level, at this—beginning with world exhibitions, but moving on to department stores and school systems and modern legal orders—to understand the processes by which our incredibly complicated world was engineered so as to produce the effect of this world divided into the two—of mind or representation or culture on the one hand, and reality, nature, material on the other.
Second, what were the effects, what were the repetitive practices, that made that kind of simple dualism seem so self-evident and taken for granted? All that early work still informs my current work, although I do not necessarily explore this as directly as I did. One of the things I try to do is avoid all the vocabulary that draws you into that kind of dualism. So, nowhere when I write, do I use a term like 'culture', because you are just heading straight down that Cartesian road as soon as you assume that there is some hermetic world of shared meanings—as opposed to what? As opposed to machines that do not involve instructions and all kinds of other things that we would think of as meaningful? So I just work more by avoiding some of the dualistic language; the other kind would be the entire set of debates—in almost every discipline of the social sciences—around the question of 'structure versus agency' which just doesn't seems to me particularly productive. And I have been very lucky, recently, in coming across work in the fields of science and technology studies, because it is a field of people studying machines, studying laboratories and studying people, a field that took nature itself as something to be opened-up and investigated. In taking apart these things, they realized that those kinds of dualisms made absolutely no sense. And they have done away with them in their modes of explanation quite a long time ago. So there was already a lot in my own work before I encountered Science and Technology Studies (STS) that was working in that direction; but the STS people have been at it for a long time and figured out a lot of things that I had only just discovered.
Can you explain why it seems that perhaps implicitly decolonization, or the postcolonial moment—which is understood within political science and in development literature as a radical moment of rupture in which a complete transfer of responsibility has taken place, instituted in sovereignty—is an important theme in your work?
I have actually been coming back to this in recent work, because I am currently looking again at that moment of decolonization in Egypt. The period after World War II, around the 1952 revolution and the debacle around the building and the financing of the Aswan Dam, constitutes a wonderful way to explore questions on how much change decolonization really engendered and to see how remarkably short-lived that sort of optimism about decolonization, meaning a transfer of responsibility and sovereignty, actually was. Of course decolonization did transfer responsibility and sovereignty in all kinds of ways, but then that was exactly the problem for the former colonial regimes: because, from their perspective, then, how were all the people who had profited before from things like colonialism to continue to make profits? The plan to build the High Dam at Aswan—although there has always been Egyptians interested in it—initially got going because of some German engineering firms… For them, there was no opportunity in doing any kind of this large-scale work in Europe at the time because of the dire economic situation there. But they knew that Egypt had rapidly growing revenues from the Suez Canal and so they got together with the British and the French, and said: let's put forward this scheme for a dam so that we can recycle those revenues—particularly the income from the Suez Canal, which was about to revert to Egyptian ownership—back into the pockets of the engineering firms, or of the banks that will make the loans and charge the fees. And that is where the scheme came from. Then the World Bank got involved, because it too had found it had got nothing to do in Europe in the way of development and reconstruction, so it invented this new field of development. And it became a conduit to get the Wall Street banks involved as well. And the whole thing became politicized and led to a rupture, which provided then the excuse for another group, the militarists, the MI6 people, to invade and try to overthrow Nasser. So just in the space of barely four years from that moment of decolonization, Egypt had been reinvaded by the French, the British, working with the Israelis, and had to deal with the consequences and the costs of destroyed cities and military spending. That is an example of how quickly things went wrong; but also of how part of their going wrong was in this desperate attempt by a series of European banks and engineering firms trying to recover the opportunities for a certain profit-making and business that they had enjoyed in the colonial period and now they suddenly were being deprived of.
Last question. Has your work helped you make sense of what is currently going on in Egypt and would you shine your enlightened light on that a bit? Not on the whole general situation but perhaps on parts which are overlooked or which you find particularly relevant.
May be in a couple of aspects. One of them is this kind of very uneasy and disjunctive assemblage relationship between the West and forms of political Islam. It sometimes seemed shocking and disturbing and destabilizing that the political process in Egypt led to the rise and consolidation of power of the Muslim Brotherhood. But of course the U.S. and other Western powers have had a very long relationship going back at least to the 1950's—if not before—with exactly these kinds of political forces or people who were locally in alliance with them, in places like Saudi Arabia. I have a chapter in Carbon Democracy that explores that relationship and its disjunctions. And I think it is important to get away from the notion that is just a sort of electoral politics and uneasy alliances, but it is actually the outcome of a longer problem. Both domestically within the politics in the Arab states, of how to found a form of legitimacy that does not seem to be based on close ideological ties with the West, but at the same time operates in such in a way, that in practical terms, that kind of alliance can work. So that would be one aspect of it, to have a slightly longer-term perspective on those kinds of relationships and how disjunctively they function.
The other thing, drawing it a little more directly on some of the work on democracy in Carbon Democracy, is that so much of the scholarship on democracy is about equipping people with the right mental tools to be democrats; the right levels of trust or interpersonal relations or whatever. There is a very different view in my book, that the opportunities for effective democratic politics require very different sets of skills and kinds of actions—actions that are much more as it were obstructionist, and forms of sabotage, quite literally, in the usage of the term as it comes into being in the early 20th century to describe the role of strikes and stoppages. These are, I attempt to show, the effective tools to leverage demands for representation in more egalitarian democratic politics. I have been very interested in the case of Egypt, in the particular places and points of vulnerability, that gave rise to the possibility of sabotage. For instance, one of the less noted aspects of the Egyptian revolution in general, was the very important role played by the labor movement; this was not just a Twitter or Facebook revolution, but that was important as well. Although the labor movement was very heavily concentrated in industries—in the textile industry—the first group of workers who actually successfully formed an independent union were the property tax collectors. And there is a reason for that: there was a certain kind of fiscal crisis of the state—which had to do with declining oil revenues and other things—and there was the attempt to completely revise the tax system and to revise it not around income tax—because there were too few people making a significant income to raise tax revenues—but around property taxes. And that was a point of vulnerability and contestation that produced not just some of the first large-scale strikes but strikes that were effective enough that the government was forced to recognize a newly independent labor movement. This case is an instance of how the kind of work I did in the book might be useful for thinking about how the revolutionary situation emerged in Egypt.
