Suchergebnisse

This study investigated a behaviour of South Africa's economy towards inflows of foreign direct investment (FDI) from Brazil, Russia, India and China (BRICs) economies, during the period 1997 to 2016. The BRICs bloc was coined in 2001 by then chairperson of Goldman Sachs Asset Management, Jim O'Neil. According to Goldman Sach (2001), the BRICs group was collectively expected to overtake the major economic powers over the span of a few decades. Their growth is expected to shape a new economic order and replace the currently dominant advanced economies. South Africa joined the BRICs bloc in 2010 as the jeweler of the world and as a gateway to Africa. It joined the BRICs group at the time when economic growth was at a sluggish rate, and the savings and investment were at the lowest rate. The country had a high unemployment rate, high levels of poverty and income inequality. On the other hand, the BRICs economies had limited intra-BRICs flows amongst themselves. It is against this background that this study investigated the long run impact of BRICs FDI inflows on South Africa's economic growth, and the causality relationship between South Africa's economic growth and BRICs FDI inflows. This study contributes to the body of knowledge of economics in South Africa and the literature on foreign direct investment and economic growth in South Africa. The study employed two cointegration methods to investigate the behaviour of South Africa's economy towards inflows of foreign direct investment from BRICs economies. These are fully modified ordinary least squares (FMOLS) and dynamic ordinary least squares (DOLS). For granger causality, the study employed Stacked and Dumistrescu Hurlin tests. All the models used time series annual data from 1997 to 2016. The Unit root test results confirmed that the variables were stationary at first difference using panel Im, Pesaran, Shin (IPS) and Levin, Lin, Chu (LLC). The research employs four regressions, first, Economic growth and foreign direct investment (i.e. private sector, banking sector and both sectors), human capital, physical capital, household consumption, government expenditure, exports, and arable land; Second, Employment and foreign direct investment, human capital, physical capital, household consumption, government expenditure, exports, and arable land; third, Economic complexity and foreign direct investment, human capital, physical capital, household consumption, government expenditure, exports, and arable land; finally, Unemployment and foreign direct investment, human capital, physical capital, household consumption, government expenditure, exports, and arable land. The cointegration results for private FDI and economic growth, employment, economic complexity, and unemployment. The results show only economic complexity has significant effect on foreign direct investment and other variables show insignificant results. However, this effect is smaller compared to other growth determinants which are included in the regressions. The cointegration results for bank FDI. These results show more similarities with private FDI results and few differences. However, this effect is smaller compared to other growth determinants included in the regressions. These growth determinants, however, show a positive effect of human capital and household consumption on economic growth which is expected. Other interesting results are exports being positively related with economic growth and unemployment but negative with employment and insignificant with economic complexity. Another one is government spending negatively influence economic growth, employment and positively influence unemployment. But insignificant for economic complexity. Total FDI results and other variables. These results are also similar to private and bank FDI results discussed above. Economic complexity shows significant effect with foreign direct investment, yet other variables are insignificant. . Further results show human capital positively related with economic growth, which is expected. However, physical capital and household consumption negatively affects growth. Another one exports show positive influence on economic growth but negatively related with employment. Yet, insignificant with economic complexity and unemployment. Other results government spending shows negative influence with employment but insignificant with economic growth, economic complexity and unemployment. The results for nonlinearity between the variables under review. The results that employment and economic complexity are nonlinear with foreign direct investment and no nonlinearity between unemployment, economic growth and foreign direct investment. For employment, low levels of foreign direct investment (LFDI_private) adversely affects employment but at higher levels (FDI_private_SQ) is insignificant. For economic complexity, low levels of foreign direct investment are insignificant for economic complexity but at higher levels there is a positive effect of squared foreign direct investment on economic complexity. Further results show that economic growth and employment are nonlinear with human capital, physical capital, household consumption and exports. Physical capital and household consumption adversely affect economic growth, yet positively affects employment. Human capital positively affects economic growth, employment, and unemployment. Exports positively affect economic growth, but negatively affect employment. Further results show nonlinearity between employment and government expenditure. Government expenditure adversely affects employment. Also, economic growth and unemployment show nonlinearity with arable land. Arable land adversely affects economic growth but positively affects unemployment. Nonlinear results for economic growth and economic complexity with foreign direct investment but no nonlinearity in other remaining variables. For economic growth, low levels of foreign direct investment there is a positive effect of foreign direct investment on economic growth, however, at higher levels foreign direct investment are insignificant. For economic complexity, low levels of foreign direct investment are insignificant, yet, higher levels of foreign direct investment there is a positive influence of foreign direct investment on economic complexity. Further results show economic growth and employment that are nonlinear with human capital, physical capital, and household consumption. Human capital positively affects both economic growth and employment. Physical capital and household consumption are adversely affecting economic growth, yet positively affects employment. Further results show nonlinearity between economic growth and government expenditure. Government expenditure adversely affects employment. More results, employment, and unemployment show nonlinearity results with exports. Exports adversely affect employment but positively affects unemployment. Results show economic growth and unemployment that are nonlinear with arable land. Arable land adversely affects economic growth, but positively affect unemployment. Nonlinear results for economic complexity only and other variables show no nonlinearity in the regressions. For economic complexity, low levels of foreign direct investment are insignificant, but at higher levels of foreign direct investment there is positive effect of foreign direct investment on economic complexity. More results show economic growth and employment that are nonlinear with human capital, physical capital, household consumption and exports. Human capital and exports positively affect economic growth, employment, and unemployment. Whereas, physical capital and household consumption adversely affects economic growth and unemployment, yet positively affects employment. Further results show nonlinearity between employment and government expenditure. Government spending adversely affects employment. Further results show nonlinearity between economic growth and unemployment with arable land. Arable land positively affects unemployment, yet adversely affects economic growth. The following section discusses granger causality results. This study also employed granger causality tests. The causality results between economic growth, employment, economic complexity, unemployment, and private foreign direct investment. The causality results show that there is granger causality between economic growth and economic complexity with private foreign direct investment. Whereas, between bank foreign direct investment and other variables there is no granger causality. However, between total foreign direct investment and economic growth and employment there is granger causality. There are a number of policy recommendations that can be drawn from the study. The study results in overall revealed that BRICs (private and bank) FDI inflows had a positive impact on South Africa's economic growth between 1997 and 2016. The study results suggest that the policy makers should focus the attention on lobbying foreign direct investment from BRICs economies, since this study shows positive impact and relationship between South Africa's economic growth and BRICs FDI inflows. The BRICs economies should focus on enhancing investment partnership, preventing protectionism, and promoting intra-BRICS flows. In addition, South Africa should eliminate barriers affecting business with BRICs countries. Policy makers should promote the building of new companies (for example Greenfield Investment) so that the economy of South Africa could grow and create employment. ; Thesis (MA) -- Faculty of Business and Economic Sciences, Economics, 2021

This dissertation discusses the potentials and pitfalls of empirical economic research. Several pieces of applied research illustrate the discipline's diverse use of statistical methods as well as their applicability to different topics. Empirical economic research uses empirical evidence to test hypotheses and statistical inference to uncover general rules. However, very often several rules or causal mechanisms exist that can equally well explain the investigated outcome. This can be problematic whenever statistical inference does not yield convincing results, i.e. the degree of the study's internal validity is low. Although many different statistical tools and techniques have been developed to increase the degree of internal validity, in practice it remains difficult to claim causality. One reason for this is that the quality of statistical inference depends on the appropriateness of the chosen statistical method. Another reason is that causality requires that competing alternative explanations for an estimated statistical relationship are addressed and at best can be dismissed. Thus, an empirical study's overall quality depends critically on an author's judgement and knowledge of the environment in which the outcome is nested. Given the importance of personal perception it is not surprising that the validity of results in many studies in empirical economics is heatedly discussed in- and outside the community. At the beginning of this dissertation the current status of this academic debate is reproduced, leading to the conclusion that there is no panacea for causal inference. Instead, it is proposed that several equally sensible strategies to strengthen causality exist and that their selection depends on the specific research question and setting. While this still allows the author to base decisions on personal perception it also stresses that justifications are required. Hence, each new study demands a tailored research agenda in which the choice of statistical methods and the existence of alternative explanations are transparently discussed. Subsequently to the discussion, three independent papers illustrate that there is indeed no blueprint procedure to conduct empirical economic research. The first paper addresses the question whether individuals react to natural disasters by adjusting their saving behavior. The study applies statistical tools commonly used in applied microeconomic research. The research design uses quasi-experimental variation in a panel survey to infer a causal relationship between flooding and saving behavior. The study finds that from the flooding affected individuals save less in subsequent years. While the study's internal validity is rather high, the generalizability of the relationship remains to be seen. Several alternative explanations for the observed behavior are discussed and evaluated. The concluding explanation is that unusually high amounts of post-disaster financial aid induces moral-hazard-behavior. Thus, the paper makes a case for policy makers to carefully design post-disaster aid payments so as to minimize the possibility of detrimental reductions in individual precautionary efforts. The second paper investigates the link between foreign education and domestic productivity. The paper uses aggregate data, thus encountering statistical challenges commonly occurring in applied macroeconomic research. The research design focuses on the dynamic structure of the data. The paper finds that the more students a country sends to the U.S., the higher subsequent domestic productivity growth rates will be. Additional analyses show that this effect is driven by developing countries. It is argued that the relationship is causal because foreign students transfer productivity enhancing skills from the U.S. to their home country. However, the data does not reveal whether foreign students indeed return and therefore causal inference is weaker than it could be otherwise. Measures to overcome this shortage are presented and applied. Nonetheless, the extent of the data allows for a certain generalizability of the results. In conclusion, the study suggests that foreign education poses a viable additional strategy for economic development. Finally, the third paper addresses a research question from the field of empirical industrial organization. Specifically, the paper tests whether prices for an abatement technology are influenced by the type of environmental regulation of polluting sources. In order to test this relationship, the paper's research design combines a structural economic model with quasi-experimental empirical evidence. The paper finds that the price of abatement technology is significantly higher for those polluting sources that are participating in a permit trading scheme. Causal inference relies on the quasi-experimental nature of the data and the theoretical derivations from the structural model. However, it remains empirically challenging to exclude alternative explanations as doing so considerably strains the scope of our data. In the end, the study's results should caution policy makers to consider that regulatory instruments can have unintended side-effects hampering the diffusion and adoption of abatement technology by increasing its price. The final section discusses the role of empirical research in the overall process of scientific progress. The importance of diverse and comprehensive empirical economic research is emphasized. Finally, it is concluded that empirical research with all its outgrowth is essential to establish something like an objective truth'' in economic science. ; Die vorliegende Dissertation beschäftigt sich mit den Möglichkeiten und Grenzen der empirischen Wirtschaftsforschung. Anhand mehrerer Forschungsarbeiten verdeutlicht sie die Anwendbarkeit statistischer Verfahren auf verschiedene Fragestellungen aus den Wirtschaftswissenschaften. In der empirischen Wirtschaftsforschung werden Beobachtungen statistisch ausgewertet, um Hypothesen zu testen und allgemeine Regeln aufzudecken. Die Herleitung eines kausalen Zusammenhangs zwischen zwei Ereignissen gilt dabei als ein wichtiges Ziel. In der Praxis erweisen sich kausale Schlussfolgerungen allerdings als überaus schwierig. Ein Grund hierfür ist, dass der Gegenstand empirischer Wirtschaftsforschung - unsere Gesellschaft - ein komplexes und dynamisches System ist. Eine allgemeingütige Blaupause, mithilfe welcher sich kausale Zusammenhänge belegen lassen, lässt sich daher kaum entwickeln. Vielmehr hängt die Herleitung eines kausalen Zusammenhangs von den konkreten Faktoren des Einzelfalls ab. Solche Faktoren sind die Forschungsfrage, die Qualität der Daten und das Umfeld, in welchem diese erhoben wurden. Sie bestimmen anschließend das Forschungsdesign und die Auswahl eines geeigneten statistischen Verfahrens. Eine empirische Studie ist somit in vielerlei Hinsichten einzigartig. – Daher ist es auch nicht verwunderlich, dass Kausalitätsbehauptungen in Bezug auf empirische Ergebnisse in den Wirtschaftswissenschaften häufig kontrovers diskutiert werden. Zu Beginn dieser Dissertation wird eine aktuelle Diskussion zur Herleitung von Kausalität in der empirischen Wirtschaftsforschung wiedergegeben. Aus dieser Diskussion geht hervor, dass es momentan kein Allheilmittel für kausale Inferenz gibt, sondern stattdessen mehrere gleichermaßen sinnvolle Strategien für die Herleitung von Kausalität existieren. An die Wiedergabe und Auswertung der Diskussion schließt sich die Darstellung dreier unabhängiger empirischer Studien an. Jede dieser Studien befasst sich mit einem anderen Themengebiet der Wirtschaftswissenschaften, wobei Forschungsdesign, Auswahl der empirischen Methoden und die Art der kausalen Herleitung variieren. Die drei Studien illustrieren somit mehrere Punkte, die sich aus der Diskussion in der Einleitung ergeben haben. Der erste empirische Beitrag in dieser Dissertation geht der Frage nach, ob Opfer von Naturkatastrophen im Anschluss an ihre Erlebnisse ihr Sparverhalten verändern. In der Studie werden statistische Methoden verwendet, die üblicherweise in der angewandten mikroökonomischen Forschung verwendet werden. Das Forschungsdesign nutzt die durch eine Flut generiete quasi-experimentelle Variation in einer Panelbefragung aus, um einen Kausalzusammenhang zwischen Betroffenheit und Sparverhalten abzuleiten. Die Studie zeigt, dass von den Überschwemmungen Betroffene in den Folgejahren weniger sparen. Während der Grad der kausalen Schlussfolgerung hoch ist, bleibt es abzuwarten, ob sich der Zusammenhang auf andere Situationen übertragen lässt. Es werden mehrere Gründe für das beobachtete Verhalten diskutiert und gegeneinander abgewogen. Die Studie kommt zu dem Ergebnis, dass ungewöhnlich hohe Hilfszahlungen zu einem sogenannten Moral Hazard-Verhalten'', also einem verantwortungslosen Verhalten aufgrund von Fehlanreizen, führen können. In dem untersuchten Fall haben die Hilfszahlungen zu einer Verringerung im Vorsorgeverhalten bei Betroffenen geführt. Die Studie plädiert daher dafür, dass politische Entscheidungsträger etwaige Hilfszahlungen nach einer Katastrophe sorgfältig planen, um einen nachteiligen Einfluss auf individuelle Vorsorgemaßnahmen zu vermeiden. In der zweiten Arbeit wird die Verbindung zwischen einem Studium im Ausland und heimischer Produktivität untersucht. Das Papier verwendet dafür aggregierte Daten und befasst sich aus ökonometrischer Sicht mit bestimmten statistischen Herausforderungen, die häufig in der angewandten makroökonomischen Forschung auftreten. Das Forschungsdesign fokussiert sich auf die dynamische Struktur der Daten, um einen kausale Herleitung zu ermöglichen. Gezeigt wird, dass die Anzahl von Studenten, die ein Land in die USA schickt, sich positiv auf die Produktivitätszuwächse dieses Landes in den Folgejahren auswirkt. Des Weiteren kann gezeigt werden, dass dieser positive Zusammenhang nur für Entwicklungsländer gilt. Dies erscheint plausibel, da insbesondere die Bevölkerung aus Entwicklungsländern durch den Transfer produktivitätssteigernder Fähigkeiten aus den USA in ihr Heimatland profitieren sollte. Die Ergebnisse deuten daher an, dass es tatsächlich einen positiven Kausalzusammenhang zwischen Auslandsstudium und heimischer Produktivität gibt. Da die Daten jedoch nicht darüber informieren, ob ausländische Studenten wirklich zurückkehren, ist die kausale Inferenz schwächer, als sie es sonst sein könnte. Hingegen erlaubt der Umfang der Daten eine gewisse Generalisierbarkeit der Ergebnisse. Zusammenfassend lässt sich festhalten, dass die Förderung eines Auslandsstudiums eine sinnvolle zusätzliche Strategie für eine erfolgreiche internationale Entwicklungszusammenarbeit darstellen kann. Das dritte und letzte Papier befasst sich mit einer Forschungsfrage, die dem Bereich der empirischen Industrieökonomik zugeordnet werden kann. Darin wird untersucht, ob die Regulierung von Schwefeldioxidemissionen von Kohlekraftwerken die Preissetzungsstrategie von Herstellern einer geeigneten Vermeidungstechnologie beeinflusst. Um diese Beziehung zu testen, nutzt die Studie ein Forschungsdesign, das auf einem Strukturmodell und Daten mit quasi-experimenteller Variation basiert. Die Ergebnisse der empirischen Untersuchung zeigen, dass die Preise für die Vermeidungstechnologie höher sind, wenn ein Kohlekraftwerk an einem Emissionshandelssystem teilnehmen muss. Diese Entwicklung ist kontraproduktiv, da es den Anreizen eines Emissionshandelssystems, die Verbreitung von Vermeidungstechnologien zu fördern, entgegen wirkt. Die Herleitung eines kausalen Zusammenhangs beruht auf dem quasi-experimentellen Charakter der Daten sowie einem theoretischen Modell, welches den empirischen Befund ebenfalls vorhersagt. Die wichtigsten alternativen Erklärungen für das Ergebnis können ausgeschlossen werden. Einschränkend wirkt hierbei jedoch der Umfang der Daten. Dieser lässt eine rigorose Untersuchung alternativer Erklärungen nur begrenzt zu und schwächt somit den kausalen Zusammenhang etwas ab. Am Ende unterstreichen die Ergebnisse der Studie allerdings, dass politische Entscheidungsträger bei der Ausgestaltung regulatorischer Instrumente umfassend auf unbeabsichtigte Nebenwirkungen achten sollten. Im letzten Abschnitt der Dissertation wird die Rolle empirischer Forschung im Gesamtprozess des wissenschaftlichen Fortschritts diskutiert. Dabei wird die Bedeutung einer umfangreichen und vielfältigen empirischen Wirtschaftsforschung hervorgehoben. Abschließend wird festgestellt, dass die empirische Forschung mit all ihren Ergebnissen und Methoden notwendig ist, um eine objektive Wahrheit'' in der Wirtschaftswissenschaft zu generieren.