Timothy Mitchell is a political theorist and historian. His areas of research include the place of colonialism in the making of modernity, the material and technical politics of the Middle East, and the role of economics and other forms of expert knowledge in the government of collective life. Much of his current work is concerned with ways of thinking about politics that allow material and technical things more weight than they are given in conventional political theory. Educated at Queens' College, Cambridge, where he received a first-class honours degree in History, Mitchell completed his Ph.D. in Politics and Near Eastern Studies at Princeton University in 1984. He joined Columbia University in 2008 after teaching for twenty-five years at New York University, where he served as Director of the Center for Near Eastern Studies. At Columbia he teaches courses on the history and politics of the Middle East, colonialism, and the politics of technical things.
Related links:
Faculty Profile at Colombia University Read Mitchell's Rethinking Economy (Geoforum 2008) here (pdf) Read Mitchell's The Limits of the State: Beyond Statist Approaches and Their Critics (The American Political Science Review 1991) here (pdf) Read Mitchell's McJihad: Islam and the U.S. Global Order (Social Text 2002) here (pdf) Read Mitchell's The Stage of Modernity (Chapter from book 'Questions of Modernity', 2000) here (pdf) Read Mitchell's The World as Exhibition (Chapter from book 'Colonising Egypt' 1991) here (pdf)
In the 15-years I have served in the United States Army, the focal point of my tactical and academic study has been almost entirely centered on the Middle East and its unique cultural complexities. As an Infantryman, I was embroiled in the early efforts to prevent a Sunni-Shia civil war in post-invasion Iraq, while also hunting down al-Qaeda operatives under the leadership of Abu Musab al-Zarqawi. A year later, during General Patraeus's troop surge, I was in the urban sprawl of Northwest Baghdad fighting not only a Sunni insurgency, but also the Iranian-backed Jaysh al-Mahdi, comprised of local Shia militia groups. In 2010, I led a battalion reconnaissance team in the Arghandab River Valley of Afghanistan against the Taliban near the very birthplace of their Salafi-jihadist movement. In subsequent years, following my graduation from the Special Forces Qualification Course, I served in the 5th Special Forces Group (SFG) on a variety of missions in support of Operation Inherent Resolve in Turkey and Syria. As a fluent Arabic speaker, I was heavily involved in early efforts to train and equip the Free Syrian Army for its fight against the Islamic State. Following this deployment, I served as a liaison officer to the United States Embassy and Turkish General Staff in Ankara, having daily interaction with foreign dignitaries, defense attachés, and military officials in strategic level planning and coordination efforts. I culminated my time with 5th SFG as the assistant operations sergeant of a detachment fighting the Islamic State in Syria. My understanding of the culture of jihad, the various jihadist groups operating throughout the Central Command (CENTCOM) area of responsibility, and the intricacy of Middle Eastern problem sets as a whole, has come from years of dedicated cultural analysis, in-depth study of Sunni and Shia Islam, and field experience from the strategic to the tactical level. It is because of this experience that I am compelled to discuss the culture of jihad in the 21st Century. ; Winner of the 2020 Friends of the Kreitzberg Library Award for Outstanding Research in the College of Graduate and Continuing Studies Degree Completion category. ; 1 The Culture of Jihad in the 21st Century Michael J. Bearden Norwich University SOCI401: Cultural and Anthropology Studies Dr. Timothy Maynard April 30, 2020 2 The Culture of Jihad in the 21st Century In the 15-years I have served in the United States Army, the focal point of my tactical and academic study has been almost entirely centered on the Middle East and its unique cultural complexities. As an Infantryman, I was embroiled in the early efforts to prevent a Sunni-Shia civil war in post-invasion Iraq, while also hunting down al-Qaeda operatives under the leadership of Abu Musab al-Zarqawi. A year later, during General Patraeus's troop surge, I was in the urban sprawl of Northwest Baghdad fighting not only a Sunni insurgency, but also the Iranian-backed Jaysh al-Mahdi, comprised of local Shia militia groups. In 2010, I led a battalion reconnaissance team in the Arghandab River Valley of Afghanistan against the Taliban near the very birthplace of their Salafi-jihadist movement. In subsequent years, following my graduation from the Special Forces Qualification Course, I served in the 5th Special Forces Group (SFG) on a variety of missions in support of Operation Inherent Resolve in Turkey and Syria. As a fluent Arabic speaker, I was heavily involved in early efforts to train and equip the Free Syrian Army for its fight against the Islamic State. Following this deployment, I served as a liaison officer to the United States Embassy and Turkish General Staff in Ankara, having daily interaction with foreign dignitaries, defense attachés, and military officials in strategic level planning and coordination efforts. I culminated my time with 5th SFG as the assistant operations sergeant of a detachment fighting the Islamic State in Syria. My understanding of the culture of jihad, the various jihadist groups operating throughout the Central Command (CENTCOM) area of responsibility, and the intricacy of Middle Eastern problem sets as a whole, has come from years of dedicated cultural analysis, in-depth study of Sunni and Shia Islam, and field experience from the strategic to the tactical level. It is because of this experience that I am compelled to discuss the culture of jihad in the 21st Century. 3 Since its beginning in circa 610 CE, when the prophet Muhammad ibn Abdullah was visited by the angel Gabriel in a cave near Mecca, Islam has shaken the foundations of the Middle East and remained in a state of near-perpetual conflict with the Western world. Islam is an Arabic term most closely relating to the English words submission or surrender. Mujahedeen, or holy warriors, spread this new religion by the sword throughout Asia, forcing the "submission" of thousands, and have hardly been at peace with their neighbors since. Centuries later, in the two decades following the attacks on the World Trade Center and Pentagon in the United States, radical Islam's stance against the West has altered the diplomatic landscape between the world's great powers, fundamentally changed the United States' national strategic direction, and caused youth from all walks of life to sacrifice the best years of their lives in holy war to protect the supra-national community of Islam. From the invasion of Afghanistan to the subsequent invasions of Iraq and Syria to the ongoing peace talks with the Taliban, diplomatic and military efforts to eradicate jihadists from the Middle East have to-date been nearly ineffectual. Not only have these efforts failed to contain or defeat jihad, but at times have served to strengthen Islamic extremists' resolve in their call to arms against the West. Because jihad is such a fundamental part of the Islamic faith, it can never be "defeated" in the sense of traditional military eradication of an enemy force, but it can be confronted, contained, or refocused, as this paper will address. I argue that enabling local solutions and promoting education, alongside tailored surgical strike and security cooperation operations where necessary, are the keys to confronting, containing, and countering jihad. 