Climate change has been recognised as a societal challenge demanding transformation in our social and economic systems in order to adapt to expected climatic changes and to mitigate a temperature increase above 2 degrees Celsius. Discussions on mitigating climate change revolve around the question of how to enable low-carbon energy transitions based on renewable-energy technologies such as wind turbines, solar panels, biogas plants or geothermal plants. Such a transition initiates a physical (re)shaping of places and social change in communities. Individual households and communities are increasingly acknowledged as making important contributions in energy transition, driven by the emergence of community wind farms, energy cooperatives and initiatives etc. This growing recognition has led to the fact that citizen's energy and community renewable energy are high on the political agenda. Although 'community renewable energy' emerged as a grassroots-based innovation concept, the local places of energy transition and their underlying social processes and structures are insufficiently studied and often remain underestimated. What place-based social and geographic aspects enable communities to become the places of local energy transition? The present research work encounters this question by applying a place-based perspective on mitigating climate change with renewable-energy technologies, seeking an in-depth understanding of the multifaceted and complex nature of the social phenomenon of community-based renewable energy. In order to analyse and deal with the complexity of the system, the investigation focussed on place, local agents and their relationships and interactions. A place-based approach considers climate change and renewables in people's localities; accounts for places as sources of experiences, memories, knowledge and innovation; and represents local benefits and challenges of mitigating climate change with community renewables. Along four main chapters, several analytical and theoretical concepts have been merged and their interdependencies analysed: these include place attachment (Manzo & Devine-Wright 2014); psychological distance of climate change (Milfont 2010; Spence et al. 2012); climate-change engagement (Lorenzoni et al. 2007; Whitmarsh et al. 2011); locally embedded entrepreneurship (Feldman & Kogler, 2010; Audretsch et al. 2012); adoption behaviour and innovation diffusion (Ajzen 1991; Rogers 2003); and the community benefits of renewables (Rogers et al., 2008; IZES, 2015). This conceptual approach enables the exploration of both climate change as a catalyst and also its materialisation in community renewables. To study the social side of the development of local renewable-energy transition, this research involved empirical research in the district of North Frisia, Germany, with a special focus on the municipality of Reußenköge. North Frisia is a coastal region with both climate-change vulnerability and renewable-energy potential. In the last three decades, the coastal municipality of Reußenköge has developed from an average agricultural centre into a so-called model region for the generation of renewable energy, implying a transformation from agriculturalists into energy-culturalists. Reußenköge represents a recent case study for examining the social processes underlying the implementation of renewable-energy technologies in coastal areas. For this examination do be carried out, a mixed-methods approach was applied in the present research, which allowed the analyses of different facets of the phenomenon of community-based renewables and its interaction with the social system under consideration. Five different research methods were conceptually combined: review and analysis of the literature, policy documents and online news; semi-structured interviews; group discussions; a standardised household survey; and agent-based modelling. The employment of diverse and complementary methods for focusing on specific, emerging and dynamic themes revealed different developmental layers contributing to community renewables. The empirical findings conceptually and empirically demonstrate the relevance of people's socio-geographic embeddedness for how they relate to and engage with climate change and community-based renewable energy. People's individual and shared place meanings are important ingredients bearing a decisive impact on the ways people make sense of climate change and the decisions to adopt or reject renewables. Common interest and participation in community-based renewable-energy projects, as well as the differentiated characteristics of the local entrepreneurs involved, appeared to be highly relevant for the acceptance and support of community-based projects. Recognising the findings, one can assert that an innovative place-based concept of community renewables provides essential benefits to individuals, the municipality and regions offering the potential to overcome social problems and to enhance sustainable regional development. Nevertheless, community-based actions have limitations, and it should be thus highlighted that support of regional and national governments is essential for long-term adaptation to and mitigation of natural and climate-change driven phenomena. Climate and energy policies, funding schemes and administrative structures should essentially recognise local socio-geographic elements, interactions and processes in order to enhance and foster a sustainable, place-based, socially embedded and decentralised energy transition. ; Der Klimawandel stellt eine gesellschaftliche Herausforderung dar, die eine Transformation sozialer und ökonomischer Systeme notwendig macht, um sich an zu erwartende Klimaveränderungen anzupassen und einen Temperaturanstieg über 2 Grad Celsius zu vermeiden. Diskussionen zur Klimawandelabschwächung, der sogenannten Mitigation, verdichten sich zu der Frage, wie eine CO2-arme Energiewende basierend auf Erneuerbaren Energietechnologien, wie Windanlagen, Solaranlagen, Biogasanlagen und Erdwärmepumpen, vorangetrieben werden kann. Eine solche Wende führt in den meisten Fällen zu einer physischen (Um-)Gestaltung von Orten und einem sozialen Wandel in Gemeinden. In diesem Kontext hat die Bedeutung individueller Haushalte und Gemeinden in der Energiewende zunehmende Aufmerksamkeit erlangt, wozu die Entstehung von Bürgerwindparks, Energiegenossenschaften und –initiativen etc. maßgeblich beigetragen haben. Dies führte dazu, dass die Bürgerenergie als auch "Erneuerbare Gemeindeenergie" (community renewable energy) deutlich an politischer Bedeutung gewonnen haben. Obwohl sich die Erneuerbare Gemeindeenergie als Graswurzel-basiertes (grassroots-based) Innovationskonzept etabliert hat, ist das Verständnis für die lokalen Orte der Energiewende und die zugrundeliegenden sozialen Prozesse und Strukturen unzureichend erforscht, so dass ihre Potenziale oftmals unterschätzt werden und unausgeschöpft bleiben. Es stellt sich also die Frage, welche ortbasierten sozialen und geografischen Aspekte es Gemeinden ermöglichen zu den Orten einer lokalen Energiewende zu werden? Die vorliegende Arbeit widmet sich dieser Frage unter Anwendung einer ortsbasierten (place-based) Perspektive zur Vermeidung des Klimawandels mit Erneuerbaren Energietechnologien. Ziel ist es, ein tiefgreifendes Verständnis über die vielseitige und komplexe Natur des sozialen Phänomens der Gemeindebasierten Erneuerbaren Energie zu erlangen. Ortskonzepte, lokale Akteure sowie deren Beziehungen und Interaktionen unter- und miteinander standen als analytische Ansatzpunkte im Fokus der Untersuchung, um die Komplexität des Systems zu verstehen und um mit ihr umzugehen. Insofern konzentriert sich ein ortsbasierter Ansatz auf die Örtlichkeit der Menschen, veranschlagt Orte als Ursprung von Erfahrungen, Erinnerungen, Wissen und Innovation und erforscht lokale Möglichkeiten und Herausforderung, die mit der Klimawandelabschwächung durch Gemeindeenergie einhergehen. Im Rahmen der vorliegenden Arbeit werden theoretische und analytische Konzepte von Ortsbindung (Manzo & Devine-Wright 2014), psychologischen Distanzen von Klimawandel (Milfont 2010; Spence et al. 2012), unterschiedliche Relationen zum Klimawandel (Lorenzoni et al. 2007; Whitmarsh et al. 2011), lokal verankertes Unternehmertum (Feldman & Kogler, 2010; Audretsch et al. 2012), Adaptionsverhalten und Innovationsverbreitung (Ajzen 1991; Rogers 2003) sowie Gemeindenutzen von Erneuerbaren (Rogers et al., 2008; IZES, 2015) konzeptionell zusammengeführt und deren Wechselwirkungen analysiert. Diese Vorgehensweise ermöglichte es Klimawandel als Katalysator und dessen Materialisierung in Erneuerbarer Gemeindeenergie zu erforschen. Um die soziale Dimension der Entwicklung einer lokalen Energiewende zu untersuchen, wurde eine empirische Forschung in Gemeinden im Kreis Nordfriesland, Schleswig-Holstein (Deutschland) und im Speziellen in der Gemeinde Reußenköge durchgeführt. Nordfriesland ist eine Küstenregion zwischen Klimawandelvulnerabilität bzw. -verwundbarkeit und Erneuerbaren Energiepotential. In den letzten drei Jahrzehnten hat sich die Region von einer ursprünglich landwirtschaftlich geprägten zu einer sogenannten Modellregion der Erneuerbaren Energien entwickelt und damit einhergehend einen Wandel von Landwirten zu Energiewirten erfahren. Aus diesem Grund eignet sich Reußenköge dafür, die sozialen Prozesse, die die Umsetzung von Erneuerbaren Energietechnologien in Küstenregionen mitbestimmen und antreiben, zu untersuchen. Ein Methodenmix (Mixed-Methods Approach) ermöglichte es, die diversen Facetten des Phänomens der Gemeindebasierten Erneuerbaren Energien und deren sozialen Aspekte für das System Reußenköge zu analysieren. Fünf verschiedene Forschungsmethoden kamen zum Einsatz und wurden konzeptionell miteinander verknüpft: eine Analyse der Forschungsliteratur, von Politikdokumenten und online Neuigkeiten, semistrukturierte Interviews, Gruppendiskussionen, eine standardisierte Haushaltsbefragung und Agenten-basierte Modellierung. Zur Fokussierung auf im Forschungsprozess sich entwickelnde Themen wurden diverse und komplementäre Methoden verwendet, die verschiedene Entwicklungsebenen erforschen halfen, die zur Gemeindeenergie beitragen. Die empirisch gesättigten und erarbeiteten Ergebnisse belegen die empirische Relevanz des sozial-geografischen Ansatzes für die Beteiligung an der Thematik des Klimawandels und Gemeindebasierten Erneuerbaren Energien. Individuelle und geteilte Ortsbindung sind wichtige Bestandteile, die eine ausschlaggebende Auswirkung darauf haben, wie Menschen Klimawandel wahrnehmen und Entscheidungen für die Einführung oder Ablehnungen von Erneuerbaren treffen. Ein gemeinsames Interesse und eine kollektive Partizipation in Gemeindebasierten Erneuerbare Energieprojekten sowie die differenzierten Eigenschaften von den lokalen involvierten Unternehmern sind – das zeigen die Ergebnisse – von großer Bedeutung für die Akzeptanz und Unterstützung solcher Projekte. Die vorliegenden Ergebnisse deuten darauf hin, dass ein innovatives, ortsbezogenes Konzept von Erneuerbarer Gemeindeenergie einen wichtigen Nutzen für Individuen, die Gemeinden und die Region generiert und das Potential birgt, eine sozial eingebettete und nachhaltige Regionalentwicklung zu fördern. Trotzdem stellen Gemeindeaktivitäten kein Allheilmittel für die Implementierung erneuerbarer Energien da, da eine strukturell administrative und ökonomische Unterstützung durch regionale und nationale Regierungen unabdingbar für eine langfristige Anpassung an und Abschwächung von natürlichen und anthropogenen Phänomenen des Klimawandels ist. Klima- und Energiepolitik, Förderungsmaßnahmen und administrative Strukturen sollten daher insbesondere die lokalen sozialen und geografischen Elemente, Interaktionen und Prozesse genauer in Betracht ziehen, um eine nachhaltige, ortsbezogene, sozial eingebettete und dezentrale Energiewende zu fördern und zu stärken.

"Green cities" offer a systematic approach to a significant part of the nowadays urban complexity. The concept dovetails in the "healthy city" idea launched by the World Health Organization, but is equally associated with "sustainable" and "smart cities". During the past decades planning for "green cities" shifted, incorporating new ideas as sustainable development and IT-driven management instruments for smart cities. Contemporary cities continue to face major environmental challenges. Replying to this dynamic context is a main task for cities during the coming decades of the millennium. As most of the (major) cities worldwide are located at the edge of the continents, supporting water-bound activities, they show a significant "blue economy" aspect. This paper reviews the historical context of the science aspects of "green cities" and the related approaches. Four main challenges for livable (coastal) cities today are discussed, taking into account the continuous changes and the almost permanent transition cities face. Climate change effects as sea level rise and extreme weather conditions, affect directly coastal cities; providing enough drinking water is a long standing and increasing problem; ports face particular and specific environmental problems which are in need of a tailored management; and sufficient accessible green areas remain of primary concern for any green city. Cross cutting through these issues are among others mobility and sustainable urban design.These major challenges will necessitate new processes of decision making. Long term planning is essential. 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his doctoral thesis is focused on the increasing importance of mutual funds as saving vehicles for the finances of individuals in the economies of developed countries over the last half of the twentieth century. Among them, the equity funds that take the form of open-end funds like mutual funds are becoming one of the most relevant instruments. Mutual funds collect money from investors and invest it in stocks, bonds, other funds, and so on, and their performance depends on the mix of the allocated securities. Its main objectives were to contribute to the topic of the Active Share (AS) as applied to mutual funds in Eurozone countries. This investigation was mainly motivated by the need to analyse how both the level of concentration of the benchmarks and the level of concentration of the mutual fund industries in the Eurozone affect active management. Due to the scarce number of studies focused on this topic in Europe our results have relevant implications to investors, market supervisors, and policymakers. In Chapter 1, we analysed how article 52 in Directive 2009/65/EC (UCITS IV) on risk of portfolio diversification could distort the accuracy of AS due to the higher level of concentration in Eurozone domestic benchmarks. In this chapter, we were able to identify truly active management in Eurozone mutual funds. Thus, we developed an algorithm to capture the spurious AS (sAS), which is defined as the minimum AS, that is not a consequence of active decisions made by equity fund managers. The results provide evidence that the Directive negatively influences the accuracy of the AS shown for managers who work with very concentrated domestic Eurozone benchmarks such as the PSI 20 (Portugal), ATX 20 (Austria), and IBEX 35 (Spain). In contrast, the evidence from the sAS for the least concentrated domestic Eurozone benchmarks shows that AS reported by managers who work in France, Germany, and Finland are much more accurate. Hence, these results prove that direct AS comparisons in the Eurozone are not feasible and lead us to obtain three AS thresholds per domestic equity benchmark, which are the minimum values of AS needed to confirm that domestic equity funds are significantly active at 90%, 95%, and 99% confidence levels. We also analysed the level of active management in the domestic equity funds registered in each Eurozone country. Our findings also show that the high concentration level and the heterogeneity present in the domestic equity funds in the Eurozone prevent the direct comparability of the AS. Therefore, we had to consider the level of AS over the spurious level and the characteristics of each market that produces significant and different styles of active management. For that, we formulated an actual active share (aAS) that considered the level of concentration in the domestic equity funds of the Eurozone markets and the limits of the portfolio concentration on European regulation. We define aAS as the difference between the monthly AS obtained for each domestic equity fund minus its monthly AS threshold obtained previously at 90%, 95%, and 99% confidence levels. Focusing on the most relevant mutual fund industries in the Eurozone countries, we find that France is the most active domestic equity fund market. Spanish and Italian markets also show high levels of actual active management despite the large concentration in their domestic benchmarks. Conversely, domestic equity funds registered in Germany show lower levels of active management. Our research results support the hypothesis that aAS corrects the potential bias in the original AS caused by both the domestic benchmark concentration and the EU portfolio diversification rules. In summary, our study is the first to evaluate the consequences of both the assorted characteristics of domestic Eurozone benchmarks and the European regulation that prevents portfolio concentration (UCITS IV) in the appropriate estimation of AS. Furthermore, our study identifies truly active management in domestic equity funds in the Eurozone markets. This chapter has important implications for policymakers and practitioners of the domestic equity funds in the Eurozone. In the strongly regulated European markets, our unbiased approach allows both investors and market supervisors to identify the accurate levels of active management of each industry after considering both the regulation of portfolio diversification and the concentrated domestic equity benchmarks. Market supervisors will have a better picture of the active management map to develop appropriate regulations for the mutual fund industry. In addition, our approach should help practitioners and investors to effectively find out the level of active management of domestic equity funds and therefore provide information for fund management companies to replace actual performing managers. Further, our results should help to reduce the opacity in the management fees that funds charge by providing accurate measures of active management. In Chapter 2, we analysed how some market and fund characteristics play a crucial role in explaining the portfolio concentration default on Directive 2009/65/EC (UCITS IV). This chapter should help market supervisors to improve the monitoring process of defaults by domestic equity funds in the Eurozone mutual fund industries. On the one hand, the origin of UCITS directives was considered the beginning towards market protection and increased transparency in the Eurozone. On the other hand, the structure of mutual funds allows retail investors to access sophisticated active strategies that comply with liquidity and transparency restrictions protected by regulatory oversight. Their rules are based on a certain degree of portfolio diversification with the goal of reducing their vulnerability to portfolio risks. This chapter is the first to analyse how concentrated strategies could lead to non-compliance with article 52 in UCITS IV. First, we analysed several market characteristics that may influence the probability of a fund manager failing to meet the portfolio concentration limits. Using a logic panel data model (fixed effects), we estimated the probability of incurring defaults. Our findings provide evidence that should lead market supervisors to pay attention to concentrated fund industries with concentrated domestic benchmarks to prevent defaults on Eurozone concentration limit. The level of concentration of the domestic equity benchmarks would make the defaults almost twice as likely to occur. The level of concentration of the domestic fund industry also has positive and significant effects on the likelihood of incurring defaults. That is, defaults are approximately 12% to 17% more likely to occur when the level of concentration in the domestic fund industry increases. This evidence is consistent with the findings in the literature that link competition with active management strategies such as concentrated portfolios (see Dyck et al., 2013). Second, in the same line of Chapter 1, we analysed several funds characteristics that may influence the probability of a fund manager failing to meet the portfolio concentration limits. In Eurozone markets, market supervisors should especially monitor the most experienced funds that are solo-managed to prevent portfolio weights over the 10% limit. This finding is in accordance with Goldman et al., (2016) who shows that individual managers have much more concentrated portfolios than management teams. The fund's age has a positive and significant influence on the likelihood of defaults. That is, the probability of incurring defaults is approximately 18% to 26% higher among older funds. Thus, this evidence is in accordance with the literature that links older funds with higher levels of idiosyncratic risk as a consequence of having more concentrated portfolios (see Amihud and Goyenko, 2013). Further, we analysed the characteristics of those stocks that were especially subject to more concentrated strategies and, therefore, more vulnerable to mutual funds' investment policies. For that, we applied a multinomial logic panel data model (fixed effects) and found that the weight of the stocks in their benchmarks had a positive and significant effect on default on the EU portfolio concentration limit. The results show how the probability of a stock being subject to default is approximately 8% to 25% higher when the stock weight in the domestic benchmark increases. Thus, market supervisors should monitor stocks with large weights in domestic equity benchmarks. In addition, we also find how the stocks of domestic benchmarks that have been held longer are likely to be subject to concentration defaults. That is, defaults are approximately 13% to 24% more likely to occur when choosing stocks that belong to the benchmarks during the last 24 months. Thus, this result is consistent with the literature that argues the local advantage of reducing information asymmetry problems. Thus, we find how stocks that present low volatility have a greater likelihood of being subject to non-compliance with EU portfolio concentration limits. In terms of percentages, the probability approximately lowers between 19% to 27% when stock volatility increases. This finding is in accordance with the commitment to controlled risk strategies (see Huang et al., 2011). Therefore, market supervisors should pay more attention to these stock characteristics to monitor stocks that are more frequently overweighted above EU concentration limits. In summary, this chapter is the first to both analyse and identify the determinants of domestic equity funds' failure to comply with the portfolio concentration limits of EU Directive 2009/65/EC. Furthermore, our study also determines the characteristics of the stocks subject to these non-compliant portfolios in domestic equity funds in the Eurozone. This chapter has important implications for market supervisors and policymakers in the mutual fund industries of the Eurozone. Our approach allows market supervisors with limited resources to identify and control non-compliant domestic equity funds by monitoring only some fund-specific characteristics. The improvement of this monitoring process should contribute to the financial stability of the EU asset management industry in terms of investor protection and market transparency. That is, mutual fund unitholders should be completely certain that their money is allocated to portfolios fulfilling the concentration limits required by the EU. Our findings also show a tool to assist EU market supervisors in identifying some explanatory mechanisms for stock weights that are over the EU concentration limits. Thus, our results may help supervisors identify what kind of domestic equity funds are more inclined to default and what kind of stocks are likely overweighted by these funds. Market supervisors could especially monitor these stocks to verify that domestic equity funds are meeting the concentration limits. Market supervisors should focus their limited resources on these types of stocks held by domestic equity funds to prevent defaults in portfolio concentration. Finally, our approach could also help retail investors control their risk profiles in terms of exceeding portfolio concentration limits. This application is in line with the reinforcement of investor protection of portfolio concentration. Investors could be sure that domestic equity funds fully follow the diversification requirements and market transparency provided by the UCITS directives. Chapter 3 presents a new perspective in the analysis of active management. We introduced dynamism by proposing a new version of AS that considers how the managers deviate their portfolios in two consecutive periods. We define dynamic Active Share (dAS) as a measure to capture over time the actual level of activity by comparing the differences against the benchmark in two consecutive periods. Our measure captures not only the long and short static positions in each stock included in the benchmark but also the previous long (short) positions that have been overweighted (underweighted) in the next period. Thus, dAS allows us to divide between investment decisions driven to spread portfolio weights closer to the benchmark (i.e., decisions that lead to a lower differentiation to the benchmark) and the other which is further from the benchmark (i.e., decisions that lead to a higher differentiation). Focusing on the most relevant fund industries in the Eurozone, we analysed the predictive power of AS first. The best results were found in the Spanish industry and, with less robustness, in Germany, the Netherlands, Austria, and Belgium. France only shows this relationship in the long term when we consider the CAPM alpha; while Italy, Finland, Portugal, and Greece fail to offer significant results or even present negative relationships. These results indicate that the prediction ability of AS presents assorted results as this relation is less clear than that presented in the literature (Cremers and Petajisto, 2009) Second, we examined the influence on the prediction power for performance of AS by splitting stocks in the portfolios of our sample into benchmark and non-benchmark . The results allow us to identify how the high proportion of prediction ability for performance of AS is explained by the investment in non-benchmark stocks. Although the AS's share of overweight or underweight benchmark stocks is really related to stock picking ability, investing in overweighted stocks may mean distortions in their performance evaluations that can lead to spurious contributions to portfolio performance. Third, we applied and analysed the predictive power of dAS. The results provided evidence that the performance of non-benchmark stocks in high AS funds did not extend to mutual funds with high dAS. Thus, this measure is less sensitive to the weight of the portfolio that is invested in non-benchmark securities that is very relevant in Eurozone countries where domestic benchmarks are highly concentrated. The main advantage of the dAS compared to the AS is that our measure provides more information and can be split according to different investment decisions. For that reason, we proposed splitting up the dAS to examine which trading decisions add value to the portfolio. Our most interesting results showed that German funds presents a robust relationship between selling investment decisions and subsequently better performance. This relationship was also found for Dutch, Austrian, and Portuguese funds but with actual limited significance. This finding is in accordance with the level of activity showed by these industries in Chapter 1. Further, we analysed the contributions to dAS that was generated by those trading decisions that might be considered as managers' bets. These bets could be those decisions that increased holdings that were already overweighted (buy bets) or decrease those holdings that were already underweighted (sell bets). Our findings show as in Germany and in some cases in the Austrian and Portuguese industries that there is subsequent significantly better performance in buying decisions. Focusing on selling decisions, only Finnish funds show positive and strong beliefs and performance. The results for predicting performance show that those portfolios with a higher concentration of these bets offer subsequent abnormal returns as this prediction ability is even higher than the seminal AS in some of the markets in this study. Accordingly, the results shown in this chapter are an interesting addition to Cohen et al. (2010) who try to identify the trades in which the managers have more confidence. The empirical findings show that those mutual funds with trading decisions with a stronger belief from the manager (i.e., decisions that lead them to deviate even more from the benchmark) outperform the remaining funds, especially when buying decisions are considered. This evidence is consistent with Karoui and Patel (2020) who show that the benefit of AS lies in the selection decision rather than the weighting decision. In summary, Chapter 3 is the first to introduce a dynamic perspective on AS to capture managers' activity and skill. This chapter is relevant for investors who should be interested in knowing whether their fund manager is active and whether their decisions on new investment opportunities add value to the portfolio (i.e., undervalued assets) or on the contrary, the fund manager is passive. The common argument is related to the fees because the management fees charged by these two types of funds should be different. In addition, the chapter is also relevant to regulators in order to adjust the management fees charged by management companies to the actual level of activity carried out by mutual funds. Several fields for further investigation have been identified in this dissertation. Regarding the EU Directive, an extensive test of the level of enforcement that the UCITS IV has implemented in each Eurozone country (including emerging markets) could be useful for making decisions about possible changes in the regulation. Furthermore, a complementary analysis of chapter VII in UCITS IV in terms of its appropriateness with the characteristics of each Eurozone country could allow a more complete assessment of the limits of portfolio concentration and the implementation of the protection to investors. In addition, this dissertation makes an important advance in the topic of active management to help further an analysis in other areas or regions with similar characteristics that could be relevant to the financial literature.

Yes, I went back to the East Side Gallery my firstweekend, as it was not closed on Sunday most shopping is closed) I have been in Berlin for one week thus far, with nearly three months to go.  It has been a very busy week, and it did not just involve getting situated.  But, yes, that took some effort and time as well.  So, what have been up to in the shadow of the TV tower that is featured in any movie that wants to depict Berlin as a destination?  First, yes, getting situated.  I am staying near the Hertie School's Center for International Security, which is just off of Alexanderplatz.  The apartment has much of what I need, but I had to go out and get a pillow (made in Canada!), a printer, groceries, and a residence permit.  Yes, the country of Max Weber is very bureaucratic.  Because there is much demand these days for all kinds of paperwork, I was lucky to snare an appointment on the farthest southern edge of Berlin.   I got my paperwork stamped, so I can reside in Berlin officially.  woot!        President of Hertie, the Chinese former VM, and Tobias BundeSecond, it turns out that my timing is good and the Hertie School is a happening place.  Tobias Bunde, one of the researchers here, is also a/the organizer of the Munich Security Conference which happened the weekend I arrived.  So, he brought a former Chinese Vice Minister of Foreign Affairs to a packed room (the Hertie students are from all over and they are keeners) where she presented her take on what happened at Munich and what are the major trends in international relations.  I found her to be the best representative of the Chinese government: her English was great, she was not overly polemical, she knew her audience, and so forth.  She definitely presented a biased point of view, but a clear one that was well asserted.  She noted for instance that only four panels out of a hundred at the conference were on Gaza. She pointed that the discussions on that and on Ukraine were focused on problems, not solutions.  But she was not pressed to offer any solutions. She contrasted the threat to freedom of the seas--that it is a problem for commercial shipping in the Red Seas but only a threat to American warships in the South China Sea.  Hmmmm.  She talked about Asia's long peace, she seems to be omitting the occasional Indo-Pakistan conflict.  Speaking of omissions, she argued that occupation never works, and that this something the Americans should have known in 2003 and the Russians should have known two years ago.  I was tempted to ask about Tibet or perhaps Chinese intentions towards Taiwan, but the event was for students.  It was a great way to jump into things and meet a bunch of folks.No pics of Peter K, but of other important thinkersAnother event was a session with Peter Katztenstein--one of the most important scholars in both International Relations and Comparative Politics for the past fifty years.  Required reading, indeed.  He was presented his latest book project (no retirement yet) that is pretty complex, raising meta questions about our thinking and about our need to think about uncertainty.  It was similar to Debbi Avant's presidential address at the ISA a couple of years ago.  He gave us a few chapters, the crowded room had read it, and so it was mostly Q&A.  After the talk, he sat near me and we chatted a bit.  That he has written books comparing Germany and Japan was not lost on me given my latest projects.  Next week, there will be a conference I am crashing at Hertie on the state of Zeitenwende and whether other countries are experiencing it as well.  Huh?  Oh, this refers to a speech by Germany's Chancellor  Olaf Scholz shortly after Russia's 2022 invasion of Ukraine, that we live in a watershed moment, that we need to have a revolution in foreign and defense policy.  He committed to a lot more defense spending and ending German dependence on Russian energy.  The big questions are: how much of this has and is happening and whether other countries are rethinking their place in the world. I hope to find out next week.Third, I have been getting some work done.  I have started arranging interviews for the German case, finalizing the details for a trip to Finland in April to do that case study, doing the same for a research presentation at Central European University in Vienna in a few weeks (and, yes, nailing down the details for an Alps ski trip).  I also revised three chapters of the Steve/Dave/Phil book before Dave tries to find some interest at the ISA in April.  I hope to do my turn on the rest of the book in the next week.  Fourth, I have, of course, been touristing.  I spent last weekend and today walking around this part of Berlin.  I am far more familiar with west Berlin, as I have been largely based at hotels in west Berlin.  My first walks were more targeted as I was looking for grocery stores (and google maps kept lying about where they were).   Some observations, which may be due to change over time or may be due to East Berlin being a bit different than West Berlin:Less adherence to the guidance of the little green/red Ampelmännchen, as I saw more people walking despite the red signs.  Is this a sign that German society is breaking down?Or is that the walk signals in East Berlin are too damned short?  I can't tell you on how many streets I have been stuck in the middle (mostly where the trams go) as the light turns red very quickly.I don't remember this much graffiti all over the place last time.  On the bright side, when a store or something has nice wall art, the vandals or artists paint elsewhere.Lots of reconstruction and renovations going on.Lots more Five Guys burger places than I can recall.  I haven't tried them yet, as I am mostly doing my own modest cooking (this apartment's kitchen is not well equipped, so no baking and only basic dinners).  I did start off my time here with currywurst and chips, but I think my go-to cheap food will be kebabs/shawarma stuff.  I did happen to walk past an Indonesian place, so I will be returning to that neighborhood when I am tired of my own cooking.Today's walk was more random, as I would head in one direction and then find something interesting on the map.  Which took me to a memorial for those who the East German government killed at the Berlin Wall, which, yes, has been down longer than it has been up.  I learned a great deal:I should have realized how dynamic the interplay between Communist government and those seeking to escape would be.  The wall such as it was kept evolving as the government learned via the escapes and attempts.Part of the memorial showingwhere the house got built over by the wallIncluding tunneling!  57 people got out through one tunnel--amazing.The wall itself caused more people to want to leave as it signaled more repression.The evolution of the barrier included destruction of a church (one dedicated to Reconciliation!) and the movement of dead bodies from a graveyard, it involved boarding up and then destroying houses.   There were a fair amount of German tour groups going through this area, so yes, still much interest even as it recedes in our memories. The other new experience for me is a 21st century gym.  I have mostly exercised on ultimate fields, bike rides through neighborhoods, the treadmill in our basement, and the occasional hotel fitness center.  There is a spiffy, reasonable place near me that has the stuff I need (treadmills, space to stretch to try to fix my balky knee) and far more stuff.  The denizens are in much, much better shape than I am, doing all kinds of exercises that I would not attempt, so that has been a funky distraction while I sweat out the pastries I have been buying.  The bakeries here are good, and, yes, they like their donuts.  I have resisted mightily but not entirely.  Next week, I will report what I learned at zeintenwende-fest.    Some random pics from my walks: Vegetarian butcher?  Funky signs, not sure there is an actual cafe here.

Regionaler Wirtschaftlicher Integration (RWI) liegt ein doppelter Zielkonflikt ("trade-off") zugrunde. Zum einen besteht dieser trade-off auf räumlicher Ebene da es sich um eine politische und ökonomische Organisationseinheit zwischen dem Lokalen und Globalen handelt. Zum anderen besteht ein trade-off da sowohl Liberalisierungsansätze innerhalb der Region als auch das Aufrechterhalten (oder gar Erweitern) von Protektionismus gegen die Außenwelt Teil von regionalen Ansätzen sind. Darüber hinaus ist RWI ein facettenreiches, polymorphes und idiosynkratisches Phänomen, das (potentiell) eine Vielzahl unterschiedlicher Politkfelder und Politikschlagrichtungen enthält. Traditionell wird RWI nach der Klassifizierung von Balassa (1961) in Präferenzabkommen (PTAs), Freihandelsabkommen (FTAs), Zollunionen (CUs) Gemeinsame Märkte (CMs), Währungsunionen (MUs) und ggf. Politische Unionen (PUs) eingeteilt und meist auch eine zeitliche Abfolge in dieser Reihenfolge unterstellt. In Wahrheit finden solche Prozesse teilweise parallel und in vielen Fällen unvollständig statt. Daher erscheint es sinnvoller, in vier verschiedene Kategorien an Politikfeld0ptionen zu unterschieden, nämlich • Präferentielle Liberalisierung von Güterhandel; • Präferentielle Liberalisierung anderer Produktionsfaktoren; • Koordinierung & Harmonisierung von Regularien und Institutionen; • Koordinierung und gemeinsame Verausgabung von öffentlichen Mitteln. Ein solch vielgestaltiges und janusköpfiges Phänomen bezieht seine Rechtfertigung aus einer großen Anzahl an unterschiedlichen theoretischen Schulen. Wir diskutieren diese Schulen in dieser Arbeit in drei separaten Kapiteln zum Neo-Klassischen Ansatz, zu Ansätzen der Politischen Ökonomie sowie zu Heterodoxen Ansätzen. Dabei lassen sich fünf Gruppen von Effekten unterscheiden. Diese sind • Allokationseffekte; • Akkumulationseffekte; • Lokationseffekte; • Levellingeffekte; • Und Gouvernanz-Effekte. Bei der Analyse von RWI sind darüber hinaus Imperfektionen zu beachten, die insbesondere in Afrika eine entscheidende Rolle spielen. Dies bezieht sich insbesondere auf die teilweise sehr schwache Implementation von beschlossenen RWI Maβnahmen, die sich z.B. im "Spaghetti Bowl" Phänomen, politischen Widerständen auf nationaler Ebene, administrativen Schwächen und massiven Deckungslücken in den Budgets der regionalen Behörden niederschlagen. Auch die Dominanz der Informalität in der Wirtschaft wirft Fragen zur potentiellen Wirkungsmächtigkeit von RWI auf. Während solche "Papiertiger"-Phänomene grundsätzliche Fragen an der Ernsthaftigkeit der jeweiligen Regionalvorhaben aufwerfen, kann die Präsenz solcher Hürden auch Grund für Optimismus sein da die empirisch bislang beobachteten, relativ geringen Wohlfahrtseffekte zu einem substantiellen Anteil auf die geringe Implementierungstiefe zurückgeführt werden können und nicht zwangsläufig ein Beleg für die Ineffektivität von RWI per se gesehen werden muss. Mit anderen Worten, eine wirkliche empirische Überprüfung des Erfolgs oder Versagens von RWI in Entwicklungsländern könnte erst stattfinden, wenn es tatsächlich ordnungsgemäß umgesetzt würde. Der bekannteste und am umfangreichsten entwickelte Ansatz zur Analyse der Effekte von RWI ist fraglos der Neo-klassische Ansatz, der sich grundlegend und ausschlieβlich mit der auf Viner zurückgehenden Gegenüberstellung von Handelsschaffung und Handelsumlenkung. Wir zeigen, dass die neoklassischen empirischen Methoden und Resultate trotz Tausender Studien wenig robust sind und zu einem Gutteil arbiträr gewählt sind. Kleinste Änderungen in Modell-Parametern, der empirischen Strategie oder den Datenquellen führen zu stark abweichenden Resultaten. Grundsätzlich scheint Handelsumlenkung weniger stark ausgeprägt zu sein als Handelsschaffung, der Netto-Effekt für die Regionen scheint also aus dieser Perspektive in den allermeisten Fällen positiv zu sein (dies zeigen sowohl Sekundärstudien als auch eigene Berechnungen). Es gibt sowohl Gewinner als auch Verlierer innerhalb der Regionen. Allerdings scheinen diese nicht wie vom Neoklassischen Ansatz vorhergesagt, durch die anfängliche ökonomische Machtverteilung vorherbestimmt zu sein. Dennoch bleibt die axiomatische Inferiorität von RWI zwischen Entwicklungsländern gegenüber multilateraler Liberalisierung (sowie Nord-Süd Integration und unilateraler Liberalisierung) intakt, solange die Analyse auf diese Perspektive beschränkt bleibt. Dies wirft die Frage auf, warum es dann sein kann, dass Regionalintegration so weit verbreitet ist – sowohl die Analysen aus Politökonomischer Sicht als auch jene aus Heterodoxer Sicht versuchen jeweils Antwort auf dieses scheinbare Rätsel zu geben. Darüber hinaus mündet eine unvoreingenommen und holistische Analyse von Regionalintegration innerhalb des Neoklassischen Ansatzes in einer fundamentale Erkenntnis, die überraschenderweise nur selten in der Literatur diskutiert wird. Ein näherer Blick auf die jeweiligen Schätzungen offenbart, dass selbst die optimistischsten Berechnungen in Größenordnungen enden, die absolut vernachlässigbar sind im Verhältnis zu generellen Wachstumsdynamiken, da es sich bei den Effizienzgewinnen aus Allokationseffekten um Einmal-Effekte in Höhe von unter einem Prozent des BIP handelt. Dies trifft interessanterweise nicht nur auf RWI zu, sondern auch für eine mögliche allumfassende multilaterale Liberalisierung. Diese eklatante Bedeutungslosigkeit der allokationsbedingten Handelsschaffung von sowohl RWI als auch multilateraler Liberalisierung wirft in unseren Augen mehr Fragen bezüglich der Zweckdienlichkeit des Neoklassischen Ansatzes auf, als bezüglich des Entwicklungs- und Wachstumspotentials von Regionalintegration. Allerdings stellt sich die Frage, warum dieser Analyse dann ein solch großer Raum beigemessen wird. Der Hauptgrund scheint, wie in vielen anderen Bereichen der Volkswirtschaft auch, weniger der Umstand zu sein, dass die Einsicht fehlt, dass diese Analysen die Realität nur unzureichend ab- und nachbilden, sondern vielmehr, dass von vielen Autoren mehr Wert auf eine elegante, mathematisch raffinierte und zumindest scheinbar klar quantifizierte und eindeutige Ergebnisse liefernde Methode setzen wollen als auf eine, bei der die Disziplin methodisch bestenfalls in den Anfangsschuhen steckt, Datengrundlagen in substantiellem Umfang fehlen und Ungewissheiten aufgrund der Komplexität kaum abschließend überwunden werden können. An zweiter Stelle folgt in Bezug auf Popularität und Anzahl an Studien ein spieltheoretischer Ansatz der Politischen Ökonomie. Hierbei wird der Frage nachgegangen, warum Regionalintegration betrieben wird, obwohl der Neoklassische Ansatz (scheinbar) nachweist, das seine multilaterale Lösung zu präferieren wäre. Als Grund wird hierbei der Einfluss von Lobbyisten und anderen Interessengruppen angenommen. Die Diskussion widmet sich im weiteren Verlauf fast ausschließlich der Frage, ob eine solcherart zustande gekommene Regionalintegration weitere, multilaterale Liberalisierungsschritte beflügelt und behindert. Allerdings ist der Erkenntnisgewinn aus den unzähligen Studien und Modellen äußerst überschaubar. Andere wichtige Ansätze für die Analyse von RWI erhalten deutlich weniger Aufmerksamkeit in der wissenschaftlichen Diskussion, obwohl diese heterodoxen Ansätze, die den Fokus auf dynamische Effekte und Strukturwandel legen, in der öffentlichen Debatte eine nicht unbedeutende Rolle spielen. Diesen Ansätzen ist gemein, dass sie einen Fokus auf Marktversagen und Externalitäten legen. Das Triumvirat der Neuen Handelstheorie, der Neuen der Diskussionen, wobei zusätzlich einige Keynesianische Einflüsse, der Neue Institutionalismus (sowie praxisorientierte Aspekte der Öffentlichen Finanzen) und einige radikalere Ansätze mit Ökonomischen Geografie und der Neuen Endogenen Wachstumstheorie bildet hierbei den Kern Fokus auf Arbeitsmärkte und Entwicklungsfallen eine Rolle spielen. Heterodoxe, dynamische Effekte sind sehr komplex und divers und die theoretische und empirische Anwendung auf Regionalismus ist nur sehr schwach entwickelt. Einige heterodoxe Argument ändern die Resultate der Neoklassischen Theorie nur in beschränktem Umfang und zeigen sowohl Vorteile und Nachteile von regionalen und multilateralen Liberalisierungsschritten. Einige andere heterodoxe / dynamische Effekte treten entweder ausschließlich bei RWI auf oder zu einem deutlichen geringeren Maβe auch im Gefolge von Multilateralismus und Nord-Süd Integration. Einige davon haben unserer Einschätzung nach tatsächlich das Potential, die Neoklassischen Argumente zur Dominanz von multilateralen Lösungen komplett ins Gegenteil zu verkehren. Leider ist die empirische Analyse von dynamischen Effekten jedoch sehr schlecht entwickelt. Dennoch erscheinen Schätzungen aufgrund von dynamischen Modellen "sufficiently specified to suggest that the benefits behind the dynamics of integration are potentially large" (Develin & French-Davis, 1998:20). Die Komplexität der heterodoxen Effekte impliziert, dass komplizierte Entscheidungen zur Auswahl von spezifischen Maβnahmen getroffen werden müssen. Auch wenn Regionalismus dynamische Effekte auslösen kann, ist dies keineswegs ein Automatismus, der aus jeglichen regionalen Anstrengungen entspringt. Rodrik's Kommentar zu Industriepolitik paraphrasierend, sollte daher in Zukunft weniger der Frage nachgegangen werden, ob Regionalismus unter Entwicklungsländern eine gute Politikwahl ist, sondern eher, wie Regionalismus ausgebildet werden muss, um erfolgreich Entwicklungsimpulse geben zu können.:1. Introduction 1.1 Regional economic integration: a multi-faceted phenomenon and double trade-off 1.2 Economic theories with application to economic regionalism 1.2.1 Stock-taking of theoretical frameworks 1.2.2 Attempt at a categorisation of potential effects 1.2.3 Structure and approach 1.2.4 Justification and limitations 2. Historical sketch and typical phenomena of African regionalism 2.1 Historical sketch: regionalism in Africa and beyond 2.2 Paper tigers, spaghetti bowl and informality 2.2.1 Illusionary regionalism: the political economy of signing, but not implementing regionalism 2.2.1.1 Concealed political resistance 2.2.1.2 Institutional weaknesses 2.2.1.3 The spaghetti bowl 2.2.1.4 Is regionalism virtual or real? 2.2.2 Regionalism and the informal sector 3. Neo-classic perspectives: is regionalism doomed to failure? 3.1 Neo-classical economics: trade diversion and absolute losses 3.1.1 The destructive effects of trade diversion 3.1.2 Some criticisms on the trade creation / trade diversion calculus 3.2 Winners and losers 3.3 Economic regionalism as a futile undertaking: no way out of the poverty trap? 3.3.1 Size 3.3.2 Homogeneity 3.3.3 Preference erosion 3.4 Empirics I: do RECs promote trade? 3.4.1 Regional trade volumes, shares, intensities and their development 3.4.2 The gravity model 3.4.2.1 Results of the gravity model 3.4.2.2 Factors for the variety and unreliability of the gravity model 3.4.3 Alternative methodological approaches 3.4.3.1 Panel approach 3.4.3.2 Matching estimator 3.4.3.3 REC depth differentiation 3.4.3.4 Bayesian Model Averaging 3.4.3.5 CGE: pseudo empirics or 'could' African RECs promote trade? 3.5 Empirics II: do RECs hurt their members? 3.5.1 Gravity and trade diversion 3.5.2 CGE and welfare effects 3.5.3 Finger-Kreinin index of similarity 3.5.4 ROI and RCA 3.6 Empirics III: winners and losers 3.7 Empirics IV: are African RECs ill-suited for regionalism? 3.7.1 Size 3.7.2 Homogeneity 3.7.2.1 Homogenous Africa? 3.7.2.2 A short digression: Linder or H-O? 3.7.3 Preference erosion 3.8 Empirics V: A closer look at NC aspects for the EAC 3.8.1 Computable General Equilibrium (CGE) 3.8.2 Descriptive statistics on absolute and relative trade growth 3.8.3 Finger-Kreinin index 3.8.4 Revealed comparative advantage approach 3.8.5 Disaggregated effects 3.8.6 Effects of disaggregated changes in preferential margins on relative trade growth 3.8.7 EAC: regional gains or losses? 3.8.8 EAC: winners and losers 3.9 Synopsis: The limits of regionalism or the limitations of NC approaches? 3.9.1 Empirical results 3.9.2 Insufficiency and arbitrariness of empirical instruments 3.9.3 Gains from regionalism in perspective (I): contribution to GDP 3.9.4 Gains from regionalism in perspective (II): extra-regional alternatives 3.9.4.1 North-South integration as alternative? 3.9.4.2 Unilateralism and multilateralism as better alternatives? 3.9.5 The need for looking beyond the Neoclassical Framework 4. Political economy: non-welfare oriented reasons for regionalism and implementation issues 4.1 Framing the 'stepping stone vs. stumbling block' debate: Larry Summers vs. Jagdish Bhagwati 4.1.1 Endogenous bloc formation 4.1.2 Endogenous protection 4.1.3 Institutional and negotiation aspects 4.1.4 Forgone gains vs. political feasibility – a case for 'open regionalism' 4.2 Empirics and synopsis: Regionalism and multilateralism – friends or foes? 5. Heterodox perspectives: what role for regionalism in development and structural change? 5.1 Regionalism as anti-globalism vs. regionalism as tool for structural change 5.2 Relaxed assumptions 5.2.1 Economies of scale 5.2.2 Imperfect competition and product differentiation 5.2.3 Trade costs, factor (im)mobility, diminishing returns and congestion 5.2.4 Technology, skills and (tacit) knowledge 5.2.5 Sector / goods heterogeneity and firm heterogeneity 5.2.6 Dynamism and endogeneity of factors 5.2.7 Non-clearing labour markets 5.2.8 Transaction costs 5.2.9 The importance of the short-run 5.3 Heterodox models and regionalism: catching-up and structural change? 5.3.1 Non-NC allocation effects 5.3.1.1 Love for variety 5.3.1.2 Competition-induced producer rent reductions and rent transfers 5.3.2 Levelling effects and adjustment costs in the short run 5.3.2.1 Is there a case for regionalism as a levelling force? 5.3.2.2 Is regionalism alleviating adjustment costs? 5.3.3 Location and accumulation effects 5.3.3.1 Competition and challenge-response increases in efficiency 5.3.3.2 Trade and investment: is there a case for tariff-jumping FDI? 5.3.3.3 Liberalisation and learning by doing: is there a case for infant industry protection? 5.3.3.4 Protection and competition: is there a case for regional industrial policy? 5.3.3.5 Winners and losers: is there a case for regional compensation? 5.3.3.6 Missing liberalization from the West in a dishonest debate: a case for tit-for-tat? 5.3.3.7 Limits of liberalization and creating a flat world 5.3.3.8 Trade costs vs. agglomeration: a case for regionalisation in the long run? 5.3.4 Governance effects: regionalism and governance/public spending 5.3.4.1 Regionalism as window of opportunity: does regionalism improve governance? 5.3.4.2 Signalling 5.3.4.3 Bargaining position 5.3.4.4 Regionalism and harmonisation: transaction costs and levelling the playing field 5.3.4.5 Regional public spending: regional public goods and economies of scale 5.4 Some attempts at empirical strategies for heterodox approaches 5.4.1 Literature review: heterodox empirical results and their discontents 5.4.1.1 Allocation effects: love for variety and producer rents 5.4.1.2 Levelling effects and adjustment costs 5.4.1.3 Accumulation and location effects 5.4.1.4 Governance effects 5.4.2 Heterodox effect approximations for the EAC 5.4.2.1 Regional export growth and export share growth 5.4.2.2 Directions of trade in the EAC 5.4.2.3 Sectoral disaggregation (I): CIP rankings 5.4.2.4 Sectoral disaggregation (II): Manufacturing exports and technology content 5.4.2.5 Sectoral disaggregation (III): Manufacturing exports and intra-regional trade 5.4.2.6 Sectoral disaggregation (IV): 'complexity' and diversification 5.4.2.7 Sectoral disaggregation (V): diversification and new trade 5.4.2.8 Foreign Direct Investment 5.4.2.9 Governance effects in the EAC: protocols vs. functional cooperation 5.5 Synopsis: are heterodox dynamic effects the saviours of regionalism? 6. Conclusion 6.1 Insights from and debunking of the NC framework 6.2 Insights from and debunking of the political economy framework 6.3 Insights from and current limitations of the heterodox framework Annex Bibliography

This book takes both a global as well as a local perspective in assessing the impacts of climate change on the economy, agricultural sector, and households in three of the MENA countries; Syria, Tunisia and Yemen. The major channels of impact for global climate change are through changing world food (and energy) prices, especially since all the countries under analysis are or have become net importers of oil and petroleum products and many food commodities in recent years. The impacts of local climate change decrease crop yields in the longer run and through them, productivity in the agricultu