4 Background Defining Jihad and Salafism Jihad is a transliterated form of the Arabic word meaning to struggle or to strive. In the traditional teachings of the Islamic faith, jihad is broken into two distinct categories: Greater jihad and lesser jihad. Greater jihad includes the personal struggle against selfish desires, emphasizing discipline and morality, as well as the struggle against Satan and the forces of evil. It includes jihad of the heart, jihad of the mind, and jihad of the tongue, involving praise for those who follow the will of Allah and correction for those who have gone astray (Gorka, 2016). The second category, lesser jihad, is viewed as the struggle against the enemies of Islam and the defense of its people. Lesser jihad is commonly referred to as Jihad of the Sword. Gorka (p. 60) reveals that, over time, this category of jihad has been used as justification for at least seven different subsets of holy war: 1. Using holy war to build an empire 2. Going after apostate regimes or individuals 3. Revolting against non-pious Muslim leaders 4. Fighting against the forces of imperialism in Muslim lands 5. Countering the West's pagan influence 6. Guerrilla warfare against a foreign invader 7. Using jihad as justification for terrorist attacks against civilian targets In a broad sense, lesser jihad can be viewed as offensive or defensive martial action. On the offensive side, jihadists use religion to justify building an empire, such as the Islamic State, attack apostate regimes, like those of the Taliban against Afghan government forces, and use terrorism against civilians, like the attacks on the World Trade Center. This offensive action 5 often takes jihadists beyond the borders of the ummah, or the people of Islam, striking fear into hearts of unbelievers around the globe. The defensive variety, especially in recent history, has most often correlated directly with the use of guerrilla warfare against foreign invaders, such as al-Qaeda's attacks on the international military coalitions that invaded Afghanistan and Iraq. This radical view of Islam is mostly practiced by those who follow the way of the Salafi, or the pious predecessors from the time of Muhammad, who experienced Islam in its purest form. It is believed that the first three generations who practiced the teachings of the prophet Muhammad are the ones who all Muslims thereafter should try to emulate. Themes of Salafism focus on complete adherence to sharia law, the fight against apostate Muslim regimes, and the spread and protection of Islam and its followers. At its core, Salafism is a very traditionalist view of Islam and has been practiced by multiple 21st Century terrorist organizations. The terms jihad and Salafi have shared such a close relationship in the last few decades that they have become nearly synonymous, at times described as Salafi-Jihadism or Jihadi-Salafism (Gorka, 2016; Nilsson, 2019) What Cultural Influences Lead One to the Path of Jihad? Before the attacks on 9/11, the largest call to jihad answered by the international Muslim community was in response to the Soviet invasion of Afghanistan in 1979. Stopping the spread of communism and defending the ummah against the atrocities of Russian ground forces was seen as a noble and just cause for young Muslim men, and not just among Muslims (Gorka, 2016; Nilsson, 2019). Many nations, including the United States, funded, equipped, and trained the Afghan mujahedeen (those who conduct jihad) for the fight against the Soviet empire. Jihad in the 21st Century has been viewed in a much different light, as it is most closely associated with acts of extreme violence against Western nations. While the piles of rubble that used to be the 6 World Trade Center smoldered, and a gaping hole scarred the wall of the Pentagon, people of the world were forced to ask themselves, "How could a person do this? Why would someone take their own lives and thousands of others in the name of Allah?" Religious Justification for Jihad. Though jihad has become almost entirely associated with Islamic holy war, the term itself is still simply the Arabic word for striving. Struggling against one's selfish desires, striving to maintain traditional values, and defending a community against a common enemy are not just Islamic concepts, they are universal to most tightly-knit cultures. Similarly, Christians and Jews are taught self-discipline, adherence to moral codes, and defending their belief against enemies of their faith. So, why has the Islamic flavor of this common cultural theme become so violent, causing deep unrest around the world in our modern era? Verses from the Qur'an can begin to unpack why horrific public executions, suicide bombings, and advocating for generalized violence against non-Muslims may be justifiable in jihadist culture. The Qur'an (2015) lays out the following decree in chapter 9, verse 29: Fight those from among the People of the Book who believe not in Allah, nor in the Last Day, nor hold as unlawful what Allah and His Messenger have declared to be unlawful, nor follow the true religion, until they pay the tax with their own hand and acknowledge their subjection (p. 208). My personal study of Islam and conversations with Muslims in the field revealed that this bit of prose has been used as motivation and justification for jihad by groups like al-Qaeda, the Taliban, the Islamic State, and Hay'at Tahrir al-Sham of our modern age. Some of the following themes are evident in the translation: 7 • Jews and Christians are recognized as People of the Book, but are required to accept the following—Allah as the one true god, sharia as the acceptable law, and Islam as the one true religion. • If Jews and Christians refuse to accept these statutes, they must pay a tax called the jizyah to show their subjugation. • If they refuse to do either of these, they are to be put to the sword (p. 208). Salafi-jihadist groups such as the Taliban and Islamic State have tried to revive the jizyah tax in areas under their control. Likewise, hundreds of Christians, Jews, and even Muslims who refuse to adhere to strict sharia law have been publicly executed. This vehement enforcement of arcane Islamic law is seen as a return to the purest form of Islam, as pious as the first few generations who followed the Prophet Muhammad. Another common religious cultural theme that ties these jihadist organizations together is a message of religious oppression. They preach to young Muslims that the Islamic world is under siege by the West and that their god, their value systems, and their way of life are being threatened by the evils of capitalism and democracy (Venhaus, 2010). In joining organizations like al-Qaeda or the Islamic State, young men from across the globe find a sense of purpose and direction in their cause to protect the ummah. This theme is manifested in the teachings of Anwar al-Awlaki, the spiritual leader of al-Qaeda and the father of home-grown terrorism in the United States. He calls on Muslims living among those in the West: How can your conscience allow you to live in peaceful coexistence with a nation that is responsible for the tyranny and crimes committed against your own brothers and sisters? How can you have your loyalty to a government that is leading the war against Islam and Muslims? Hence, my advice to you is this, you have two choices: either