The work sheds light on the largely under-investigated puzzle of the distributional impact of EU economic governance on the budget structures of the Member States. The overarching research question is: Is the impact of the Stability and Growth Pact neutral to the composition of domestic public spending? In addressing the EU-MS fiscal puzzle the thesis considers three main research questions: 1. when and how the SGP affects the composition of national budgets. 2. if and how the SGP has affected the domestic composition of public expenditures during the Great Recession and Eurozone crisis. 3. if and how the impact of the SGP changes across different domestic political, institutional and economic conditions. The thesis brings together the literature of the domestic determinants of national fiscal policy with that on the Economic and Monetary Union. Firstly, the disaggregate assessment of where the bite of the EU economic governance framework lands back at home sheds some light on how the Pact fulfils its policy objectives of promoting at the same time fiscal discipline and inclusive growth. Within this context, it contributes to the rich debate on the subordination of social objectives to economic ones at the hand of the EU fiscal surveillance regulatory framework. At the same time, it evaluates the claim of a detrimental effect of the Pact on investment and growth, linked to the lengthening and worsening of the severe downturn in the context of the Great Recession and Eurozone crisis, as well as the divergence between core and periphery. Building on the well-established findings on the interplay between (national) fiscal rules and the political, institutional, and economic context the analysis provides a causal empirical assessment over the panel of the EU28 from 1995 to 2018 of whether and under which conditions the EU economic governance framework impacts the structure of the budgets of the Member States. In considering both a synthetic indicator of changes to the budget structure, disaggregated impact on all budget lines (e.g. health, education, social protection, etc.), and on broad components associated with investments, transfers, and the mitigation of inequalities, the analysis provides a rare comprehensive picture of which elements are affected at all and where comparatively the highest toll emerges within the components of national spending. The main results are the following: • EU economic governance is far from being neutral in affecting the budget structure of the Member States; • Its impact on the national fiscal policy mix is heterogeneous over time - increasing substantially with the latest wave of reform - and scope, limited predominantly to Eurozone countries under EDP surveillance and aligning quite poorly with prescriptions of the CSRs; • Budgetary dynamics do not escape the bind of the EDP in times of crisis, rather the framework is the most impactful in such circumstances, generating substantial spending restructuring which is both pro-cyclical and detrimental for inclusive growth, as well as for geographical convergence; • Heterogeneity in the effect of the Pact extends to domestic circumstances, with political characteristics of the government (e.g. small budget distances, high alternation) and a unitary institutional structure as a precondition for any impact to materialise, while in the economic domain, alike for the crisis, the restraint of the SGP materialises especially in countering expansionary pressures such as those of ageing and unemployment. Findings refute the widespread argument within the literature of a limited impact of the supranational fiscal governance framework given the poor track record of compliance with the deficit targets of the Stability and Growth Pact. Conversely, the work contributes a more sophisticated account of the EU economic governance framework. It distinguishes not only membership to the EMU and the Eurozone but also close supranational budgetary surveillance under the Excessive Deficit Procedure. Additionally, it accounts for the heterogeneous effects of the Pact over its life and two substantial reforms. While an effect that runs against fiscal discipline is somewhat confirmed for EU and Eurozone membership, EDP surveillance emerges as the key driver of a consolidation-driven restructuring effect on national budget structures. Such dynamic, however, is far from homogeneous across time and place: being under the EDP leads to changes in the fiscal policy mix only within the Eurozone and after the 2011 reform when excluding the period of the crisis. Second, the analysis investigates the alignment between the effect on the national budget structure of the supranational fiscal rule and the policy coordination within the Semester comparing the distributive effect of the Pact with the Country Specific Recommendations (CSRs) in selected Member States. Overall, the negative impact of the EDP on inequality mitigating measures and investment and specifically on health, education, and social protection, more often than not clashes with the CSRs in the considered Member States. Heterogeneities both in the impact of the EDP on the budget structure in the post-2011 period across the core and periphery and the CSRs imply, however, a more substantial disconnect between the two arms of the EMU for the Southern Member States, supporting the narrative of a particularly detrimental effect of the Pact on social spending and inequality. Third, a further contribution is the granular analysis of dynamics in times of crisis unveiling whether the escape clauses shield domestic budget structures from any shock at the hands of the supranational fiscal rule or rather instead the national fiscal policy mix is affected. The analysis offers a rare detailed account of the cost of the SGP in times of crisis for specific budget components and their relative penalization at the hands of austerity policies, allowing to pinpoint if investments have been preserved at the expenses of social policies and those mitigating inequality, together with the intergenerational distributions of fiscal discipline. The results contradict the hypothesis of national budgets escaping from the claws of the pact during economic downturns. Rather, during the crisis more marked restructuring of the fiscal policy mixes emerges, as the EDP surveillance has a significant and sizeable impact on the budget structure and some of the key budget lines of interest even before the 2011 reform in times of crisis. The analysis reveals that not all spending is equally affected, as while EDP surveillance acts to (nearly fully) contain the recessionary upward push on spending, for example, in the domains of education and social protection, it more than compensates for the crisis for another key budget line such as health. As a result, divergences emerge in the constraining effect of the Pact on transfers, investment, and inequality mitigation. The first is only negatively impacted by the EDP surveillance in times of crisis, while the remaining categories always feel the constraining influence of the Pact which is further strengthened during the Great Recession. The already bleak picture for an inclusive and growth-enhancing investment rich recovery hides substantial divergences between core and periphery explored in details in the dissertation, as southern countries carry the worst prospect in terms of full containment of transfers and slashing of investments, with an intergenerational cost shouldered especially by youth. Finally, the work considers as well the interplay between the supranational level and the national context, identifying how the characteristics of the governing coalition (i.e. ideology, the range within the government and alternation), the federal- unitary institutional nature, along with fiscal rule strength preferences in the Member States, and the demographic and employment conditions affect the transmission of the supranational commitments within the Stability and Growth Pact onto the domestic budget structure. In doing so it uncovers as well which national configurations and conditions are conducive to a (restraining) impact of the SGP on national spending and the fiscal policy mix. Findings show that national political context facilitating changes to the budget structure (i.e. small coalition ranges and high alternations) are associated with a larger impact of the EDP surveillance on the fiscal policy mix, which loses significance under less favourable political conditions. A similar pattern emerges for ideology, with somewhat moderate governments as a precondition for any impact of the EDP surveillance, which is more sizeable on the left side of the spectrum. In the institutional arena unitary countries are more conducive to restructuring their budgets when falling under EDP surveillance, while conversely, national fiscal rule preferences show a complementarity between the extent to which countries prefer fiscal discipline on their own and the Pact, with EDP surveillance affecting more substantially the Member States with a laxer approach to spending. Finally, the demographic pressure and that of high unemployment stiffen the budget structure increasing the barriers against a restructuring effect of the Pact. However, from the opposite perspective - alike for the crisis - the constraining power of EDP surveillance is quite remarkable, containing their budgetary implications. To that effect, the EDP enacts substantial convergence across various levels of unemployment and old-age dependency rate. As such, the thesis confirms that while effects are heterogeneous and dependent on the national context, the Pact for Eurozone countries under EDP surveillance is far from a minor nuisance but rather a powerful force capable of substantially restraining if not annihilating key pressures such as that of demography, unemployment, and even the crisis. The thesis is structured as follows. After introducing the purpose and relevance of the work in Chapter One, Chapter Two situates the analysis within the extant literature on the domestic determinants of the budget structure, fiscal rules, and the EU economic governance, which inform and ground the research questions and hypotheses presented in Chapter Three. From such premises, the methodological approach and research design are outlined in Chapter Four touching on the key empirical challenges and mitigation strategies deployed in assessing such a complex ecosystem. Four empirical chapters follow. Chapter Five uncovers heterogeneities in the effect of the EU economic governance over its different configurations (e.g. Eurozone, EDP surveillance) and subsequent regulatory framework (i.e. initial, post- 2005, and post-2011), together with the (mis)-alignment across the effect of the Pact on domestic budget structures and the prescriptions of the Country-Specific- Recommendations. Chapter Six and Seven are dedicated to the assessment of the effect of the Pact during the Great Recession and Eurozone crisis, evaluating whether - against the expectations derived from the escape clauses - any impact on the budget structure emerges at all during the crisis, considering as well at a granular level where the bite of the EU economic governance at crisis lands across budget lines. Chapter Seven continues along the same line considering the distributional effects on investments, transfers, and inequality mitigation during the crisis, taking a closer look at the social dimension and how the intergenerational balance of spending is altered. Chapter Eight concludes the empirical analysis evaluating the interaction between the Pact and the national context uncovering which political, institutional, and economic domestic configurations are most conducive to the impact of the SGP. Finally, Chapter Nine situates the key findings of the thesis in the context of the reform debate on the Pact and fiscal governance more in general, considering as well the insights and outlook for the future of political and economic integration which can be drawn for the unprecedented challenge of the Covid-19 crisis and (partial) policy evolution for the pandemic response.

 "They would not agree with one another any more than do the dog that is a heavenly constellation and the dog that is a barking animal." Spinoza"The concept dog doesn't bark." Louis Althusser Ever since reading Margherita Pascucci's Potentia of Poverty I have been thinking about the relation between Marx's thought and Spinoza's common notions. The question I am asking is not did Marx write Capital in and through common notions, as an application of Spinoza's thought. Although I am not entirely discounting such influence. Rather, what would be at stake in reading Marx through the common notions?  In case we are unclear on what Spinoza means by common notions, they appear most specifically in a few passages in Part II of the Ethics, the passages dedicated to what could be considered Spinoza's epistemology. Common notions are defined through a series of propositions. As Spinoza writes: EIIP37: "What is common to all things (on this see L2, above) and is equally in the part and in the whole, does not constitute the essence of any singular thing.  And in EIIP38: "Those things which are common to all, and which are equally in the part
and in the whole, can only be conceived adequately."What is at stake in this odd formulation, equally "in the part and in the whole" can be seen in the contrast Spinoza draws between common notions, transcendentals and universals in the long scholium to Proposition 40. As Spinoza argues transcendentals and universals stem from a confusions of parts and wholes, a confusion brought about by the confusion of images in the body. The first, transcendentals, stem from an overwhelming number of images, while the second, universals retain one image, one part, that then is used to define the universal. As Spinoza writes, "But when the
images in the body are completely confused, the mind also will imagine
all the bodies confusedly, without any distinction, and comprehend
them as if under one attribute, namely, under the attribute of Being,
Thing, and so forth. This can also be deduced from the fact that images
are not always equally vigorous and from other causes like these, which
it is not necessary to explain here. For our purpose it is sufficient to
consider only one. For they all reduce to this: these terms signify ideas
that are confused in the highest degree. Those notions they call Universal, like Man, Horse, Dog, and the
like, have arisen from similar causes, namely, because so many images
(e.g., of men) are formed at one time in the human body that they surpass
the power of imagining-not entirely, of course, but still to the
point where the mind can imagine neither slight differences of the singular
[men] (such as the color and size of each one, etc.) nor their determinate
number, and imagines distinctly only what they all agree in, insofar
as they affect the body. For the body has been affected most [NS:
forcefully] by [what is common], since each singular has affected it [by
this property]. And [NS: the mind] expresses this by the word man, and
predicates it of infinitely many singulars. For as we have said, it cannot
imagine a determinate number of singulars. "A transcendental would then be a whole without parts and a universal would be a part without whole, or a part that takes itself for the whole, as an aspect of humanity, featherless biped, rational, or speech is taken for the entirety. A common notion then is neither the whole nor the part, neither a singular thing nor a totality, but what is common for each. What then would be at stake in reading Marx through such a concept of a concept? As I said I have been wondering about this question. It turns out that I did not have to wonder because Nick Nesbitt has answered this question in his recently published book, Reading Capital's Materialist Dialectic: Marx, Spinoza, and the Althusserians. Nesbitt's book joins several recent books in trying to return to what could be considered peak Althusser, or peak Althusserians, the interventions of 1965 (I am thinking here of Estop's and Matthys' books). It is also, much to my delight, a recent book reconsidering Macherey's contribution, reading Macherey's contribution through his later works on Spinoza. I am not going to do justice to the book here (and will be writing a longer review as well as discussing it at Red May tomorrow), but I want to jump in where it considers this question of common notions. As Nesbitt writes, "What then is the nature of such common notions? For Spinoza, the crucial distinction between the inadequate, imaginary ideas we necessarily form from sense impressions, and common notions, is that the latter are ideas not about any given, actually existing singular thing (such as coats and linen or bakers and cotton spinners, among Marx's examples), but about certain qualities common to all things in general. In the wake of Galileo, who died in 1642, Spinoza's privileged example in these propositions is that of physical bodies as such, universally existing in space and following the general laws that govern their relations. If it is the case that 'all bodies agree in certain things' –i.e., that aside from their particular existences, they possess common characteristics,
which is to say their extension – then they therefore have in common
that 'they are determinations of extension, and are universally and identically
subject to the same laws of movement and rest'.  For Spinoza, this common nature is what allows for the development of a
general science of bodies, one that is founded on purely mathematical principles.
The essential characteristic of this scientific understanding of the physical,
material world, Macherey observes, is that it does not 'take into consideration
the existence of any specific body in particular, and is thus completely
abstract'. This immediately recalls Marx's famous defence of the powers of
abstraction for the analysis and critique of political economy: 'In the analysis
of economic forms neither microscopes nor chemical reagents are of assistance.
The power of abstraction must replace both'.Like Marx's scientific
critique of political economy ('The ultimate aim of this work [i.e., Capital, is]
to reveal the economic law of motion of modern society'), Spinoza's 'science', as
Macherey reads him, 'determines figures of regularity that, despite the perpetual
variations impressed on [actually existing, singular] bodies due to the fact
that they exist en acte, constitute the manifestation of a permanence regarding
which laws can be formulated independently of the existence of any particular
body'."Macherey's five volume on Spinoza remain a crucial sourceOne of the thing that Nesbitt stresses, as the paragraphs above indicate, is that the source of illusion, of inadequate ideas is the image, the impression on the body, an image of a specific thing. Inadequate ideas are representations and as such they are confused mixtures of the thing that affects a body and the body being affected. In contrast to this common notions are common to all things in general. There is no singular experience of motion and rest, no experience of motion or rest as such, even as motion and rest are part of all experience, of all our relations with things in the world.What would this mean for a reading of Marx? As Nesbitt argues, Marx often stressed the abstract nature of his own concepts, replacing wealth, an empirical concept with value (and surplus value) and thinking labor as both concrete and abstract labor. Following Nesbitt, we could then read all of the concepts of Capital, especially the first part, use value, exchange value, concrete labor, and abstract labor as common notions, as common to all existence under capitalism and in the part and in the whole. Such a reading is faithful to Marx's critique of political economy, in which the critique demonstrated how much of political economy remained tied to its own universals of labor, exchange, and self-interest, universals determined by a particular empirical content. I would argue that such a reading helps us deal with a tendency, one tied to our own particular finitude, a version of "seeing the better and doing the worse" to fill these concepts in with their own empirical or even phenomenological content.There is an entire history of readings, or misreadings of Marx, that are basically attempts to tie the concept of use value to some real use, or concrete labor to some real specific and singular labor. Is there a question more persistent or more annoying than that of who or is not a real worker? Or what real usefulness or real utility is in the face of exchange. What is funny about the latter is that Marx addresses it in the second paragraph of Capital when he writes "The nature of such wants, whether, for instance, they spring from the stomach or from fancy, makes no difference. Neither are we here concerned to know how the object satisfies these wants, whether directly as means of subsistence, or indirectly as means of production." Yet, readers, even sophisticated readers such as Baudrillard and Derrida have insisted that Marx means use value as tied to some anthropological coordinates of utility. A similar thing could be said about work. Many readers of work have imbued the concept, or concepts of labor, concrete, abstract, etc., with some kind of specific and particular meaning, some idea of what work looks like or feels like. (and I should mention that Nesbitt stresses that the concepts of concrete and abstract labor only work in and through their relations that constitute a positive dialectic). Such attempts are always going to be refracted through one's own particular experience of work. As I have noted elsewhere, they are not too different from trying to make sense of hoof prints in the mud. They are an attempt to make sense of what only exists in relation, in common, through a singular experience. These universals, universals tainted by a particular empirical image of making things, or of phenomenological experiences of being exhausted, can only lead to an endless debate and discussions, debate and discussions that miss the common, which is to say structural condition, of exploitation. The inevitable discussion of real work: Or, never read the commentsThere is more, much more, that can be said about Nesbitt's book and I am looking forward to our conversation, which I will link to here (assuming that you are reading this after it takes place on May 9th). To close, I will just cite a few more passages from Nesbitt what is at stake in thinking through common notions: "This political epistemology of common notions is grounded in what
Macherey terms 'a dynamic of rational knowledge', via the perfecting and
emendation of the capacity to grasp the real by means of ideas, in which the
intellect is led 'from the activity of [sensuous] perception, in which it is at its
most passive, to that of conception, in which it is the most active … passing
from the particular to the general through a progressive process of abstraction'.  The common notion as such thus possesses an inherent ethical and political
dimension: ideas that express properties common to all things are as such necessarily
'common to all humans', Macherey comments, 'which is to say that they
compose a common knowledge that can be universally shared'. This common
knowledge, accessible to all humans and necessarily identically conceived by
all who follow this democratic path, thus constitutes 'the condition for a mental
community among all people …. In so far as people form common notions
that are necessarily adequate, they are actually united, and constitute as such
a single intellect and a single body'. Macherey insists above all on the real
actuality of this intellectual commons of theoretical practice: 'In the intellect
of man, whoever he or she may be, there always exist common notions [such
as, I suggested above, a minimal idea of the nature of capitalism such as Marx
expresses in the first sentence of Capital] through which can be established
the forms of their union with other people, which is to say, with the maximum
possible others, and tendentially, with all"The video of the entire panel can be seen here: 

Issue 32.1 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 © 1972 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 January 1973 Volume 32 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, SJ.; St. Joseph's Church; 321 Willings Alley; Philadelphia, Pennsylvania 19106. Review for Religious Volume 32, 1973 / 1 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 (~ 1973 by Review ]or Religious. AIIocution on Secular Institutes On September 20 1972 members of the International Congress of Leaders of Secular Institutes were granted an audience with His Holiness, Pope Paul VI. During the audience the Holy Father delivered the following allocution, presented here in the English translation given in the Osservatore romano, English language weekly edition, October 5 1972, pages 3-4. Beloved Sons and Daughters in the Lord, once more we have the oppor-tunity of meeting you, Leaders of the Secular Institutes, who are and repre-sent a vigorous and flourishing section of the Church at this moment of history. The circumstance that has brought you before us is, this time, the International Congress which you have carried out and are about to con-clude here in Nemi, near our summer residence at Castel Gandolfo, and at which you examined the statutes of the "World Conference of Secular Institutes" (C.M.I.S.), about to be erected. We do not wish to discuss your work, which was certainly carried out with thoroughness and enthusiasm, under the watchful care and with the participation of the competent Sacred Congregation. We hope that it will reap rich fruits in relation to the increase of your institutions. Your Presence a Testimony We rather desire to dwell on some reflections about what the function of the secular institutes could be in the mystery of Christ and in the mystery of the Church. When we look at you and think of the thousands and thousands of men and women of whom you are part, we cannot but feel consoled, while a deep sense of joy and gratitude to the Lord comes over us. How strong and flourishing the Church of Christ appears in you! This venerable Mother of ours, whom some people today, even among her sons, take as the butt 4 / Review [or Religious, Volume 32, 1973/1 of harsh, pitiless criticism; about whom some delight in describing fanciful symptoms of decrepitude and in predicting ruin; here we see her, on the contrary, bursting continuously into bud and blossoming beyond all expec-tation with initiatives of holiness. We know that it must be so and could not be otherwise, because Christ is the divine inexhaustible source of the vi-tality of the Church; and your presence offers us a further testimony of this, and is for all of us an opportunity for renewed consciousness. But we wish to scan your face more closely, in the family of the People of God. You, too, reflect a "specific way" in which the mystery of Christ can be lived in the world, and a "specific way" in which the mystery of the Church can be manifested. Christ the Redeemer is such a fullness, which we will never be able to understand or express completely. He is everything for His Church. In her, what we are we are just because of Him, with Him, and in Him. Also for the secular institutes, therefore, He remains the ultimate example, the in-spirer, the source on which to draw. Based on Christ the Savior and following His example you are carrying out, in your own characteristic way, an important mission of the Church. But the Church, too, in her way, like Christ, is such a fullness, such riches, that no one by himself, no institution by itself, will ever be able to understand her and express her adequately. Nor would it be .possible for us to discover her dimensions, because her life is Christ, who is God. So also the reality of the Church, and the mission of the Church, can be expressed completely only in the plurality of members. It is the doctrine of the Mystical Body of Christ, the doctrine of the gifts and charisms of the Holy Spirit. A Consecrated Secularity This is the point, as you have understood, to ask ourselves about your particular way of carrying out the mission of the Church. What is your spe-cific gift, your characteristic role, the "quid novum" brought by you to the Church of today? Or: in what way are you the Church today? You know the answer; you have by now clarified it to yourselves and to the Christian community. You are at a mysterious confluence between the two powerful streams of Christian life, welcoming riches from both. You are laymen, consecrated as such by the sacraments of baptism and confirmation but you have chosen to emphasize your consecration to God with the profession of the evangeli-cal counsels assumed as obligations with a stable and recognized bond. You remain laymen, engaged in the secular values characteristic of, and peculiar to, the laity (Lumen gentium, 31), but yours is a "consecrated secularity" (Paul VI, Discorso ai Dirigenti e Membri degli Istituti Secolari nel XXV della "Provida Mater," L'Osservatore Romano, 3 February 1972), you are "secular consecrated" (Paul VI, Discorso ai partecipanti al Congresso ln-ternazionale degli lstituti Secolari, 26 September 1970, Insegnamenti A llocution on Secular Institutes VIII, p. 939). Though "secular," your position differs in a certain way from that of mere laymen, since you are engaged in the same worldly values, but as consecrated beings: that is, not so much to affirm the intrinsic validity of human things in themselves, but to direct them explicitly according to the evangelical beatitudes. On the other hand you are not religious, but in a certain way your choice is concordant with the religious, because the con-secration you have made sets you in the world as witnesses to the suprem-acy of spiritual and eschatological values, that is, to the absolute character of your Christian charity. The greater the latter is, the more relative it makes the values of the world seem, while at the same time it helps their correct implementation by yourselves and by your other brothers. Both Aspects Essential Neither of the aspects of your spiritual nature can be overrated at the expense of the other. They are both equally essential. "Secularity" indicates your involvement in the world. But it does not mean only a position, a function, which coincides with living in the world by practicing a trade, a "secular" profession. It must mean in the first place awareness of being in the world as "your specific place of Christian re-sponsibility." To be in the world, that is, to be engaged in secular values, is your way of being the Church and of making her present, of saving your-selves and of announcing salvation. Your existential and sociological con-dition becomes your theological reality; it is your way to realize and testify to salvation. Thus you are an advanced wing of the Church "in the world"; you express the will of the Church to be in the world in order to mold it and sanctify it "from within, in the manner of leaven" (Lumen gentium, 31), a task, too, which is mainly entrusted to the laity. You are a particularly concrete and efficacious manifestation of what the Church wishes to do to construct the world described and desired by Gaudium et Spes. "Consecration," on the other hand, indicates the intimate and secret carrying structure of your being and your acting. Here is your deep and hid-den wealth, which the men in the midst of whom you live cannot explain and often cannot even suspect. Baptismal consecration has been further radicalized as a result of an increased aspiration for love aroused in you by the Holy Spirit; not in the same form as the consecration of religious, but nevertheless such as to induce you to make a fundamental option for life according to the evangelical beatitudes. So that you are really consecrated and really in the world. "You are in the world and not of the world, but for the world," as we ourself described you on another occasion (Paul VI, Discorso ai partecipanti al Congresso Internazionale degli Istituti Secolari, 26 September 1970, lnsegnamenti, VII, p. 939). You live a real consecra-tion according to the evangelical counsels, but without the fullness of "visi-bility" characteristic of religious consecration; a visibility that is constituted, 6 / Review lor Religious, Volume 32, 1973/1 in addition to the public vows, by a closer community life and by the "sign" of the religious habit. Yours is a new and original form of consecration, prompted by the Holy Spirit to be lived in the midst Of temporal realities, and to bring the strength of the evangelical counsels--that is, of divine and eter-nal values--into the midst of human and temporal values. The Cross of Christ Your choices of poverty, chastity and obedience are ways of partici-pating in the cross of Christ, because they associate you with Him in the renunciation of goods which are elsewhere permissible and legitimate; but they are also ways of participating in the victory of the risen Christ, since they free you from the hold that these values might have on the full avail-ability of your spirit. Your poverty tells the world that it is possible to live among temporal goods and use the means of civilization and progress, without being enslaved by any of them. Your chastity tells the world that it is possible to love with disinterestedness and the inexhaustibility that draws on God's heart, and to dedicate oneself joyfully to everyone without tying oneself to anyone, taking care particularly of the most abandoned. Your obedience tells the world that it is possible to be happy without stopping at a comfortable personal choice, but remaining fully at the disposal of God's will, as it appears from daily life, from the signs of the times, and from the aspirations to salvation of the world of today. Thus, also your activity in the world--both personal and collective, in the professional sectors in which you are engaged individually or as a community--receives from your consecrated life a more marked orientation towards God, it, too, being somehow involved and swept along in your consecration. And in this singular and providential configuration, you enrich the Church of today with a particular exemplarity in her "secular" life, liv-ing it as consecrated beings; and with a particular exemplarity in her "con-secrated" life, living it as secular persons. Priests in Secular Institutes At this point we would like to dwell on a particularly fruitful aspect of your institutions. We are referring to the numerous group of those who, consecrated to Christ in the ministerial priesthood and wishing to be united to Him with a further bond of donation, embrace the profession of the evangelical counsels, joining the secular institutes in their turn. We are thinking of these brothers of ours in Christ's priesthood, and we wish to encourage them, while we admire in them, once more, the action of the Spirit, indefatigable in arousing desire for ever greater perfection. What has been said so far, certainly applies to them, too, but it would require further study and clarifications. In fact, they arrive at consecration in the evangelical counsels and commitment to "secular" values not as laymen, but as ecclesiastics, that is, bearers of a sacred mediation in the People of Allocution on Secular Institutes / 7 God. In addition to baptism and confirmation, which constitute the basic consecration of the laity in the Church, they have received a subsequent sacramental specification in holy orders, which have constituted them hold-ers of certain ministerial functions with regard to the Eucharist and the Mys-tical Body of Christ. This has left the "secular" nature of Christian voca-tion intact, and they can therefore enrich it by living it as "consecrated" persons in the secular institutes. The requirements of their spirituality are very different, however, as well as certain external implications in their practice of the evangelical counsels and in their secular commitment. Ecclesiai Communion In conclusion we wish to address a pressing and fatherly invitation to everyone: to cultivate and increase ecclesial communion, to have it at heart always and particularly. You are vital articulations of this communion, because you, too, are the Church; never make an attack on their effi-ciency. It is impossible to conceive or understand an ecclesial phenomenon outside the Church. Never let yourselves be overcome by, or even give thought to, the temptation, too easy today, that authentic communion with Christ is .possible without real harmony with the ecclesial community gov-erned by the legitimate pastors. It would be misleading and illusory. Of what value would an individual or a group be, however lofty and perfect their intentions might be subjectively, without this communion? Christ asked us for it as a guarantee to admit us to communion with Him, just as He asked us to love our neighbor as documentation of our love for Him. You are, therefore, of Christ and for Christ, in His Church; this Church is your local community, your institute, your parish, but always in the communion of faith, of Eucharist, of discipline, and of faithful and loyal collaboration with your bishop and with the hierarchy. Your structures and your activities should never lead you--be you priests or laymen--to a "bi-polarity" of positions, or to an "alibi" of interior and exterior attitude, far less to positions in opposition to your pastors. This is our invitation; this is our wish, in order that you may be in the midst of the world authentic operators of the one saving mission of the Church, in your own characteristic way, to which you have been called and invited. May the Lord thus help you to prosper and fructify further, with our Apostolic Blessing. Address on Religious Life Paul On October 19 1972 Pope Paul gave an audience to the.representatives of the national conferences of religious institutes of men and women together with the "Council of the Sixteen," a group composed of eight superiors general of men religious and of eight superiors general of women religious. During the audience the Holy Father delivered the following allocution which is printed here in an adaptation of the English translation that appeared in Osservatore romano, English language weekly edition, November 5 1972, page 5. Dear Sons and Daughters: Let Us first of all express to you the joy and emotion that we feel on receiving you. With Us you bear the honor and the weight of a great responsibility: the guidance and the authenticity of religi-ous life today. Beyond your persons we behold the thousands of men and women who devote their lives to following Christ in the practice of the evangelical counsels. They represent an immense hope for Us and for the entire Church. You have responded to the appeal of the Congregation for Religious and Secular Institutes to review during these few days the aggiornamento that the Council and your chapters have aroused and implemented, par-ticularly on the plane of prayer and common life. You have tried to ascer-tain how to overcome the tensions that are appearing--they are probably inevitable--within your different congregations and how to live, in a certain pluralism, the deep unity to which the disciples of Christ must bear witness. We are deeply satisfied with your collaboration with the Congregation which is charged with attending to and presiding over the solution of these problems and thereby with serving you. We hope that this collaboration will be more and more frequent, trusting, and fruitful. Religious Spirit Within the framework of this brief meeting today, it is not possible for Address on Religious Li]e / 9 Us to take up all the questions raised by the adaptation and renewal of religious life. Last year in our apostolic exhortation Evangelica testificatio, We set forth for you Our concerns and hopes on this matter. In the Lord's name We defined the criteria of discernment that will help to guide you along this demanding but compellingly attractive path to a more evangelical life. Webeg you to keep before your eyes and to meditate upon the various elements of religious life which We emphasized and to do this without ne-glecting any of them. This morning our only hope is to revive in you the "religious spirit" that must mark your persons and your communities as well as your positive adherence to the Church. You have chosen to live your baptismal vocation in the particular frame: work of the religious life; rather you have agreed to serve the Lord in this radical way which is a deep response to an evangelical appeal, a way which has p~'oved itself in the Church for centuries and which the Church has authenticated as an unequaled and indispensable testimony of the Beatitudes. We speak frankly to you: Be consistent with yourselves, be faithful to your vocation, do not let this essential character of religious life--which is youi" role in life--dissolve either in theory or in practice. Most Christians are called to affirm their faith and to exercise their charity as laymen with all the temporal responsibilities incumbent on them; their testimony is essential as We have often stressed. Some of them ale doing so today with the sup-port and according to'the requirements of a secular institute; and we have recently [see the preceding article in this issue of Review ]or Religious] praised again this new initiative. But all of thes6 laymen need your faith-fulness to your specific vocation as religious men and women. In addition to the vows of consecrated chastity, poverty, and obedience, religious life demands, as you know, a common life lived in complete brotherhood. It requires a particular kind of asceticism which leads you to renounce freely and joyfully the goods of this world as a sign of your attachment to the Lord Jesus loved for His own sake and above everything and even to the cross. It is manifested in an obedience which makes you completely available for the will of our Father. in heaven through the con-crete appeals of the Church and" of your superiors; it is the way that Jesus lived in obedience to His Father through the conditions of His incarnation (see Jacques Guillet, Jdsus-Christ hier et aujourd'hui .[Paris: Descl6e de Brouwer, 1963], pages 109-25). In short, you must aim at evangelical per-fection (see Mt 5:48) so as to be permanently living signs of the tran-scendency o[ the kingdom ot' God. Paradox of the Gospel Certainly, tl~is sign will not always be understood, and this not only by the "world," as understood by St. John, but even by men of good will and even by your Christian brothers and sisters. And as a result you will suffer. For this world is not only attracted--and sometimes enslaved--by posses- Review [or Religious, Volume 32, 1973/1 sions, power, and the flesh, but it has become supersensitive to the demand for personal development in the framework of complete autonomy. Accord-ing to some, your life may assume an aspect that is somewhat mysterious, strange, and even inhuman. And yet you know that what is foolishness in the eyes of men is wisdom in the eyes of God (see 1 Cor 1:25-7). Besides, would not the real scandal be to perceive that, on the pretext of adaptation, you renounce the requirements of prayer, humility, poverty, sharing, purity, simplicity, and disinterested service that Christ has asked of His disciples? Let us be clear: The form of religious life must not despise natural talents or personal charisms; it must serve the vocation of each person. And it is a heavy task for you as superiors to see to it that each of your brothers and of your sisters may develop in it and may be treated with con-sideration. But the paradox of the gospel--which you more than others have the mission to carry out fully--must not be forgotten: "For whoever would save his life will lose it, and whoever loses his life for my sake will find it" (Mt 16:25). Be assured that this love of the Lord, lived to the extent of renunciation of yourselves, cannot remain without fruit. As it brings you deep joy and the hope of eternal life, it will mysteriously open up for souls the way to the God of love. In this sense, do not fear to be fully religious. Concern for the Missions We will now deal briefly with the second subject of our talk. Such love of God, continually awakened by deep prayer and stimulated by fraternal life, cannot turn you aside from the missionary concern animating you today --a reality in which We greatly rejoice. Whether you live a contemplative or a directly apostolic life, love of the Church will be at the heart of your con-cerns. You will, of course, adhere to the true faith that she professes. You will welcome confidently the guidelines she lays down, the decisions she takes, in different fields for the good of all. At this time this testimony of loyalty of all religious in their union with the See of Peter seems to Us to be of vital importance. Look at history: This loyalty was always decisive at the periods when the Church undertook her great reforms. But, according to the specific charism of your institutes, you will also share the Church's determination to really meet this world, new as it is in so many respects. It is not a question of conforming to it, but of accepting it, of understanding it, and of loving it to the extent of announcing Jesus Christ to it with evan-gelical patience and according to the means best suited to its understanding. In each of your dioceses, regions, and countries, the bishops have the task, with their priests' and pastoral councils, of discerning priority needs, of directing pastoral efforts, and of coordinating them. Each institute must clearly define its personal identity in order to find its place in this service with its own vocation. There is no question of absorbing the wealth of your multiform, traditional charisms in an authoritarian grouping or in an impov- Address on Religious Li]e / 11 erishing leveling process. Nevertheless, each one must participate, in complete availability, in the mission of the Church in harmony with the apostolate ex(rcised in the People of God as a whole under the responsibility of the hierarchy. You will always remember that "exemption" itself concerns particularly the internal structures of your congregations (see Evangelica testificatio, no. 50); it must never be an obstacle to the implementation of a close, deep, cordial communion of sentiments and of action with your bishops. Conclusion Dear Sons and Daughters, We have been thinking of you these days and as we celebrated Mass in honor of St. Luke. You are among those disciples that the Lord is sending before Himself today. We beg the Master of the harvest to send you numerous companions, men and women, of tested loyalty. Already it seems to us that the moment has come for a revival of religious life in depth. Therefore go forth throughout the entire world. Take Christ's peace to it. By your own consecrated life, proclaim His good news: "The Kingdom of God has come near to you" (Lk 10:9). With Mary turn to the Lord in thanksgiving and with perfect availability. And We willingly im-part to you Our blessing. Instruction on Intercommunion Secretariat [or Promoting Christian Unity This English translation of the Latin text of the Instruction is taken from the August 1972 issue of ln[ormation Service published by the Secretariat for Promoting Christian Unity. 1. The Question We are often asked the question: in what circumstances and on what con-ditions can members of other Churches and ecclesial communities be ad-mitted to Eucharistic communion in the Catholic Church? The question is not a new one. The Second Vatican Council (in the decree on ecumenism Unitatis redintegratio) and the Directorium oecumeni-cure dealt with it.1 The pastoral guidance offered here is not intended to change the existing rules but to explain them, bringing out the doctrinal principles on 1The Decree on Ecumenism (Unitatis redintegratio), no. 8: "Yet, worship in common [communicatio in sacris] is not to be considered as a means to be used indiscriminately for the restoration of unity among Christians. There are two main principles upon which the practice of such common worship depends: first, that of the unity of the Church which ought to be expressed; and second, that of the sharing in means of grace. The expression of unity very generally forbids common worship. Grace to be obtained sometimes commends it. The concrete course to be adopted, when due regard has been given to all the circumstances of time, place, and persons, is left to the prudent decision of the local episcopal authority, unless the Bishops' conference ac-cording to its own statutes, or the Holy See, has determined other~vise." See also the Decree on the Eastern Churches (Orientalium Ecclesiarum), no. 27. Directorium ad ea qaae a Concilio Vaticano Secundo de re oecumenica promulgata sunt exsequenda (~ Directorium oecumenicum), A cta A postolicae Sedis, v. 59 (1967), pp. 574-92: "'1. Sharing in Liturgical Worship with Our Separated Eastern Brothers. Besides cases of necessity, there would be reasonable ground for encouraging sacramental sharing if special circumstances make it materially or morally impossible over a long period for one of the faithful to receive the sacraments in his own Church, so that in Instruction on Intercommunion / 13 which the rules rest and so making their application easier. 2. The Eucharist and the Mystery of the Church There is a close link between the mystery of the Church and the mystery of the Eucharist. (a) The Eucharist really contains what is the very foundation of the being and unity of the Church: the Body of Christ, offered in sacrifice and given to the faithful as the bread of eternal life. The sacrament of the Body and Blood of Christ, given to the Church so as to constitute the Church, of its nature carries with it: --the ministerial power which Christ gave to His Apostles and to their successors, the bishops along with the priests, to make effective sacramentally His own priestly act--that act by which once and forever He offered Him-self to the Father in the Holy Spirit, and gave Himself to His faithful that they might be one in Him; --the unity of the ministry, which is to be exercised in the name of Christ, Head of the Church, and hence in the hierarchical communion of ministers; --the faith of the Church, which is expressed in the Eucharistic action itself-~the faith by which she responds to Christ's gift in its true meaning. The sacrament of the Eucharist, understood in its entirety with these three elements signifies an existing unity brought about by Him, the unity of the visible Church of Christ which cannot be lost.~ (b) "The celebration of Mass, the action of Christ and of the people of God hierarchically ordered, is the center of the whole Christian life, for effect he would be deprived, without legitimate reason, of the spiritual fruit of the sacraments" (no. 44). "2. Sharing in Liturgical Worship with Other Separated Brethren. Celebration of the sacraments is an action of the celebrating community, carried out within the com-munity, signifying the oneness in faith, worship, and life of the community. Where this unity of sacramental faith is deficient, the participation of the separated brethren with Catholics especially in the sacraments of the Eucharist, penance, and anointing of the sick, is forbidden. Nevertheless, since the sacraments are both signs of grace and sources of grace (see the Decree on Ecumenism, no. 8), the Church can for adequate reasons allow access to those sacraments to a separated brother. This may be permitted in danger of death or in urgent need (during persecution, in prisons) if the separated brother has no access to a minister of his own communion and spon-taneously asks a Catholic priest for the sacraments--so long as he declares a faith in these sacraments in harmony with that of the Church and is rightly disposed. In other cases the judge of this urgent necessity must be the diocesan bishop or the episcopal conference. "A Catholic in similar circumstances may not ask for these sacraments except from a minister who has been validly ordained" (no. 55). See also "Una dichiarazione del Segretariato per l'Unione dei Cristiani: La posizione della Chiesa Cattolica in materia di Eucaristia comune tra Cristiani di diversi confes-sioni," Acta Apostolicae Sedis, v. 62 (1970), pp. 184-8. ~-See Lumen gentium, no. 3; Unitatis redintegratio, no. 4. 14 / Review for Religious, Volume 32, 1973/1 the universal Church as for the local Church and for each Christian.''3 Celebrating the mystery of Christ in the Mass, the Church celebrates her own mystery and manifests concretely her unity. The faithful assembled at the altar offer the sacrifice through the hands of the priest acting in the name of Christ, and they represent the com-munity of the people of God united in the profession of one faith. Thus they constitute a sign and a kind of delegation of a wider assembly. The celebration of Mass is of itself a profession of faith in which the whole Church recognizes and expresses itself. If we consider the marvelous meaning of the Eucharistic prayers as well as the riches contained in the other parts of the Mass, whether they are fixed or vary with the liturgical cycle; if at the same time we bear in mind that the liturgy of the word and the Eucharistic liturgy make up a single act of worship,4 then we can see here a striking illustration of the principle lex orandi lex credendi.~ Thus the Mass has a catechetical power which the recent liturgical renewal has emphasized. Again, the Church has in the course of history been careful to introduce into liturgical celebration the main themes of the common faith, the chief fruits of the experience of that faith. This she has done either by means of new texts or by creating new feasts. (c) The relation between local celebration of the Eucharist and uni-versal ecclesial communion is stressed also by the special mention in the Eucharistic prayers of the pope, the local bishop, and the other members of the episcopal college. What has been said here of the Eucharist as center and summit of the Christian life holds for the whole Church and for each of its members, but particularly for those who take an active part in the celebration of Mass and above all for those who receive the Body of Christ. Communion during Mass is indeed the most perfect way of participating in the Eucharist, for it fulfills the Lord's command, "Take and eat.''6 ¯ ~lnstitutio generalis Missal& romani, cap. I, n. 1. ¯ ~See Presbyterorum ordinis, 4. 5See Pius XI, Quas primas, Acta Apostolicae Sedis, v. 17 (1925), p. 598; Vatican Council II, Presbyterorum ordin&, 5; Sacrosanctum Concilium 2, 6. ~"'Perfectior Missae participatio"--Sacrosanctutn Concilium, n. 55. And see the in-struction Eucharisticum mysterium, n. 12, Acta Apostolicae Sedis, v. 59 (1967), p. 549. The fact of having received the same baptism does not of itself afford a title of admission to Holy Communion. Eucharistic sharing expresses the integral profession of faith and full insertion into the Church toward which baptism leads. This sacrament "constitutes the sacramental bond of unity existing among all who through it are reborn. But baptism, of itself, is only a beginning, a point of departure, for it is wholly directed toward the acquiring of fullness of life in Christ. Baptism is thus or-dained toward a complete profession of faith, a complete incorporation into the system of salvation such as Christ Himself willed it to be, and finally, toward a complete integration into Eucharistic communion"--Unitatis redintegratio, n. 22. Instruction on lntercommunion / 15 3. The Eucharist as Spiritual Food The effect of the Eucharist is also to nourish spiritually those who re-ceive it as what the faith of the Church says it truly isBthe body and blood of the Lord given as the food of eternal life (see John 6:54-8). For the baptized, the Eucharist is spiritual food, a means, by which they are brought to live the life of Christ Himself, are incorporated more profoundly in Him and share more intensely in the whole economy of His saving mystery: "He who eats my flesh and drinks my blood abides in me and I in him" (John 6:56). (a) As the sacrament of full union with Christ~ and of the perfection of spiritual life, the Eucharist is necessary to every Christian: in our Lord's words, ". unless you eat the flesh of the Son of man and drink his blood, you have no life in you" (John 6:53). Those who live intensely the life of grace feel a compelling need for this spiritual sustenance, and the Church herself encourages daily Communion. (b) Yet though it is a spiritual food whose effect is to unite the Christian man to Jesus Christ, the Eucharist is far from being simply a means of satis-fying exclusively personal aspirations, however lofty these may be. The union of the faithful with Christ, the head of the Mystical Body, brings about the union of the faithful themselves with each other. It is on their sharing of the Eucharistic bread that St. Paul bases the union of all the faith-ful: "Because there is one loaf, we who are many are one body, for we all partake of the same loaf" (1 Cor 10:17). By this sacrament "man is in-corporated in Christ and united with His members.''