hijra [migration 8 to an Islamic land] or jihad. You either leave or you fight. You leave and live among Muslims or you stay behind and fight with your hand, your wealth, and your word. I specifically invite the youth to either fight in the West or join their brothers on the fronts of jihad: Afghanistan, Iraq, and Somalia (as cited in Gorka, 2016). This way of thinking is also captured in chapter 9, verse 5 of the Qur'an (2015): Kill the idolaters wherever you find them and take them prisoners, and beleaguer them, and lie in wait for them at every place of ambush. But if they repent and observe Prayer and pay the Zakat, then leave their way free (p. 204). When taken literally, as they are by followers of Salafi-jihad, scriptures such as these leave no choice. To these men who have committed themselves fully to the ways of the pious ones, they are compelled to become shahid, or martyrs in the protection of the ummah. The Qur'an promises paradise for those who do: Surely, Allah has purchased of the believers their persons and their property in return for the Garden they shall have; they fight in the cause of Allah, and they slay and are slain—a promise the He has made incumbent on Himself in the Torah, and the Gospel, and the Qur'an. And who is more faithful to his promise than Allah? Rejoice, then, in your bargain which you have made with Him; and that it is which is the supreme triumph (p. 222). The concept of becoming a martyr in the struggle for Islam is romanticized by jihadist groups, like al-Qaeda and the Islamic State, and even state governments in local programming. In Lebanon, Mothers of Martyrs are interviewed to share the stories of their sons' glorious end while fighting abroad against the infidels (Venhaus, 2010). The Qur'an itself calls this sacrifice the supreme triumph for a jihadist, striving for the glory of Allah. 9 Though enforcing the jizyah, publicly executing those who do not follow sharia law, and seeking opportunities to kill infidels through suicide attacks represent a very small, extremist cultural sect of Islam, each of these practices is still justifiable if one looks to the Qur'an. This could be viewed as no different than a rural Pentecostal church in the Deep South who maintains strict standards for how women must dress and act: it all comes down to interpretation and a community's willingness to subjugate themselves to these standards. Spiritual leaders of jihadist groups in the 21st Century have used the Qur'an as continued justification for a variety of cruel, inhumane, and brutal actions that served to shock the West. The holy book of Islam acts as the essential glue, binding together all facets of Arab and Islamic culture. Artistic Inspiration for Jihad. A far cry from the harsh proclamations of the Qur'an, Arabic poetry predates Islam by centuries and serves as a bedrock of Arabic culture across the Middle East. Early desert nomads composed poems mostly in mono-rhyme and in one of sixteen standard canonical measures, which made them easy to commit to memory (Creswell & Haykel, 2015). Naturally, this beautiful form of cultural expression has found a home in the modern jihadist movement, where it has become an inspiration for new recruits to join the cause and crucial in the sustainment of those already fighting infidels abroad. Creswell and Haykel assert that although analysts have generally ignored this facet of jihadist culture, it is woven deeply into the fabric of modern Islamic extremism. Osama bin Laden, most recognized as the former head of al-Qaeda, was also a highly-celebrated jihadist poet. Without question, his lyrical genius inspired young Arabs with stories of a return to the heroic and chivalrous past of Islam. One of his most famous works celebrates the martyrdom of the 9/11 hijackers. This is a theme among modern jihadist poetry, which preserves the tales of suicide bombers, the conquered apostate regimes of Iraq and Syria, and the glories of jihadist heroes (Creswell & Haykel). Likewise, in a 10 group of individuals who have each traveled far from home to defend Islam against the kuffar, these poems help to establish a sense of cultural identity, strengthening their wartime bond and solidifying their resolve. In seeing the videos of the Islamic State as they carved a path of destruction across large swathes of Iraq in early 2014, it may be difficult for one to believe that its members were motivated by the rhythmic lines of jihadist poetry. It is hard to accept that the same young fighter who is willing to behead an infidel for all the free world to see, could also be found passionately reciting lines celebrating the glorious return of an Islamic caliphate. During its rise, the Islamic State capitalized on the lyrical talent of a Damascus-born woman named Ahlam al-Nasr. In her first broadcast, called the Blaze of Truth, she sang each one of her 107 works a cappella, in accordance with the Islamic State's ban on musical instruments. The video was uploaded to Youtube, receiving thousands of views and further shares on multiple social media platforms (Creswell & Haykel, 2015). In the early days of the group's brutal campaign in Iraq, al-Nasr celebrated victory in Mosul as a new dawn for the country: "Ask Mosul, city of Islam, about the lions— how their fierce struggle brought liberation. The land of glory has shed its humiliation and defeat and put on the raiment of splendor" (as cited in Creswell & Haykel, 2015). Her choice of words helps one sense her deep passion for jihad, hidden within the lines. Mujahedeen are called lions and liberators. Mosul is called both a city of Islam and a land of 11 glory that, because of its liberation, has been released from the chains of shame and can now live in the splendor and pride of its former renown. Poetry has succored those serving in times of war for hundreds, even thousands of years. In the same manner, this key element of artistic cultural expression has helped bind together the modern jihadi movement, capturing the heroic deeds of martyrs who would otherwise remain nameless and unrecognized by the outside world. Serving in lands far away from home, young jihadists find inspiration, strength, and a renewed sense of identity in these haunting bits of rhyme. Social Pressure to Join Jihad. Abdullah Anas was an Algerian who served as one of the mujahedeen in Afghanistan in the 1980s and spent several years studying under Abdullah Azzam, the Palestinian "Father of Resistance to the Soviets" (Gall, 2020). Working to help Algerians achieve nonviolent change in their government, Anas, now in his 60s, has spent a life living and working among jihadists. To Anas, jihad is a fundamental principle of Muslim culture through which mujahedeen receive rewards in heaven: "I will never denounce jihad. As a Muslim, I know this to be a noble deed—where man can be the most beastly" (Gall). In a study of three Swedish jihadists, with experiences ranging from 1980s Afghanistan to the modern fight in Syria, Nilsson (2019) suggests that one of the fundamental social justifications for joining jihad is the sense that Islam and Muslims are collectively under attack. This, again, is a theme that applies to more than just the modern jihadist movement: Americans lined up in droves outside recruiting stations following the attacks on Pearl Harbor and decades later after September 11, 2001. Following the invasion of Afghanistan and Iraq, many Muslims from around the world began to see this not as just the West going after the 9/11 conspirators, but as a global attack on Islam. Each day, fresh news stories of coalition soldiers' crimes against 12 Muslim civilians and pictures of burning villages continued to motivate men to join the fight to protect the ummah from the foreign invaders. Nilsson contends that since most jihadists are very young, in their teens and early twenties, they are very susceptible to the influences of close friends and social groups. Safet, a young Muslim living in Sweden, was pressured by a friend to join the Islamic State in Syria, saying that he became convinced by his friend Ahmed that the group was fighting to protect Muslims (Nilsson). However, after realizing that the Islamic State was actually killing other Muslims in a practice called takfir, or excommunication, Safet became disillusioned and returned to Sweden (Nilsson). From the fight against the foreign invaders in the early 2000s in Afghanistan and Iraq, to the struggle for the establishment of an Islamic caliphate in 2015, it seems jihadists have most often been motivated by the need to protect the international Muslim community. Aside from the social responsibility of defending their faith and people, the need for adventure also seems to permeate the ideations of young men seeking to join a jihadist group. One of Nilsson's (2019) most interesting theories is that jihad is not the radicalization of Islam, but rather the Islamization of radicalism. Individuals who are already naturally predisposed to such adventurous or nihilistic behavior get caught up in the social dynamics of their time, ending up in a jihadist movement. Venhaus (2010) explains that in interviews with over 2,000 al-Qaeda prisoners from Iraq to Guantanamo Bay, he found that young Muslim men sought the cause of jihad for a number of normal social pressures felt by normal teens worldwide: "Revenge seekers need an outlet for their frustration, status seekers need recognition, identity seekers need a group to join, and thrill seekers need adventure" (Venhaus). The Effects of Social Media and Technology on Jihad. In the modern era, news is no longer bound by the time it takes for an article to be published, printed, and distributed across 13 great distance in a community. Social media platforms like Facebook, Youtube, Twitter, and Instagram have made sharing news instantaneous. Additionally, the advent of the smartphone, which acts simultaneously as a hand-held computer, high definition camera, and telephone with nearly world-wide coverage has forever changed the media landscape. In the era of modern jihad, one can post a single video that moves the minds of thousands in a matter of seconds. Following the 2003 invasion of Iraq to topple Saddam Hussein's regime, news stories of atrocity among the efforts of coalition troops over the next decade served to further the cause of local and foreign jihadists to protect the ummah from these invaders. Accidental bombing of civilians, mistreatment of the prisoners at Abu Ghraib, and a general ignorance toward Muslim culture were fueled by social media and smartphone technology. Venhaus (2010) claims that throughout this early phase of the war in Iraq, al-Qaeda very rarely had to actively recruit, their global brand was aggressively promoted through satellite television, internet chat rooms, and social media platforms; willing candidates sought them out. This use of media continued to be perfected by jihadist organizations like the Islamic State, who published a digital magazine called Dabiq, named for the ideological capital of the proposed caliphate, which rallied Muslims to jihad through stories of glory and heroism in the cause for Islam. The Islamic State also posted grisly execution videos, with stunning music and production value, including super high-definition shots of their brutality. Publications and videos such as these could be copied, saved, shared, and re-shared before any sort of government intervention could stop them. Creswell and Haykel (2015) reveal that jihadists were running a massive, secret network of social media websites and fake accounts that could be rapidly assembled and dissembled by hackers. The effects of social media and technology on modern jihadist culture are easy to understand, but challenging to measure in scope and reach. Just as easily as videos of Islamic 14 State propaganda or poetry can be shared, so too can stories of coalition force atrocities in Afghanistan and Iraq. This has put strategists in a unique position, where it is nearly impossible to control the narrative. Unfortunately, the story that breaks first is still the one that is liked and shared the most, even if the truth comes out after. Effects of Western Culture on Jihad. Rapid globalization, including the widespread diffusion of the internet and technology into the Middle East in the last two decades has continued to foment jihadist hatred for the West. Personal conversations with multiple Muslims in Iraq and Afghanistan revealed that the decadence, lavish richness, and sinful lifestyles portrayed by Western movies and media served to fuel the fires of disdain among the pious Salafi-jihadists. Additionally, Muslim men living in Western nations following the attacks on the World Trade Center were ostracized and feared by society, often leading them to an eventual radicalization process. Being denied a peaceful coexistence because of continued Western misperception, caused many young Muslims to become angry and seek community and brotherhood among other Muslims experiencing the same problems. Venhaus (2010) notes that out of the over 2,000 captured jihadists interviewed, more than 30 per cent of them sought al-Qaeda because they were angry. Under the tutelage of local al-Qaeda mentors, the frustrations of these young men were then turned upon their neighbors through careful instruction and manipulation. They were taught to see the West as the enemy of Islam, with hundreds of the ummah being harmed by their military coalitions in Afghanistan and Iraq each day. They were instructed in the ways of the pious ones who came before them, inspiring them to turn from the sinfulness of their Western neighbors and take pride in their newfound self-discipline and righteousness in the eyes of Allah. Eventually, many of these young men would travel to their 15 ancestral homelands to join the struggle, or conduct terrorist attacks on their own Western communities. Analysis A Unique Challenge Given the litany of reasons one might join jihad, the incredibly complex cultural and social environment, and the fluidity of the modern jihadist movement, how can the United States begin to contain this problem? The reasons one individual might join a jihadist cause are as various and sundry as why one might choose to join any movement or profession over another. As Nilsson (2019) and Venhaus (2010) have detailed, there appears to be no singular marker: one could be an extremely religious or a passive Muslim, rich or poor, single or married with a family, have a completely stable social life or be isolated with no friends. Jihadists can be from any country, any walk of life, and usually do not widely broadcast their intentions prior to taking part in acts of violence for the cause of Islam. It is because of the near-impossibility of clearly identifying a pattern of distinguishable cultural markers that make it such a challenge for the United States government and its allies to address the threat of jihad. Targeting an individual before they become a jihadist or before they commit a terrorist act has been one of the most formidable challenges of our time for military and law enforcement professionals alike. Usually, the much simpler job is finding a jihadist who has allowed their communications discipline to slip before an act, or catching them in a pitched battle on foreign soil. In order to protect citizens of the West and East alike against jihadists' aims, the United States Government must be prepared to confront, contain, and counter the jihadist narrative "left of bang," before an attack occurs. 