~ By frequent receiv-ing of the Eucharist the faithful are incorporated more and more into the Body of Christ and share increasingly in the mystery of the Church. (c) Spiritual need of the Eucharist is not therefore merely a matter of personal spiritual growth: simultaneously and inseparably, it concerns our entering more deeply into Christ's Church "which is his body, the fullness of him who fills all in all" (Eph 1:23). 4. General Principles Governing Admission to Communion Where members of the Catholic Church are concerned, there is a perfect parallel between regarding the Eucharist as the celebration of the entire ecclesial community united in one faith and regarding it as sustenance, as a response to the spiritual needs, personal and ecclesial, of each member. It will be the same when, in the Lord's good time, all the followers of Christ rSee Presbyterorum ordinis, 5. sCouncil of Florence, Decretum pro Armenis, DB 698 = DS 1322. In the work of St. Thomas Aqu!nas we often come across the expression "sacra-mentum ecclesiasticae unitatis" (for example, S.T., q.73, a.2, sed contra). The Eucharist effects the unity of the Church or, more strictly, it effects the Mystical Body because it contains the real Body of Christ. 16 / Review ]or Religious, Volume 32, 1973/1 are reunited in one and the same Church. But what are we to say today, when Christians are divided? Any baptized person has a spiritual need for the Eucharistic. Those who are not in full communion with the Catholic Church have recourse to the ministers of their own communities, as their conscience dictates. But what about those who cannot do this, and who for that or other reasons come and ask for communion from a Catholic priest? The Directorium oecumenicum has already shown how we must safe-guard simultaneously the integrity of ecclesial communion and the good of souls. Behind the Directorium lie two main governing ideas: (a) The strict relationship between the mystery of the Church and the mystery of the Eucharist can nev+r be altered, whatever pastoral measures we may be led to take in given cases. Of its very nature celebration of the Eucharist signifies the fullness of profession of faith and the fullness of ecclesial communion. This principle must not be obscured and must remain our guide in this field. (b) The principle will not be obscured if admission to Catholic Eucharis-tic communion is confined to particular cases of those Christians who have a faith in the sacrament in conformity with that of the Church, who experi-ence a serious spiritual need for the Eucharistic sustenance, who for a pro-longed period are unable to have recourse to a minister of their own com-munity and who ask for the sacrament of their own accord; all this pro-vided that they have proper dispositions and lead lives worthy of a Christian. This spiritual need should be understood in the sense defined above (no. 3, (b) and (c): a need for an increase in spiritual life and a need for a deeper involvement in the mystery of the Church and of its unity. Further, even if those conditions are fulfilled, it will be a pastoral responsibility to see that the admission of these other Christians to com-munion does not endanger or disturb the faith of Catholics.9 5. Differences between Members of the Eastern Churches and o| Other Churches The Directorium oecumenicum1° gives different directions for the admis-sion to Holy Communion of separated Eastern Christians, and of others. The reason is that the Eastern Churches, though separated from us, have true sacraments, above all, because of the apostolic succession, the priest-hood and the Eucharist, which unite them to us by close ties, so that the risk of obscuring the relation between Eucharistic communion and ecclesial communion is somewhat reduced.1l Recently the Holy Father recalled that ~See Orientalium Ecclesiarum, 26. lOSee Directorium oecumenicum, nos. 44 and 55. liThe ~ollowing are two important passages from the Directorium derived from Council documents: "39. Although these [Eastern] Churches are separated from us, yet they possess Instruction on Intercommunion / 17 "between our Church and the venerable Orthodox Churches there exists already an almost total communion, though it is not yet perfect: it results from our joint participation in the mystery of Christ and of His Church.''1'' With Christians who belong to communities whose Eucharistic faith differs from that of the Church and which do not have the sacrament of orders, admitting them to the Eucharist entails the risk of obscuring the essential relation between Eucharistic Communion and ecclesial communion. This is why the Directorium treats their case differently from that of the Eastern Christians and envisages admission only in exceptional cases of "urgent necessity." In cases of this kind the person concerned is asked to manifest a faith in the Eucharist in conformity with that of the Church, i.e. in the Eucharist as Christ instituted it and as the Catholic Church hands it on. This is not asked of an Orthodox person because he belongs to a Church whose faith in the Eucharist is conformable to our own. 6. The Authority to Decide Particular Cases Number 55 of the Directorium allows fairly wide discretionary power to the episcopal authority in judging whether the necessary conditions are present for these exceptional cases. If cases of the same pattern recur often in a given region, episcopal conferences can give general directions. More often, however, it falls to the bishop of the diocese to make a decision. He alone will know all the circumstances of particular cases. Apart from the danger of death the Directorium mentions only two ex-' amples, people in prison and those suffering persecution, but it then speaks of "other cases of such urgent necessity." Such cases are not confined to situ-ations of suffering and danger. Christians may find themselves in grave spiritual necessity and with no chance of recourse to their own community. For example, in our time, which is one of large-scale movements of popu-lation, it can happen much more often than before that non-Catholic Chris-tians are scattered in Catholic regions. They are often deprived of the help of their own communion and unable to get in touch with it except at true sacraments, above all--by apostolic succession--the priesthood and the Eucharist, whereby they are still joined to us in closest intimacy. Therefore some sharing in liturgical worship [communicatio in sacris], given suitable circumstances and the approval of Church authority, is not merely possible but is encouraged (Decree on Ecumenism, n. 15; see also the Decree on the Eastern Catholic Churches, nos. 24-29). "40. Between the Catholic Church and the Eastern Churches separated from us there is still a very close communion in matters of faith (see Decree or! Ecumenism, n. 14); moveover, 'through the celebration of the Eucharist of the Lord in each of these Churches, the Church of God is built up and grows in stature' and 'although separated from us yet these Churches possess true sacraments, above a.ll--by apostolic succession--the priesthood and the Eucharist' (ibid., n. 15)." 1"-'Letter to Patriarch A thenagoras, February 8, 1971, printed in Osservatore romano, March 7, 1971. It had been given to Metropolite Meliton of Chalcedon during his visit to the Holy Father on February 8, 1971. 1~1 / Review ]or Religious, Volume 32, 1973/1 great trouble and expense. If the conditions set out in the Directorium are verified, they can be admitted to Eucharistic Communion but it will be [or the bishop to consider each case. The Supreme Pontiff Paul VI approved this pastoral instruction and ordered it to be a part of public law through a letter of the Cardinal Secre-tary ot~ State dated May 25, 1972, and sent to the undersigned Cardinal President. Given at Rome in the offices of the Secretariat for Promoting Christian Unity, June 1, 1972. JOHN CARDINAL WILLEBRANDS President JEROME HAMER, O.P. Secretary Commentary on the Instruction on Intercommunion Jerome Hamer, O.P. The following commentary on the preceding instruction was written by the secretary of the Secretariat for Promoting Christian Unity and was published in Italian in Osservatore romano, July 8, 1972. The English translation is that published in the August 1972 issue of the lnIorrnation Service of the Secretariat for Promoting Christian Unity. 1. The instruction just published proposes to explain the doctrinal rea-sons for the regulation of the Church as outlined in the Conciliar decree Unitatis redintegratio and in the first part of the Ecumenical Directory which was published on 14 May 1967. It is intended as a help to the bishops in the concrete decisions they have to make in regard to admitting to Eucharistic Communion Christians not in full communion with the Catholic Church. The doctrinal reasons for the regulation made by the Church are to be found briefly expressed in the two documents mentioned above. It seemed useful, however, to give a more ample exposition of these reasons in order to facilitate the application of a regulation which touches on certain basic points of our faith. 2. On the one hand there is a close bond between the mystery of the Eucharist and the mystery of the Church, and on the other hand the Eucharist is a spiritual nourishment whose effect is to join the Christian in person with Jesus Christ and to bring him yet more deeply into Christ's Church. These two statements are of equal importance and have both to be safe-guarded, whatever may be the pastoral decisions which pastors are called upon to make in particular circumstances. As it is, generally speaking, on the second statement that those who ask for "Eucharistic hospitality" in the Church base their request, the instruction aims to remind those concerned what may not be done at the expense of the first statement in which the inde- 19 20 / Review lor Religious, Volume 32, 1973/1 structible bond between the Eucharist and the Church is underlined. The regulation itself in regard to this matter, however, changes with the times. That brought in by Vatican Council II offers somewhat more of a welcome than the one in force previously. But the profound doctrinal reasons remain unchanged, because these are bound up with the very nature of our Eucharistic belief. The instruction does not simply take its stand on a general question of principle. It shows how the two statements can be safeguarded at the same time, and are in fact safeguarded, in the actual regulation laid down by the Church. Those called upon to express their views on this matter must constantly be concerned not to sacrifice the one statement in favor of the other. We have no intention of repeating here what can be found explicitly stated in the instruction. We wish simply to underline one point which this document puts very clearly. To ask a Catholic priest for the Eucharist, a member of another Christian community must feel "a serious spiritual need of nourishment from the Eucharist" (cf. 4b and 6). That sets the problem on a high level, that namely of profound spiritual needs. 3. The regulations laid down for admission to Eucharistic Communion are less stringent in the case of those belonging to the Eastern Churches, not in full communion with us, than they are in the case of other Christians. Why this discrimination? The reason is to be found in the first of the two statements mentioned above. On the question of profession of faith, of the sacraments, and of ecclesiastical structure, the Eastern Churches are very close to us, and so the risks of obscuring the essential bonds between the Church and the Eucharist are notably less. The instruction recalls the Holy Father's recent declaration as to the "communion almost total, though not yet perfect" between the Orthodox Church and our own. On the particular point of belief in the Holy Eucharist these Eastern Churches hold a faith conformable to ours in virtue ol the prolession ol ]aith made by the same Churches. On the occasion of being admitted to Holy Communion, therefore, their members will not be asked for a personal profession of faith in this sacrament "as instituted by Christ and in ac-cordance with the tradition of the Catholic Church." 4. The instruction ends with a brief comment on no. 55 of the Ecu-menical Directory. It recalls first of all the extent accorded by the Directory itself to the authority of the bishops in applying the general criteria to par-ticular cases. It then makes it clear that the two cases mentioned as examples in no. 55, namely deprivation of freedom and conditions of persecution, are not the only ones in which there is to be discerned a great spiritual need for the reception of the Holy Eucharist. It is clear that a need of this kind can be felt even apart from situations of suffering and danger. The case given of the diaspora (groups of non-Catholics settled in a Catholic country) is illuminating on this point. Instruction on lntercommunion / 21 5. The instruction is, then, an expansion of certain points of the 1967 Directory, which itself still remains in force. We may recall that this Direc-tory was the work of a "plenary meeting" of the Secretariat for Promoting Christian Unity (this "Plenary" is the annual session on the part of the mem-bers of the Secretariat, composed of 7 Cardinals and 24 Bishops), to meet a need already made manifest in the Council. It was produced with the active collaboration of experts from different countries, of episcopal confer-ences throughout the world, and of various organizations pertaining to the Roman Curia, such as the Sacred Congregations for the Eastern Chu:ches, for the Evangelization of the Peoples, and for the Doctrine of the Faith. The Directory was approved by the Holy Father during an audience granted to the "Plenary" of the Secretariat on 28 April 1969. 6. A more or less similar procedure was adopted and followed in the case of the present instruction: --In February 1968 a mixed commission was set up, chosen from the Secretariat for Promoting Christian Unity and from the Sacred Congrega-tion for the Doctrine of the Faith, to study the interpretation to be given to certain norms laid down in the Conciliar decree Unitatis redintegratio and in the Ecumenical 'Directory on the question of "communicatio in sacri$." --In November 1969, the "Plenary" of the Secretariat was informed as to the conclusions arrived at by the commission, and then discussed the whole problem on the basis of a document prepared by a committee of its own Consultors. The "Plenary" requested the Cardinal President to set up a commission limited to three bishops to pursue the study of the whole matter. --As a practical result of this resolution there was a meeting of the three bishops concerned from May 30 to June 2, 1970, in which the question was studied, use being made of nine considered opinions given by as many specialists (Biblical scholars, historio-patrologists, theologians). This com-mission produced a report which was submitted to the "Plenary" of 1970. --In 1971, a new mixed commission, chosen from the Secretariat for Promoting Christian Unity and the Sacred Congregation for the Doctrine of the Faith, determined the line to be followed in the production of a new pastoral instruction. This commission worked on two basic documents: the conclusions of the first commission (1968-69) and the report from the meeting of the three bishops (May-June 1970). --Along the lines determined upon, a sample instruction was worked out, which the Cardinal President of the Secretariat for Promoting Christian Unity submitted to the Sacred Congregation for the Doctrine of the Faith with a view to agreement and possible observations. A definitive reply was given by this Congregation on 8 February 1972. --On being submitted to the Holy Father, the present instruction was approved on 25 May 1972. 7. With this approval of the Holy Father the present instruction is Review for Religious, Volume 32, 1973/1 now offered to all those who have need to formulate exactly the motives for the practice adopted by the Church, whether it be in pastoral directives, or in preaching, or in teaching, or in catechetics. Both the faithful of the Catholic Church and also the other Christian brethren who read it can judge how clearly our mode of action in this matter flows from our most profound religious convictions. We feel sure that this text will be studied by all with the same anxious desire for truth, for understanding, and for fraternal charity, as that which has inspired all those who have contributed to its production. Rome, June 29, 1972. The Prophetic Challenge of the American Sister Segundo Galilea Segundo Galilea is the Director of the Instituto Pastoral Latinoamericano in Quito, Ecuador. His article was sent to the REVIEW through the kindness of Hermana Lucy Martinez; State Coordinator of Las Hermanas of Colorado; 3635 Humboldt; Denver, Colorado 80205. I write this during the Bishops' Synod in Rome. They are discussing situa-tions of injustice in the world--above all, in the Third World. I do not know what solutions they will arrive at, but the theme of the Synod is in itself a message: it reminds us that the Third World is a world of injustice and poverty. I write as a Latin American priest. This means that I belong to a part of the Third World whose population suffers from chronic conditions of misery and injustice, while at the same time it becomes more and more conscious of the causes and their possible solutions. This is why Latin America is a continent in the process of revolution: its people look for rapid changes in order to arrive at a more just society. The Old Vision and the New Until a short time ago there was talk of poor countries and rich ones, o[ progressive countries and backward ones. The United States was a progressive, rich country and Latin America was backward and poor. What was needed, then, was to help the backward regions to progress. Govern-ments and individual North Americans have dedicated themselves for several decades to make loans and investments in South America. Idealistic and generous individuals have continuously traveled south in a hardy pilgrim-age, to collaborate in that development. The Christian layman and the American religious have participated in the vision of these things by degrees extending from paternalism to the conviction that there is a need for more 23 24 / Review [or Religious, Volume 32, 1973/1 intense help lent by the North to the Latin Americans towards a develop-ment of themselves by themselves. Nowadays, for the conscientious Latin American, the existence of this vision has ended. In this fact is rooted his awareness of change. He has seen that the poverty of some countries is not only backwardness, but that it is due in a high degree to the richness of others. That is to say, wealth in the modern world consists of the power to impose international systems of markets, of interchange, and of industry which benefit the rich coun-tries and do further harm to the poor. Today the whole world knows that the poverty of Latin America is simply the shadow of the wealth of the United States, that there are not underdeveloped countries and developed ones, that there are only independent ones and those dependent upon them from a socio-economic point of view. (Latin America depends upon the United States.) We know today, too, that there are no rich countries and countries on the way to development, but only rich countries and countries on the way to greater underdevelopment. While the United States becomes richer every day, Latin America becomes poorer in the same measure. The loans and investments of North America do not really help us; they only tend to make the masses of Latin America more beggarly. Every economist knows that for each dollar that the United States invests in Latin American countries today, it gets back four per year. Therefore, when President Nixon fourteen months ago asked of a South American President if in his judgment the United States had sufficiently helped along the progress of his country within the past decade, the answer may have come as a surprise to any malinformed North AmeriCan: "On the contrary, I believe that my country has contributed considerably to the enrichment of the United States." Principal Source of Third World Poverty This very serious situation is the principal source of the poverty and in-justice of the Third World, more especially of Latin America, since the African Poverty is due in a larger manner to Europe. But it would be sim-plistic to particularize responsibilities blaming the government, or the com-panies, or the citizens of the United States, or the South American oli-garchies which benefit from this situation. The blame lies not in groups or persons who in their good will have often thought they were of help, but in the system: a system of economic and social relations which has made slaves of poor countries and has left rich ones to bask in a dulled conscience, believing that they apparently cannot do much else outside of extending personal and economic help. This is sufficient to calm their worry but does not allow them a vision of the basic problem: the necessity to liberate poor countries and to convert rich ones into abandoning their privileges according to the system. The liberation of Latin America and the conversion of the United States within a system of justice and not Challenge o] the American Sister of domination depend one upon the other. It seems to me that the differ-ence lies upon the more vital conscientization of the Latin American, inso-far as his need for liberation is greater than the North American's con-scientization of his conversion to a system which would tear him out of a consumer society and an economic domination. Furthermore, this conversion is not made easier by the degree in which the people of the United States has become, because of its riches, closed in upon and satisfied with itself. If this conversion does not come about, though, there will not be justice in the world---which paves the way in the coming decade for the violent revolution of the Third World. Prophetic Role of U.S.A. Church Confronted by these circumstances, I think the Church in the United States has a decisive and prophetic role. It should be the moral force-- disinterested and.free--to voice the interests of the poor fighting for their liberation, be they Negro, Chicano, or Latin American. It should be a prophetic voice capable of awakening the consciences not only of Catho-lics but of every North American of good will, to his responsibility as an influence within his own country towards ch~inge ending in international justice. The reason is that nowadays it is no longer a matter of going to Latin America to work for its development but of remaining in the United States to work for the reform of a system responsible for the misery of others. More important than going to teach the poor children of the Andes is the formation of a Christian youth convinced of the necessity to push for internal change once they attain to influential positions. This is why I believe that the North American sister confronts a prophet-ic challenge. My impression is that she is still the apostolic agent exerting the greatest influence in the North American Church given her position, up to now, as educator and catechist. For the same reason I believe that she must re-examine radically her educational attitudes and decide up to which point in time she will continue to form Christian generations of conform-ists satisfied with the prevailing system and little conscious of any serious social responsibilities. Each sister, then, should represent the prophetic conscience of the Church who frees its sons out of their "good conscience" and leads them towards social change. On the other hand, many sisters who have discovered either the Latin American situation or the poverty of the world have thought that the best way to make a personal response is to migrate south as missionaries. This, I repeat, is today more and more unnecessary. The role of the religious is to work for the conversion and conscientization of her native country, to be an impulse toward its social justice, rather than work in development programs in neighboring countries which in the end do not solve the basic cause of poverty--found more with the United States than Latin America. Review ]or Religious, Volume 32, 1973/1 Escaping Future Mediocrity I believe that if the North American religious communities want to escape from future mediocrity, they will have to create ways of making their sisters aware of these problems. This work is the responsibility of every Christian seeking justice, and it is nothing distant or alien to him. Each religious community should make of each one of its sisters a prophet of justice and of war against misery, capable of transmitting her message to various groups and generations of American Christians educated by her to a diversity of social roles. This means that evangelization in the United States should remind each citizen and the whole society that conversion to the kingdom implies not only personal changes but also a collective responsibil-ity towards social and legal transformations opening the way for the libera-tion of the poor countries. If religious life avoids these problems in its preaching of the gospel, it shall remain at the margin of history and will become irrelevant--because, in the end, the surest signs of reform within religious life are not external ones involved in activity, but the capacity to give prophetic answers to the problems of today's history. Contemporary Religious Spirituality and the Signs of the Times Robert S. Pelton, C.S.C. Father Robert Pelton has served as the Vicar for Religious Institutes in the Arch-diocese of Santiago, Chile. He is now the theological adviser for the programs of religious renewal within the same archdiocese. He is also the theological adviser of the Sisters of the Holy Cross in the United States. His United States address is: The Presbytery; St. Mary's; Notre Dame, Indiana 46556. The text of the article was originally an address given at Mundelein College on July 16 1972 at the request of the Theology Committee of the Leadership Conference of Women Religious. Preliminary Observations In his 1971 Exhortation to Religious, Pope Paul said: The aspirations of men to a more fraternal life among individuals and nations require above all a change in ways of living, in mentality and hearts. Such a mission, which is common to all the People of God, belongs to you in a special way. How can that mission ever be fulfilled if there is lacking an ap-preciation of the absolute, which results from a certain experience of God? This does but emphasize the fact that authentic renewal of the religious life is of capital importance for the very renewal of the Church and of the world,x I now wish to reflect upon such an authentic renewal in the context of the reality of our world--the "signs of the times.'"- I wish to discern with you the hopeful implications of this document, relating this to other docu-ments of the Church, and in particular those of Latin America where a special effort is being made to relate to the extraordinarily rapid changes in our times. 1Evangelica testificatio, § 54. "A Scriptural expression (Mt 16:1-4 and Lk 12:54-7) which was used in the Second Vatican Council and in particular in the Pastoral "Cotzstitution on tile Church in the World (nos. 4, 11, 40, and 44). 