16 The Global War on Terrorism: Taking the Fight to the Jihadists. In the months that followed September 11, 2001, President George W. Bush deployed Central Intelligence Agency (CIA) paramilitary officers and US Special Operations Forces (SOF) to find, fix, and finish pockets of al-Qaeda militants being harbored by the Taliban in Afghanistan. A fierce campaign of relentless aerial bombardment and mounted assaults by the forces of the Afghan Northern Alliance led to a swift and decisive defeat of al-Qaeda and the Taliban. With Kabul and Kandahar in allied hands, and an interim government established under the leadership of the Pashtun Hamid Karzai, the future of a free and prosperous Afghanistan seemed assured, but what came to be known as The Long War had only just begun. Trillions of dollars, thousands of lives, and 19 years later, the United States and its allies have been forced to the negotiating table with the Salafi-jihadist Taliban. Likewise, after Saddam Hussein's continued disregard for international law, threats against the United States, and open violence against his own people, the administration of President Bush decided again to pursue a military option. Much like Afghanistan, the coalition was led by CIA operatives and SOF operators, coordinating airstrikes on key positions in a tactical display of American firepower affectionately titled Shock and Awe. However, unlike Afghanistan, a massive conventional invasion followed the bombing campaign, bent on toppling the Baathist regime and finding Saddam's chemical weapons stockpiles. What followed was a series of policy failures, leading to a steady influx of jihadists partnering with local insurgents seeking to oust the foreign invaders and protect the ummah from the atrocities of the kuffar. In my professional opinion, Iraq is still recovering from the decade-long military occupation, cleaning up the destruction left by the Islamic State, and on the brink of civil war due to concerns about being an Iranian puppet state. 17 Ineffective Military Methods to Combat Jihad Operation Iraqi Freedom. During my first combat rotation as an Infantryman in the Triangle of Death in southern Iraq in 2005-2006, I experienced the initial rumblings of a civil war between the Sunni and Shia Muslims in Iraq, each wrestling for power in a post-Saddam world. I was also witness to the inundation of foreign jihadists, joining the ranks of al-Qaeda in Iraq under the leadership of Abu Musab al-Zarqawi, who at times headquartered in my area of operations. As I analyze our highly-kinetic and aggressive initial campaigns years later, I can see that the coalition's fight, first against Saddam, then against al-Qaeda, only bolstered jihadist motivation. In being a foreign invader, we inadvertently created a jihadist resistance movement, bent on the removal of their occupiers. Kilcullen (2010) explains this dilemma by explaining that focusing on the wrong metrics in a fight against insurgents can be deceptive: If you kill 20 insurgents, they may have 40 relatives who are now in a blood feud with your unit and are compelled to take revenge. Again in 2007-2008, I was deployed to Iraq as an Infantry squad leader to the sacred city of Khadimiyah in Northwest Baghadad. This was during the famous troop surge, meant to fix the ongoing problems with stability throughout the country. Being in the home of the beautiful Shrine of the Seventh Imam, it was a predominantly Shia area. Over the course of 15 months, my unit fought several engagements against Iranian-backed Shia militias and worked on project after project to strengthen local civil infrastructure, all while maintaining the utmost discretion against damaging homes or creating civilian casualties. Yet again, although we had conducted a nearly perfect counterinsurgency fight, it seemed that Kilcullen's insurgent math still applied: Fighting the jihadists only served to create more unrest within the population, no matter if we were restoring essential services and reducing damage to homes or not. 18 Operation Enduring Freedom. Nearly a decade after the fall of al-Qaeda and its Taliban hosts, I was deployed to the mountains of Afghanistan from 2010-2011. Stationed along the Arghandab River, just north of Kandahar, we were in the heart of the Pashtun Taliban. Again, the same story remained true: We fought the Taliban jihadists almost daily, but could not seem to win over the true key terrain in a counterinsurgency fight: The hearts and minds of the people. The Taliban would harass our unit's base of operations with a few pop shots as we called them, which would unleash a massive response in firepower and resources. Thousands of rounds of machine gun ammunition would be fired into the farm fields surrounding our Combat Out Post (COP), squads would be sent in pursuit of the attackers, and helicopters would spend hours scouring the terrain in an attempt to heap justice on the insurgents. This massive effort against so few served to erode the unit's motivation, exhaust our supplies, and alienate the civilian population whose homes and fields had been damaged in the process. Reflections on Personal Combat Experience. After years of combat experience and deeply studying Muslim culture, I can now see how the mistakes the coalitions made early-on in both operations only fueled the fires of insurgency, resistance to foreign occupiers, and generalized hatred for the West. Porch (2013) argues brilliantly that US counterinsurgency doctrine made the same mistake as its imperialistic predecessors of centuries before: Believing that military action was a proper vehicle for providing Middle Easterners with Western values, as well as a foundation for governance, social programs, and economic transformation in a region. This became evident in my own experience, realizing that no matter what sort of social, infrastructure, or economic programs ran alongside our military efforts, the people of both Afghanistan and Iraq felt the enormous social weight of being occupied by a foreign power, rendering these efforts nearly ineffectual. On the contrary, local and foreign jihadist movements 19 capitalized on each and every mistake of coalition forces, increasing their recruitment and resolve against the West. Though our military may have been winning every major battle against the jihadists, our policy makers and field commanders made the fundamental mistake of believing that these non-Western nations lived in some sort of time-warp, in which the adoption of Western democracy, rule of law, and capitalism would allow them to thrive as a nation (Porch). Effective Military Methods to Combat Jihad Surgical Strike and Precision Targeting. A unique feature of the Global War on Terrorism was the US military's continued perfection of covert strike operations with surgical precision deep into enemy safe havens. This was put on display in the rout of al-Qaeda by CIA and SOF in Afghanistan, in the kill/capture missions against the Baathists in the deck of cards in Iraq, and later in the killing of Osama bin Laden in Pakistan and Sheik Abu Bakr al-Baghdadi in Iraq. Having the