27 28 / Review [or Religious, Volume 32, 1973/1 Fresh Implications for Our Spirituality In a particular way we, as religious, are being called to a deeper in-volvement in the Church's contemporary mission? This implies a more Scriptural understanding of "world" and a fuller understanding of "ascetics." In the New Testament those who spoke about the world belonged to a small and threatened group. Thus, for the early Christians, "world" referred to an attitude hostile to the Lord? In Christ's actions we see that the sep-aration between God and the world is fundamentally that of sin. It is in the understanding of "new life" that we come to grasp what our attitude to-ward the world should be. It is in the context of redemptive life and growth that theology describes the world for us. In contemporary theology, we may say world is all that touches us in our human experience, that which gives meaning to our lives, that which affirms life, that which has been completed and that which is still in process and projection, that which suffers. In the documents of Vatican II we have a similar description: ¯ . . the Council focuses its attention on the world of men, the whole human family along with the sum of those realities in the midst of which that family lives. It gazes upon that world which is the theater of man's history, and carries the marks of his energies, his tragedies, and his triumphs; that world which the Christian sees as created and sustained by its Maker's love, fallen indeed into the bondage of sin, yet emancipated now by Christ.5 Christian Asceticism Authentic Christian asceticism in any age is essentially a Paschal exis-tence, a creative and dynamic struggle in which new life emerges only through death. Both theology and modern day social sciences contribute significantly to the understanding of this asceticism. 1. Theological Principles In the Gospels we find ample evidence of the necessity to renounce oneself in order to arrive at Christian perfection: 3Evangelica testificatio, §§ 52, 53. aSee Jn 17:15-21. This is a classic text which develops this point: "I am not asking you to remove them from the world, but to protect them from the evil one. They do not belong to the world any more than I belong to the world. Consecrate them in truth; your word is truth. As you sent me into the world, I have sent them into the world, and for their sake I consecrate myself so that they too may be consecrated in truth. I pray not only for these, but for those also who through their words will believe in me. May they all be one." The last sentence points out in particular the social mission of Christians. ¯ "Gaudium et spes, no. 2. The description of world and the later observations on asceticism are taken from Reflexiones pastorales, no. 4, 1971 (Vicario de Religiosos, Archdiocese of Santiago, Chile). This is a pastoral study prepared by the present author with a team of religious. Contemporary Religious Spirituality Then Jesus said to his disciples, "If anyone wants to be a follower of mine, let him renounce himself and take up his cross and follow me. For anyone who wants to save his life will lose it; but anyone who loses his life for my sake will find it" (Mt 16:24-5). Then he said, "If anone wants to be a follower of mine, let him re-nounce himself and take up his cross every day and follow me" (Lk 9:23). We must see this call to renunciation in terms of. the central mystery of Christianity: that of the death and resurrection of Jesus, and in terms of man's existential relation to the world. For Jesus, His death was His total gift of self to the Father, and for man and the world who are in-separably related. In His final prayer at the Last Supper, Jesus speaks of his "sanctification" or "consecration" to God by means of a total renuncia-tion of self. He often repeated, "I go to the Father." There was a distance that He had to overcome between Himself and the Father. He returns to the Father by a sanctification, by dying to the world of sin, and by rising to God. In Christ's return to the Father the personal sanctification of Jesus and the redemption of mankind take place. Jesus experienced the incompleteness of man and the need to over-come the distance that exists within man himself and the distance that exists between man and the Father. This "distance" or lack of integration is part of man's lot. Perfection for Jesus, as for all men, was overcoming the forces of disintegration, the forces which tend to make communion with men and God impossible. Man's incompleteness, his situation of imperfection is one in which there exist forces of evil and sin; that is, forces which tend to man's disintegration. Man's existence is a constant struggle to overcome these forces and to attain a union, a harmony, an integration within himself, with his fellow man, with nature, and with the world which is the place where he realizes this process. For the Christian the more he comes to live the Paschal mystery, the more he attains integration. And in order to attain it, he must enter with Jesus into an attitude of "consecration" by a total renunciation of the forces which tend to his dissolution. In this way the Christian accepts the call to renunciation of self and lives in a very personal way the death and resurrection of Jesus. With Christ he thus reduces the distance between himself and the Father. It must be noted here more explicitly that the aspect of renunciation (death) for the Christian operates only in function of his perfection or integration (resurrection). A renunciation .which is practiced apart from this spirit is neither Christian nor humanly of value. 2. Creative Discipline If there is anything the movement toward secularization has taught us, it is that man's search for perfection or integration is at its core a deeply human process. This articulates what Irenaeus said many centuries ago 30 / Review ]or Religious, Volume 32, 1973/1 about God being greatly glorified by man who is fully alive." .We have also come to see with greater clarity that complete integration is only at-tained through our total harmony with God as well as with the world. Expressed differently, integration is a process which includes all the ele-ments of our human experience, our relationship with ourselves in our own unique psychological and physical make-up, our relationship with the world in which we live, and our relationship with God who is the ground and center of our being. Certain aspects of this process seen in secular terms help us to amplify our understanding of Christian perfection, salvation, and particularly the role asceticism plays in its realization. Let us consider, first of all, the example of a human interpersonal rela-tionship. For a relationship to be of deep and lasting value it must be rooted in the dynamic rhythm of a mutual active sensitivity as well as a certain mutual creative discipline. Both grow out of an interior harmony within ourselves. To attain this harmony we must be sensitive to ourselves, and the relation that exists between ourselves and our friend, including both our capabilities and our limitations. The depth of our relationship will de-pend upon the quality of our perception together with a type of interior discipline. A denial of self is essential to the development of a meaningful inter-personal relationship. In this there is a need for creative fidelity which demands a balance between activity and receptivity in struggling to over-come the distanc~ which separates us from the other. This fidelity includes a faithfulness to what is perceived through sensitive listening as well as an excrcise of delicate initiative. Such an interpersonal relationship is a fragile, delicate, and tenuous experience. We enter into a reflection upon ourselves in a simultaneous act of identification with and separation from the object of our love. At certain moments we will assume a posture of disciplined separation to gain perspective, to evaluate, while constantly maintaining a sensitivity toward further growth. In' such growth there is an analogy with that which Christ achieved as He approached the Father in the redemp-tive act. Such an interpersonal relationship frees a person to be even more crea-tive in dealing with others. This whole process might be described as an ac-tive sensitivity which is quite different from a determined manipulation of self which has been understood and practiced as Christian discipline by many in the past. 3. Christian Asceticism as Creative Discipline Now let us look at this same human process in a more specifically reli-gious context to explore more deeply our understanding of Christian asceti-cism. The Christian, therefore, finds himself in the world, which is the place in which he works toward a fundamental integration and union with "See Adversus haereses, V, 3, 2; IV, 2. Contemporar[y Religious Spirituality / 31 himself, with his fellow man, with nature, alnd with God. His vocation is precisely this struggle for perfection, or lntegrat~on, as it might more aptly be called. Redemption comes to us through Jesus who in His gift of self overcame the incompleteness of man and the distance tl~at exists between man and the Father. The Christian attains his own personal sanctification in his identi-fication with Jesus. The renunciation of self; in this process is parallel to that of the development of a true human friendship. In his work of inte-gration the Christian must be sensitive to him~self, to his possibilities, to his limitations. His work, which is defined in tertrns of his human and Christian I vocation, demands the same discipline: openn,ess and sensitivity to the world in which he lives, to the inspiration of the Spirit, to his fellow man. He must be open to the Spirit in order to recognize His inspirations. He must enter into reality, into profound relationships with the world, in an attitude of complete giving, presence, a~nd service to that portion of reality which is his. He makes his activity in Ithe world an extension of him-sel~ and his inspiration. At the same time hie draws back in a disciplined separation from his activity in an attitude ~f quiet listening. By attaining a clearer recognition of inspiration, his activity once again becomes in- I ¯ spired and attains a greater quality of expression. Active sensitivity might ¯ also describe Christian asceticism. The ~deas of asceticism expressed in I terms of disciplined separation, of a drawing close in identification and of active sensitivity, might also be expressed in terms of a "rhythm of develop-ment and renunciation" and of "attachment and detachment" according to the thought of Teilhard de Chardin.~ f 1 Within the context outlined, we must be care u to recognize that Chris-tian asceticism is not merely an exercise of abnegation for the sake of ab-negation. Neither ~s it a practice that wdl automatically result in the per-sonal sanctification of the individual by the mere fact that he has denied himself. This concept of asceticism is an error that has continued too long ¯ in the formation of Christians and of relig~ou,s. Abnegation is part of a total process; apart from that process it has no value. God does not wish the suf-fering of men. The element of suffering that enters into the process of crea- I tive discipline defined in Christian terms is merely a side effect and not a goal. The Christian must not concentrate on the "value of his suffering," as if suffering were that which is of value. I~ itself, suffering has no value. It is merely an element of the dialectic into lwhich the whole person enters as a response to the Spirit and in identificati6n with Jesus in his self-giving. Asceticism depends not only upon man b~t upon the Spirit who invites the Christian to a free response and active cooperation. Christian asceticism consists in fidelity to the inspiration of the Spirit in a response of active sen-sitivity to that call. ;Pierre Teilhard de Chardin, The Divine Milieu (London: Fontana, 1965), p. 99. 32 / Review ]or Religious, Volume 32, 1973/1 It is only through such a liberating spirituality that we will be open to discover the "signs of the times" and thus contribute our share to the build-ing of the kingdom in Christ's vision that He may be fully all in all. An Integrated Vision In enabling our mission to have greater effectiveness it is essential to relate what has been said in the Exhortation with other documents. For instance, the necessity for religious to share in the Church's mission (§ 50) can be more fully understood when reflecting upon Vatican II's discern-ment of "the birth of a new humanism where man is defined before all else by his responsibilities to his brothers and to history" (G.S., no. 55). This, in turn, is related to a statement in the Development o[ Peoples: "What must be aimed at is complete humanism . . . the integral development of the whole man and of all men" (no. 42). This leads to a deeper apprecia-tion of Christian liberation which is: . . in its broadest meaning . . . the process of freeing man from all that prevents him from developing his potentialities and his obligations as a person who is created in the image of God.s Forming the New Person The Exhortation speaks of the necessity to form the "new man" spoken of by St. Paul (§ 38). But to achieve this newness it is necessary to go beyond what Pius XII referred to as the "technological spirit.''9 This is a spirit in which the quantitative and the measurable take precedence over the qualitative. Increasing material growth becomes an ultimate norm of a suc-cessful human society. To avoid being entrapped in such a mentality calls for a continuing conversion of heart. The Latin American Bishops said at Medellin that "new and reformed structures" cannot be built "without new men who know how to be truly free and responsible according to the light of the Gospel.''1° Necessary Discernment In order to make the necessary discernment in this dynamic process our prayer needs to be deep and constant as well as truly concerned with the needs of the "earthly city" (§ 49). It will be a prayer which, while it makes more profound our experience of God, will at the same time make us more aware of our own humanness and that of others. It leads us to a mor~ meaningful experience of what Douglas Steere refers to as "the prayer of presence": ¯ SFifth Inter-American Bishops' Conference, Statement, February 1970. ~'Christmas Address, 1953. 1°Second General Conference of the Latin American Bishops, The Church its the Present Day--Trans]ormation in the Light o] the Council (1968), v. 2, pp. 58-9. Contemporary Religious Spirituality / 33 ¯ . . in prayer where intercession is involved, I make those for whom I am praying present for myself by thinking of them and of their need and of the One who can meet that need in its deepest sense. Perhaps my friend is swept away by a persistent temptation to which he has yielded often enough to threate~ to glaze over his life, to numb the heart core in him, and finally to cut him off from ever sensing the deepest spring of love in another person or in the One that sustains him with both an unceasing and unspeakable love. In my prayer I make him present to me by thinking intensively of him and of the threshold over which both God's and my own caring must pass in order to reach him. I think, too, of this whole solace of intercessory caring which God's love and the love of the whole communion of saints is forever drawing at his life. My own caring for him is frail in comparison to this, but I feel that it is swept up into this greater net of attracting energy and that for all of its frailty it may be the decisive impulse that may touch my friend's decision and open to him those ever present forces that could change his whole perspective,al Our Spiritual Lives and the Signs o| the Times The Exhortation (§ 19) encourages us to avoid being carried away by an uncurbed seeking for our own ease, and in doing so repeats what the Council said about that bondage which modern man can suffer when he "indulges in too many of life's comforts and imprisons himself in a kind of splendid isolation" (G.S., no. 31 ). An authentic poverty and sense of justice (§ 18) must find a real echo in our lives since without these we shall contribute to what Medellin has entitled "institutionalized violence.''r-' Rather than being heralds of libera-tion and social catalysts we give scandal. By our failure to take social posi-tions, others can legitimately assume that we are in favor of the status quo. Spiritual Fruitfulness for the World It is in the building up of the earthly city with its foundation in the Lord that we give clear testimony to the presence of the Spirit among us. The religious life itself is a "little Church" in which the network of loving rela-tionships should become more and more evident among us. When the lov-ing bond among us is very evident we shall, in fact, be heralds of liberation and vital participants in the building up of the kingdom of God. Our Political Obligations In closing, it is appropriate to say a few words--particularly at this mo-ment in U.S. history--about our political duties. The construction of "a new humanity" cannot be left solely to the technocrats.13 Religious should contribute to this. This implies the art of politics, not in the narrowly parti- 11Douglas Steere, On Being Present Where You Are (Pendle Hill, 1968), p. 18. r-'This occurs when institutions do violence to others through unjust practices; for a development of this see Medellin, "Peace," no. 2,2,2. a3Paul VI, Acta ,'lpostolicae Sedis, v. 60 (1968), p. 393. 34 / Review [or Religious, Volume 32, 1973/1 san sense, but rather that type of statescraft which fosters the common good through the moral use of power (Pacem in terris, no. 54). In the use of this statescraft we need to ask ourselves the type of searching questions which were proposed-at the World Conference on Religion and Peace at Kyoto, Japan, in October 1970:14 31. Religion cannot in good faith demand of society that it reform its struc-tures without honestly examining its own institutions and programs, including problems related to the ownership and use of property and the possibilities of self-taxation for development purposes. 32. In this examination we might ask the following, among other, ques-tions: What role is assigned to the young and to women in our institutions? Are these institutions designed to preserve the status quo or do they point the way towards the future? Is our institutional apparatus used to convey real knowledge to people, to relate them to their environment, and to teach them their rightful place in society? Is worship used as an escape from or as a means of relating men to reality? Do we fulfill our prophetic role by denounc-ing injustices not only in distant countries, but more dangerouly at home? Do we give voice to the voiceless or only echo the rationalizations of those who sit in the places of power? Finally we need to ask ourselves more explicitly just what is the con-temporary sense of politics and what should our competence be in this area in the United States. Recently the Confederation of Latin American Religious distributed a research text to pastoral leaders on "The Religious Life and the Socio-political Situation in Latin America" in order to probe more deeply into these relationships on that continent. As the text becomes more refined, thousands of Religious will be invited to respond to it. This in turn takes us back to the beginnings of our reflections which hopefully have led us to appreciate more the relevance of our religious spirituality in the context of the "signs of the times." We have seen that in Latin America at this moment there is a type of liberating theology which is very helpful in establishing these relationships. t~Working Group II on Development, Report, §§ 31-2. The Eucharist as a Central Theme in the Ghent Altarpiece Maurice B. McNamee, S.J. Maurice B. McNamee, S.J., is a faculty member of the English Department of St. Louis University; 221 North Grand Boulevard; St. Louis, Missouri 63103. It is becoming increasingly clear that, by all odds, the most persistent theme in Flemish iconography is the Eucharist. Some of my own studies have pointed up the pervasive interest in that theme in Medieval Flemish art;1 and other recent studies have called attention to the same fact.z The new-est ~orroboration of the importance of that theme in the art of Flanders is a recently published book by Professor Lotte Brand Philip, The Ghent Altarpiece.3 The work is something of a landmark in van Eyck studies. It presents a reconstruction and reinterpretation of the famous polyptych which is very persuasive and suggests new solutions to the many problems that, in the past, have intrigued and sometimes baffled such great art historians as Max Friedl~inder, Erwin Panofsky, Hermann Beeken, and Charles de Tolnay. Professor Philip's thesis that the twelve panels were originally part of an elaborate stone framed, multi-level altarpiece, which adapted ele-ments from reliquary shrine-altars, tower tabernacles, and rood screens, is brilliantly argued. It does handle the many problems of authorship (Hubert or/and Jan van Eyck), and apparent aesthetic and iconographic incon-sistencies between the various panels far better than any interpretation 1M. B. McNamee, "Further Symbolism in the Portinari Altarpiece," The Art Bulletin, XLV, 1963, 142-143; "The Origin of the Vested Angel as a Eucharistic Symbol in Flemish Painting," The Art Bulletin, LIV, 1972, 263-278. °-See, for instance, Ursula Nilgen, "The Epiphany and the Eucharist: An Interpreta-tion of Eucharistic Motifs in Medieval Epiphany Scenes," The Art Bulletin, XLIX, 1967, 311-316. :~Lotte Brand Philip, The Ghent Altarpiece and the Art o] Jan van Eyck, Princeton University Press, 1971. 35 36 / Review ]or Religious, Volume 32, 1973/1 previously advanced. The thesis advanced here, I am sure, will be discussed and perhaps challenged by art historians for many years to come. Methodology But what may be of particular interest to the readers of Review Jot Religious is a statement by Professor Philip in her Preface about the method-ology which she thinks ought to be followed by an art historian at-tempting the interpretation of a religious work of art from the past. She feels that too often these works have been approached in artificial isolation as "pure" works of art abstracted from the religious and sometimes liturgi-cal purpose for which they were created, with the result that their thematic, iconographic, and even aesthetic values have sometimes been misconstrued. This is Professor Philip's own pertinent statement on the matter: It is this isolated work of art which art historians have often sought to put into a broader context by linking its form and content to modes and trends of the period which were known to them from other fields. But while it may be instructive to see art in a general framework of Geistesgeschichte or sociology applied to it, as it were, artifically from without, we should not forget that for each individual work there had once existed a specific and natural "framework" quite palpable and concrete and supremely "sociologi-cal" in essence. Perhaps the simple and direct method of placing a work of art back into the very context of its own original setting and practical purl~ose can supply important new insights on the nature and meaning of a master-piece.' t Professor Philip's application of this method to the study of The Ghent Altarpiece is an excellent example of the fruitfulness of the method. I can-not here go into all the intricacies of the arguments for her reconstruc-tion of the .setting and purpose of The Ghent Altarpiece but I would like to call attention to some of the important new insights on the nature and meaning of this masterpiece that her study provides. General Plan In the first place she shows that the polyptych was probably planned as part of an altar complex in a chapel in Saint Bavo's Cathedral in which the Blessed Sacrament was reserved. It is this fact which may have suggested the all-pervasive Eucharistic motif of the whole polyptych. Professor Philip rather convincingly postulates the presence of a tabernacle in the center of a predella just above the mensa of the altar in the original compo-sition; and, on the analogy of The Mystical Fountain panel in the Escorial, which was undoubtedly derived from The Ghent Altarpiece, she further postulates a sculptured representation of Ecclesia accepting the mystery of the Eucharist on the left and of Synagoga rejecting it on the right. Above the tabernacle and predella and revealed through an arcade of columns 4Philip, ibid., p. viii. The Eucharist in the Ghent Altarpiece / 37 reminiscent of the supporting columns of a raised reliquary casket in a reliquary altar-shrine, would have been seen the existing panels of the Mystical Lamb and the four side panels of the judges, the knights, the her-mits, and the pilgrims . . . all converging on the Altar of the Lamb in the central panel. On the upper level, in the center, framed like the figures on a raised metal reliquary shrine, there would have been displayed the ex-tant great figure of Christ enthroned, accompanied by the Virgin Mary on His right and St. John the Baptist on His left, along with singing vested an-gels in panels on each side. This upper range would have been terminated horizontally at either end by the nude figures of Adam and Eve in a different perspective from that of the figures in the five central panels. They would have actually been incorporated into the sculptured frame of the entire composition rather than into the space of the center panels. And above this range Professor Philip postulates, again rather convincingly, the existence of a sculptured tower like the traditional Gothic tabernacle towers such as the one still in existence in St. Peter's Church in Louvain. And in it she further postulates, again on the analogy of several comparable com-positions in illuminated manuscripts and altars, the existence of a sculptured figure of God the Father. Christ the Priest Hence, in the complete composition as she reconstructs it, the icono-graphical program begins with the figure of God the Father on the top tower commissioning the Incarnation of the Second Person of the Blessed Trinity. (This scene of the Incarnation itself would actually be revealed in the An-nunciation scene which would appear immediately below the sculptured figure of God the Father when the panels were closed.) At other times what would appear in this position is the figure of Christ enthroned ful-filling the destiny consequent upon this Incarnation--that of functioning as the Eternal Highpriest offering Himself as the Eternal Sacrifice to God the Father. His priestly function is symbolized by the crossed stole He wears and by the triple tiara. He is accompanied to the right and left, as He always was represented in the Byzantine Heavenly Liturgy, by angels vested in the dalmatics and copes of deacons and subdeacons of the Mass, who join Him in offering up the Eternal Sacrifice of the Mass. Mary sits crowned on His right in recognition of her part in that sacrifice because of the human body she gave Him in which He suffered and died. And St. John the Baptist, the precursor who foresaw and foretold that