ability to appear out of nowhere in the middle of the night, kill or capture an intended target with zero damage to infrastructure or civilian casualties, and leave within minutes of arrival struck fear into the hearts and minds of jihadists across the globe. The success and efficacy of this type of operation was acknowledged in the 2015 National Military Strategy, which stated: "The best way to counter VEOs [violent extremist organizations] is by way of.military strengths such as ISR, precision strike [emphasis added], training, and logistical support" (p.11). Likewise, President Obama's massive expansion of the use of drones, which could watch individuals for days and execute a precise strike that only touched the intended target, has continued to sow fear and deny jihadists' freedom of maneuver on a global scale. The US military and its allies have only continued to master these types of operations throughout the 20 fights in Afghanistan, Iraq, Syria, and other locations. The jihadists know this, and realize that one wrong move at any time could mean disaster. Security Cooperation. An additional theme that has spelled the end for jihadists throughout the globe has been the training, advising, and equipping of security forces and partners within Afghanistan, Iraq, Syria, and other nations. Enabling the host-nation military to handle jihadist movements on their own helps the United States military work itself out of a job. US Army Special Forces are uniquely suited to accomplish this mission: With specialized training, language capability, and cultural understanding, they are able to train foreign security forces through a variety of Principle Tasks. These tasks include Foreign Internal Defense, which focuses on a holistic approach to internal security and protection of citizens against lawlessness and insurgency, and Security Force Assistance, which can be focused internally or externally against threats to a nation's stability and security. The success of these mission sets was evident in 2014, during my own experience with the Afghan Commando Kandaks' continued fight against the Taliban and in closely following the Iraqi Counterterrorism Service's efforts against the Islamic State. Both of these forces, built from the ground-up by US Army Special Forces have continually fortified weak conventional military force operations against jihadist groups in their respective nations. Muslim Youth Efforts Against Jihad Globalization, though it has been proven to bolster the jihadists' narrative against the West, has also been beneficial to the movement against jihad itself. Because youth of the world have access to technology that allows them to see the atrocities and lies associated with global jihadist organizations, they are beginning to turn the tide. During the Islamic State's rise to power in Iraq and Syria, Muslim youth from across Europe travelled to join the jihadists in their 21 fight against the West. However, groups of Muslim youth also spoke up to counter this narrative. In 2015 the Muslim Youth League, an anti-Islamic State cultural movement, declared a holy war against all extremist organizations (Dearden, 2015). The group called on all Muslims to stand united against those who have hijacked Islam and misrepresented the faith. Through engagement work in schools and communities, as well as a robust online campaign, the Muslim Youth League is fighting back against jihadist propaganda that bids young Muslims join the Islamic State and other extremist groups (Dearden). Since the time of this publication, the Muslim Youth League has spread to several countries throughout the Middle East, Asia, and Europe, each with their own social media presence, outreach programs, community events, and websites. Local Government Efforts Against Jihad In the years following the Islamic State's spread across Iraq and Syria, the United Kingdom has developed a robust strategy to help at-risk Muslims avoid the radicalization process. The program itself is called Contest, and includes four distinct categories: Prevent, Prepare, Protect, and Pursue (British Broadcasting Corporation [BBC], 2017). Police departments and social organizations have built relationships with doctors, faith leaders, teachers and others, who are required to report suspicious persons to the proper authorities. In response to these reporting requirements and recommendations, over 7,500 reports were filed between 2015-2016, with one in 10 being actionable intelligence for government and police forces (BBC). In 2015 alone, over 150 people, including 50 children, were kept from traveling to conflict zones in Iraq and Syria (BBC). The strategy has of course drawn criticism, for fear that it will further alienate Muslims from their local communities, but it presents as an excellent plan of action for identifying individuals who are at risk beyond just using traditional signals intelligence and 22 surveillance techniques. It does more than just target the individual, it also seeks to reform them through education, outreach, and community programs. Counterarguments You Can Kill an Idea. I have heard the opinion throughout my time in the military that jihad and the idea of Islamic supremacy can be completely eradicated. The example most often given is that Nazism, including the idea that the Aryan race was superior to all others, was effectively destroyed by a global military campaign. This argument is weak. The Nazis represented a very small portion of German culture, including among those serving in the military, so it was relatively easy to contain once there was an overwhelming military victory by the Allies. However, although the German Army of the 1940s was defeated militarily, the idea of white supremacy lives on in small social groups throughout the world to this day. The Ongoing Taliban Peace Talks. I have colleagues throughout the military who are convinced that the current negotiations with the Taliban are a key indicator of success in our two decades at war against the Salafi-jihadist group. The issue with this is that temporary cease fires have already been violated several times, leading one to believe that the strategic level leadership's messages are simply not reaching their subordinates or that local factions are not adhering to the agreement. Trusting that radical Muslim extremists will not allow Afghanistan to become a future safe haven for other jihadists, as it has in the past, is simply unrealistic. Believing some sort of quasi peace deal is going to miraculously pacify an organization that hates everything the West stands for is misguided. My own experiences throughout the Middle East have proven that the spirit of jihad and hatred will live on in Afghanistan. The Islamic State is Nearly Defeated. Multiple global media outlets continue to run stories about the dismantling of the Islamic State, as though the battle is won. Though Sheik Abu 23 Bakr al-Baghdadi has been killed, and the proposed Islamic caliphate was never fully realized, it would be naïve to think that the Islamic State's jihad is over. The movement will metastasize and take on new forms in other parts of the globe: It is already happening. Jihadists are continually leaving the battlefields of Iraq and Syria, headed back to their former homes in mainland Europe. As these individuals reenter the diaspora, the concern is that they will radicalize other individuals and conduct terrorist attacks within the continent. Conclusion The reasons an individual seeks to join a jihadist movement are deeply rooted in personal social dynamics, the security situation of their country, and a multitude of other religious, cultural, and economic factors. I agree with Venhaus (2010) and Gorka (2016) who assert that there is no singular military operation or strategy that can bring about a decisive victory against something so intangible as why one might join the modern jihadist movement. Use of the US military as a vehicle for the establishment of Western democracy and nation-building efforts in tribal nations like Afghanistan and Iraq only served to invigorate the jihadists' call to arms. Jihad is not something that can be eradicated completely by military force. Jihad must be confronted, contained, and countered through a comprehensive approach that empowers state and non-state actors to develop local solutions and directs expeditious military applications only where completely necessary. Recommendations Promote and Protect the Muslim Youth Leagues In order to truly create a cultural paradigm shift in Muslim youth at risk of radicalization, groups like the Muslim Youth League (BBC, 2017) should be promoted by governments worldwide as a bastion of true and peaceful Islam. While they should no doubt be supported, 24 governments must also protect these organizations from becoming targets for violent acts of terrorism or influence operations by jihadists. Through a combination of deep cultural understanding and positive messaging, the Muslim Youth League has already shown its effectiveness in the United Kingdom and beyond. Because the youth of each nation understand the social pressures and cultural influences that may lead one to seek jihad, they can effectively develop tailored, local solutions to persuade at-risk individuals. The Muslim Youth Leagues are on the front lines of countering the jihadist worldview, taking a stand and declaring war on jihad and its misrepresentations of Islam. Enable Local Solutions for Local Problems This should be accomplished through unified government action that involves all the United States' instruments of national power including diplomacy, information sharing, military action where necessary, and economic stimulus as needed. The specific issue with efforts like these, is that they cannot be accomplished during what is perceived by locals as a military occupation. This was proven true in Afghanistan and later in Iraq. Despite massive efforts to rebuild infrastructure, aid in agricultural processes, build schools, and organize community projects, the United States and its allies were still viewed as pushing Western values and democracy on nations through military occupation. As much as possible, we must limit our military presence in areas that are ripe for developing a jihadist movement, or in ones that are recovering. I have seen firsthand that government efforts against jihadist organizations or at-risk communities have often been fragmented, poorly staffed, and uncoordinated. Venhaus (2010) suggests the creation of an agency that is staffed, trained, funded, enabled, and equipped for strategic communications, calling it the United States Strategic Communications Agency. An 25 agency like this could ensure that a comprehensive national communications strategy is developed and achieved, with a focus on enabling local community efforts to counter the jihadist narrative. By promoting social outreach, religious education, and community programs, this agency could bolster the efforts of community leaders and stifle jihadist aims in their areas. Support Religious Education and Reintegration Reintegration programs in Saudi Arabia, Indonesia, Singapore and elsewhere have successfully rehabilitated former jihadists through religious education (Venhaus, 2010). Countering the apocalyptic world view of jihadist groups like al-Qaeda and the Islamic State requires local religious leaders who understand their community's issues to band together and refute the extremist narrative. Through careful, patient, and individually-tailored instruction, Muslim religious leaders can invalidate each and every one of the extremists' claims. Individuals who turn to jihad are often seeking this type of direction, they just find it in the wrong places. Counter Threats with Tailored Military Force Packages Continued themes among the military failures in counterinsurgency and counterterrorism operations during the early years of the Global War on Terrorism are indiscriminate use of force, lack of cultural understanding, and hyper-focus on tactical gains while failing at the strategic level. US government nation-building efforts on the backs of the military cost our country trillions of dollars, thousands of lives, and years of frustration, bogged-down in an endless quagmire of misunderstanding. US Army Special Forces are selected, trained, equipped, and enabled to clandestinely handle complex problem sets in denied or politically-sensitive environments. Each Special Forces Group is regionally-aligned, with Operational Detachments developing deep cultural understanding through Area Studies and continuous relationship-building with regional state and 26 non-state actors. Special Forces operators understand the complex cultural and security situations in their areas of responsibility and have the language capability and strategic understanding to operate with complete independence of outside support. Frankly, if given the authority and autonomy to do their jobs, Special Forces can coerce, disrupt, or overthrow jihadist organizations unilaterally, or train, advise, and equip foreign security forces to accomplish this task on their own. This can all be done independent of a large, slow, and expensive conventional military occupation. Organizations like al-Qaeda must be kept in a state of constant fear and uncertainty. US Special Operations Forces are uniquely suited to this task. Through structured, rapid application of military force, SOF can find, fix, and finish intended targets with surgical precision. This has proven true in the capture of Saddam Hussein and the elimination of Osama bin Laden and Abu Bakr al-Baghdadi, among numerous other targets throughout the Global War on Terrorism. Continuing to deny safe havens through short, precise applications of combat power is crucial and does not rely on a conventional military occupation of the target area. Operations such as these, characterized by discriminate use of force and strategic impact, should be the main avenue for denying the relative safety, security, and freedom of maneuver of jihadist organizations. 27 References British Broadcasting Corporation (2017, June 4). Reality check: What is the prevent strategy? Reality Check. https://www.bbc.com/news/election-2017-40151991. Creswell, R., & Haykel, B. (2015, June 1). Battle lines: Want to understand the jihadis? Read their poetry. The New Yorker. https://www.newyorker.com/magazine/2015/06/08/battle-lines-jihad-creswell-and-haykel. Dearden, L. (2015, March 21). 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Nilsson, M. (2019, 18 June) Motivations for jihad and cognitive dissonance: A qualitative analysis of former Swedish jihadists. Studies in Conflict and Terrorism. https://doi.org/10.1080/1057610X.2019.1626091. 28 Porch, D. (2013). Counterinsurgency: Exposing the myths of the new way of war. Cambridge University Press. Qur'an (M. Ali, Trans.; 7th ed.) (2015). Islam International Publications. (Original work published ca. 1537). Venhaus, J. (2010). Why youth join al-Qaeda. Special Report, 236(1), 1-12. https://www.usip. org/sites/default/files/SR236Venhaus.pdf.