Christ was the Lamb of God who would take away the sins of the world, is enthroned on the left and points to Christ in the central panel. On the far extreme ends of this upper range, but properly represented in a different perspective than that of the figures in the central panels, are the realistic nude figures of Adam and Eve. They do belong here be~;ause it was their sin that occasioned the De- Review ]or Religious, Volume 32, 1973/1 cree of the Incarnation by God the Father and because they are also the first fruits of the redemptive Sacrifice of Christ commemorated in this range by the figure of Christ functioning as the Priest of the Eternal Mass. Art historians have spoken of Adam and Eve as being out of place in this range and put there by the artist to fill up empty spaces created by a clumsy combination of panels originally meant for separate altarpieces. This is so far from being the truth, Professor Philip points out, that the whole com-position was originally called The Altar o[ Adam and Eve rather than The Mystical Lamb. The fact that iconography and decorative details of the three central upper panels are derived from and simulate the raised metal reliquary of a reliquary altar symbolize, Professor Philip suggests, both the arks of the Old Testament and the Eucharistic Tabernacle of the New Testament. This again brings us back to the central Eucharistic focus of the whole polyptych. Related to this, too, is the beautiful gemmed crown at the foot of the enthroned Christ--a reminder of Christ's own glorification which followed His sacrificial offering of Himself and His resurrection as well as of the reward that.follows the Martyrs' sacrificial offering of themselves with and for Christ. This symbolic meaning of the crown occurs in many early Christian representations and is often actually associated with the Of-fertory of the Mass as it is, for instance, in the procession of Virgin Martyrs carrying crowns in an Offertory procession in the beautiful mosaics of San Appolinare Nuovo in Ravenna. The Mystical Lamb On the lower painted range and seen through an arcade of columns at a simulated greater distance than the large figures in the upper range and therefore in a much smaller scale, appears the figure of the Mystical Lamb. He is mounted on an altar and is shedding His blood into a chalice. He is on a vertical axis with the postulated figure of God the Father, and with the enthroned figure of Christ as Highpriest. Between Him and the figure of Christ as Highpriest above appears the much controverted figure of a dove, the symbol of the Holy Spirit. The Mystical Lamb on His altar is the central focusing point of a vast landscape stretching across all five panels of this range and acting as a setting for the great processions of figures from all walks of life moving towards the Altar of the Lamb. The altar itself is sur-rounded by figures of the prophets and apostles and by angels, all vested in amices and albs, either carrying the instruments of Christ's passion or incensing the Lamb on the altar. The whole vast scene is obviously focused on another symbolic representation of the Sacrifice of the Mass--but this time represented in the Heavenly Jerusalem. And Christ appears here not as the priest but as the Lamb--the Sacrificial Victim pouring out His blood for the redemption of mankind. In the figure of the dove hovering The Eucharist in the Ghent Altarpiece / 39 over the scene we are reminded of the action of the Holy Spirit in the Incarnation by which the Second Person of the Blessed Trinity became man and was thus enabled to become the redeeming Sacrificial Lamb. The Great Fountain In" the foreground of the central panel and again on an axis with God the Father, Christ as High Priest, and Christ as Sacrificial Lamb, is the figure of a great fountain, which, as it were, is being fed by the Saving Blood of the Lamb above. And from the fountain runs a stream which, in Professor Philip's postulation, terminates at the tabernacle housing the ci-borium which contained the real Eucharistic presence of Christ Himself. She remarks pertinently of this probable juxtaposition: With the representation of the Lamb's sacrifice shown directly at his eye level, the viewer was compelled to feel that he was witness to this scene. He saw the sacred water, the result of the celestial sacrifice, flowing directly into the vessel from which the priest would hand him the Host. The believer thus virtually became a participant in the celestial rite.g In this way the work of art becomes almost a part of the liturgical and sacra-mental function and underlines the significance of that function. There are many other insights that this new interpretation of The Ghent Altarpiece provides but I have room to call attention to only one more. Professor Philip presents good evidence for the former existence of a water color antependium that once hung before the altar table of The Ghent Altarpiece which represented Hell. Hence, with this antepen-dium in place, the whole composition could also have been read as a Last Judgment scene arranged vertically very much as the Eyckian Last Judg-ment panel in the Metropolitan Museum. In such a reading it is the accept-ance or rejection of the Sacrifice of the Mass, represented by the enthroned figure of Christ as High Priest and by Christ as Sacrificial Victim in the Mys-tical Lamb, and of the Mass in time as offered by the priest at the real altar in the chapel of Saint Bavo's Cathedral, that results in either the welcome extended to the blessed in the Heavenly Jerusalem or the condemnation meted out to the lost in Hell. Conclusion But, however you read the various motifs combined in this great polyp-tych, and there are several other motifs discussed by Professor Philip be-sides those that I have detailed here, the central focus of all of them is the Mass and the Eucharist. Professor Philip's relook at this greatly con-troverted masterpiece "in the very context of its own original setting and pur-pose" has indeed provided important new insights on its nature and mean-ing. Her study shows a marvelous interplay in this great masterpiece be- ~Philip, ibid., p. 67. 40 / Review for Religious, Volume 32, 1973/1 tween theology, liturgy, and art. And this more contextual study of the work has suggested some cogent solutions to the problems that have plagued the study of it throughout its history. Whether the reader can accept all Professor Philip's postulations and suggested reconstructions or not, her study does show how intimately art can serve theology and the liturgy; and, in turn, how much inspiration both theology and the liturgy can bring to a creative artist when they are all as happily married as they seem to be in her interpretation of this great work by Jan van Eyck. To Pray Is to Work Sister Marilyn Feehan, C.S.J. Sister Marilyn teaches religion at Cohoes Consolidated Catholic School and lives at St. Agnes Convent; 32 Johnston Avenue; Cohoes, New York 12047. The strong reactions of years past to the "to work is to pray" adage indi-cated the seriousness with which the dictum was taken. Conflicting opin-ions have explored, exposed, and explained not only both sides of the question but also the solid base of agreement that will eventually underpin any solution. Would that the same expansive reaction could be expected to the state-ment, "To pray is to work"! The self-evident quality of those words may appeal to some, but to at least two points of view, the phrase hardly qualifies as a defensible opin-ion, let alone an axiom. Two Objections On the one hand, those who are deeply immersed in visible, concrete activity often view time spent in preparation for, and pursuit of, the prayer experience, as time "taken from" rather than "given to." Measured in the scales of the unfinished business remaining on the agenda of man in general, and the Church in particular, prayer seems to weigh light, much as the scholar's pen is easily outweighed by the soldier's sword. The tangible ex-haustion of pouring oneself out for another testifies to the work aspect of so many activities, but is prayer seen perhaps as a private, esoteric action, a relic of the God-and-I syndrome? For some, then, prayer is not work because it does not seem to demand the exertion and effort of the concrete apostolates. On the other hand, those who see life iri terms of free, spontaneous gift, view prayer as an instinctive turning of the heart in its overflow towards 41 42 / Review for Religious, Volume 32, 1973/1 the Source of all that is good. What place i~ there i'n this for "work," foi" serious directed activity towards a foreseen goal? Have not the days of meditation points, reflections, and resolutions at least been replaced, if not repudiated? The insertion of a serious work element into the prayer ex-perience seems to threaten the human freedom of the act, to foreshadow perhaps a return to confining structures that once satisfied and now con-strain. For others, then, prayer is not work because it ought not to be such. This segment of the Church is skeptical of any view of prayer as a discipline to which one responds in reason, rather than with feeling. Both objections, in seeing prayer from too restricted a point of view, miss the overall scene. By zeroing in on the work quality of one kind of activity, the first group ignores the effort required in true prayer because it is not recognizable to them as work. One might well say: "The work involved in prayer is not identical to the work involved in concrete activity." Agreed, but need one add: "Therefore, it does not call forth real effort"? In fact, dare one add that judgment? Contrarily, by pinpointing the spontaneity of prayer, as a free response to the ever-approaching, ever-approachable God, the second group ignores the human process and fantasizes that prayer is somehow excluded from rather than the culmination of the normal cause-and-effect character of man's actions. To fail to reach the goal of union with God in prayer is a great sadness; to cut oneself off from that goal in the very name of seeking it is a tragedy. Prayer Is Work The thesis of this article is indeed simple: To pray is to work. The two notions in the proposition could well be clarified if the phrase is to be properly understood. In this context then, what is prayer and what exactly is work? Prayer is the union of the human person with the very Person of the absolute Good by means of tentative responses to the overtures made by God in this present life. This union may be fleeting or steadfast, whole-hearted or weak, clear or confused, but always directed in some manner to the God who first called out, from the man who humanly responds. Of particular importance in the definition is the overriding creative role of the personal Lord who initiated the whole process and elicits from man all that he is capable of giving at any one time. Seen from the viewpoint of the pray-er, the union can be dissatisfying, often marred by his very humanness, so unsure in both its verbal and sensible manifestations, but always pointed in vague hope to the future when he will know even as he is known. This prayer involves real work, that is, the physical and mental efforts To Pray Is to Work / 43 and activities that are directed towards the accomplishment of something, in this case, union with God. Again, any restriction of outlook to this single aspect of prayer as work would be a serious error. Let no one assume that personal effort is the only element of importance or that striving ever takes the place of receptivity to God's initiative. No, but on the other hand, let no one ignore these fac-tors. What kind of work is usually helpful in the pursuit of union with God in prayer? Three classifications of human effort immediately suggest them-selves: the physical, the intellectual, and the psychological. Physical Work Because God is the initiator, no formula of quantitative physical activi-ties can possibly signal the prayer experience. However, one can mention two observable physical efforts that usually assist it to take hold: presence and place. By presence is meant the conscious choosing of a situation that to the pray-er is sacred. Just as the needs of the body are faced, met, and often celebrated, as at meals, the need to pray should be faced squarely, met honestly and celebrated openly. To be consciously present to the Lord once or twice a day can well be termed "work" because of the effort and dis-cipline a man must exercise to examine the day, to plan out a possible time, and then to set the seal of sacredness on it in a very real sense. To wait for an available hour, to let choice melt into convenience, is to forego the human right to choose and follow through, intimating that man's role in this adventure is mere formality, ritualistic at most. By place is signified the thoughtful selection of a particular setting that has proved to be a means for opening the person to life, especially to Life Himself. For one, the choice is the quiet of a chapel; for another, a hillside in the evening; for one, the noise and stimulation of a city street; for an-other, the silence and peace of a private room; for one, the strain of dis-comfort; for another, the ease of a favorite chair. This is indeed a worthy search for any man: to seek out the physical scene in which the hand of God has easy access to him. But if the search is not made, if the meeting place is left to chance, will God come? Yes, but not as forcefully and fully ¯ as He would have if the pray-er had reasonably prepared himself. Intellectual Work Intellectual work is the second kind of exertion that prayer calls forth, or rather, that calls forth prayer. Two areas of overriding importance are serious study of God and deep thought about life, both of which require real effort. To meet a person and be fascinated by him is to want to know more about him, to come closer to him. In prayer, one meets God in a strange, 44 / Review [or Religious, Volume 32, 1973/1 personal way and the natural reaction is to wander off, awe-struck, in search of more knowledge of Him and closeness to Him. In very fact, the Scriptures serve just that purpose in explaining bits and pieces of His actions, in exposing aspects of His person, in hinting at His secrets. Leaving the sacred writings on the shelf is tantamount to asserting that one has no need of or interest in them. They represent the inexhaustible source of truth and inspiration, one that is accessible but useless unless man's intelli-gence reaches out to it. In a lesser category are the spiritual writings that collectively trace man's aspirations towards God across the centuries. No one is called upon to master that myriad of books but certainly insights can be gleaned and deep feelings triggered by exposing oneself to those movements of other men towards God. The second practical intellectual work that prayer fathers forth is serious thinking on personal questions, religious or not. Nothing is easier to do than to put off, sometimes indefinitely, the reasoning through of a troubling situa-tion or the planning out of a future course of action. The outcome is fre-quently an inability to pray because the unresolved problem lies in wait to capture the attention as soon as man turns to the Unseen. Of particular importance is the exploration of the question put by Jesus to Peter: "What do you think of Me?" Often the picture-book images of God fade with the years while man carefully avoids examining the change for fear of what he will have to face, a fear that feeds on his closed intellectual attitude. Can man reach union with God in prayer without serious intellectual ac-tivity? Yes, but in this culture and time, for most persons, the intellectual effort is a practical necessity, though not a speculative one. Psychological Work Psychologically, a man works to keep his person open and at the same time to channel negative intrusions into growth situations, both of which require considerable effort. Because the pray-er is so vulnerable in the very act of praying as he ex-poses himself to the Lord, he is often struck, almost mortally, by his own weakness. Reacting to this wound, he can turn in confusion and deny his prayer in hopes of obliterating the pain. Or else he can work to face the truth, examine it, feel its deep shame, and wait in faith for the calm that will eventually come when he accepts himself as completely as God has al-ready accepted him. Of equal importance is the work involved in man's use of negative emo-tions to nurture positive development towards God. Self-pity in all its guises drives one away from prayer because of its centering on the person rather than on God, as a kind of subtle idolatry. Effort is needed to accept this weakness, then offer it as sacrifice to the Lord, and receive back from Him the self-knowledge that means growth. Merely collapsing in the face of such To Pray Is to Work / 45 an embarrassing self-revelation is hardly a stepping stone to prayer, but the end result can be a meaningful asset. God is certainly not bound to unite Himself to a man on the basis of his psychological maturity but He is clearly worshiped by a person's attempt to reach out to the unseen hand that in turn reaches out so lovingly towards him. To repeat the original thesis: physical, intellectual, and psychological work are an integral part of the prayer experience, with no claims of absolute necessity but rather a serious call on man's consideration in view of his very human needs. To ignore or belittle the work aspect of prayer is to fail to understand either work or prayer. To pray is indeed to work, not as a slave to fulfill a command and escape a punishment, but as a son to experience a joy and answer a loving Father. The Prayer of the Heart Michael Azkoul Father Michael Azkoul is a priest of the Russian Orthodox Church outside of Russia and lives at 912 Bellstone Road; Shrewsbury, Missouri 63119. A preliminary version of this ,article appeared under the title "Out of the Heart" in the March 1972 issue of The Russia, Orthodox Journal. In the Western world, the "heart" is considered to be the scat' of the emo-tions, especially the emotion of "love." Eastern spirituality, however, dis-covers in the "heart," kardia, not the source of emotions, but the spiritual center of man. As Father Meyendorff once observed, the "heart" is some-thing akin to the "subconscious." In fact, it is the very fount of good and evil in every man. In the words of our Lord: "For out of the heart proceeds evil reasoning, murder, adultery, fornication, theft, lying, blasphemy . " (Mt 15:19). Without the "pure heart," it is impossible to "see God" (Mt 5:8). We are commanded to love God with all our "heart" (Lk 10:27). It is with the "heart" that we attain salvation, for St. Paul writes: "If you con-fess with your lips that Jesus is Lord and believe in your heart that God raised Him from the dead, you will be saved" (Rom 10:9). Guarding the Heart According to the Eastern fathers, the "heart" is the central force in human nature. A man becomes what his "heart" is and the "heart" is what we permit it to become. Therefore, it must be protected from all evil in-fluence. "Guard the heart," phylake kardias, they admonish. Keep away from anything which might pollute it, that is, any situation, person, or thing that leads to sin, amartia. The Scriptures, the fathers, a spiritual guide,1 and 1In the East spiritual guides are almost always monks. The word for such a monk is starets (Slavonic) or hegemon (Greek), that is, an "elder" or "old man" who by the grace of God has received spiritual gifts such as spiritual insight and discernment, enabling him to act in a special way to be a spiritual guide or director. Anyone accepting that direction must expect to be absolutely obedient. 46 The Prayer of the Heart / 47 sometimes our own experience teach us what to avoid. Generally, we can "guard the heart" through obedience, humility, chastity, fasting, prayer, and the sacraments. In particular, the "heart" is protected by controlling the faculty of "imagination." This faculty of the mind, nous, is the power with which we form, compare, connect, and separate images. With it we speculate, phanta-size, and ruminate. The "imagination," phantasia, arranges the data given to it, whether from the world of objects and persons, a priori knowledge, or the experience of the mind with God or demons. The devil and his angels are man's great antagonists, according to the fathers. From the imagination, the "image," now received by the mind, passes irresistibly to the "heart" and from the "heart" to the "flesh." The body, then, is excited, agitated, sometimes driven to acts of violence, murder, lust, and malice. St. Silouan of Mount Athos (d. 1937) observed that every "passion," pathe, is the result of a "sinful image." And since, as St. Macarius of Egypt (c. 330) says, "the heart commands and rules the whole body," what enters the "heart" must reign over all the members of the body. So long, too, as "vexatious and lying images" govern the mind (and, therefore, the "heart"), we have no right to "philosophize about God," as St. Gregory the Theologian (Nazianzus) tells us in his Theological Orations. Indeed, such "philosophizing" is useless, for the impure mind and "heart" will bring no true knowledge, no union with God. Conversion of the Heart Conversely, the Holy Spirit will, by our sincere effort to achieve "pur-ity of heart," bestow the grace for its realization: Grace engraves the laws of the Spirit in the hearts of the sons of light. There-for. e, they should not draw their assurances from the Holy Scriptures alone, but the grace of God also inscribes the laws of the Spirit and the heavenly mysteries on the tablets of the heart. For the heart commands and rules the whole body. And grace, once it has filled the heart, reigns over all our mem-bers and thoughts. For in the heart are the spirit and all the thoughts of the soul and its hope. Through it, grace passes to all the members of the body. We become unlike the children of darkness in whose heart sin rules and from which sin infects the the entire body . . . (St. Macarius, Homily 15). Spiritual perfection comes only when every haunting of memory, every se-ducing idea, and every wicked image is renounced whenever they presume to enter the mind. There is, to be sure, no end to the struggle for perfec-tion in Christ. Objectively, the cure for sin is, of course, the redemption of Christ, but His saving acts must be appropriated, subjectively acquired, and ap-plied. The principal way is "purity of heart," a "purity" which is accom-plished, in the first place, by "mental prayer." Now, this "prayer" is im-possible if the mind is continually exposed to evil sensations, that is, when 48 / Review for Religious, Volume 32, 1973/1 the senses are subjected to spiritually debilitating perceptions. Reception of them by the mind induces the "imagination" to act and the results are cast into the "heart." "Evil images" in the "heart" eventually affect the body and, if not removed, the body finds itself in the grip of evil habits or pas-sions- greed, lust, hate, envy, gluttony, pride, and so forth. By means of the passions, declares St. John Karpatbius, the demons "torment our flesh with all manner of sin and throw the soul into confusion" which leads to "fancies," "heaviness of body," "increase of animal needs," "arrogance and haughtiness," "vainglory," "rejection of repentance," "forgetfulness of death," "despondency and boredom," "a special inclination for earthly occu-pations," and "hardness." The devil is relentless. He uses every means to "drag the soul after him," warns St. Barsanupius. He bombards our sense with sights, titillating, agitating, and licentious; with foods and drinks, delicious and pleasant to the eyes, with voluptuous aromas, and so forth; and, indeed, all the allure and power of the aeon rush upon our weak and vulnerable natures, ever-enticing, ever-proliferating, mounting, everything soft and warm and tanta-lizing, anything to storm the suburbs of the soul in order to conquer the "heart," its citadel. The temptations men face are those of Adam which St. John described as "the lust of the flesh, the lust of the eyes, and the pride of life" (1 Jn 2:16). Spiritual Combat and Prayer The surest response to the incessant barrage of evil is "withdrawal," but not all men are called to be monks. We must, nevertheless, undertake the "spiritual combat" (Eph 6:10-9) which differs from the monks' struggle only by degree--only by the fact that "the field of battle" is slightly altered. It is true, nevertheless, that the spirituality of the Eastern Church is the spirituality for all her members. Monks are not a special class, only the highest stratum within the Church, albeit "the true and authentic Chris-tian," as St. Basil the Great calls him. For both monk and "ordinary Chris-tian," the enemy is the same, the weapons fundamentally the same. The great weapon is "mental or interior prayer," prayer with the Name of Jesus. In the words of St. Macarius: Be attentive to the Name of the Lord, Jesus Christ, by contrition of heart. When your lips are moving, draw it to yourself and do not lead it to your mind only to repeat it, rather ponder your invocation, "O, Lord Jesus Christ, have mercy upon me!" Then, in your repose you will be aware of His Divinity present to you. It will drive away the darkness of passions . . . it will purify the inner man . . (Apoph, 16). The believer must turn away from the "outside world"-and seek the things of the Spirit--"The kingdom of God is within you"--a "turning," incidentally, symbolized by the Eastern Hesychasts who prayed with heads bowed and eyes fixed on the abdomen. To be sure, no one can avoid sense The Prayer o] the Heart / 49 perceptions altogether, but the believer can fortify himself against those in-imical to him. Also, the Church offers spiritually beneficial alternatives to the destructive sensations of the "world"--rites, icons, incense, psalmody, candles, vestments, prostrations, flowers, palms, and so forth. She well understands that man cannot exist within an "imageless world." Nor is the destiny of man to be a "pure spirit." The Jesus Prayer It follows, then, that Orthodox spirituality relates body to spirit in prayer. Posture and attitude, sound and sight are utilized. "Interior" or "mental" prayer also begins at the empirical level. It is initiated with words spoken aloud and only when we have perfected "interior prayer" does it become "prayer of the heart." The petition most common in Orthodox spirituality is the Jesus Prayer--"Oh, Lord Jesus Christ, Thou Son of God, have mercy upon me, a sinner" (an adaptation of the prayer of the publican in Lk 18: 10-4). This prayer is not only the epitome of Orthodox doctrine, but is implicitly the totality of her piety. As St. John Cassian wrote: "Let the Name of Jesus cling to your breath and your whole life, for it is your faith and your salvation." The technique of this prayer is not complicated. "Those who approach the Lord," writes St. Macarius, "should make their prayer in a state of calm (hesychia), peace, and great tranquility, without anxiety and con-fusion. Rather let him come to the Lord with complete attention (prosexein ton noun), with effort of the heart and sobriety of thought (nepsis)." When we come to pray, therefore, we must come humbly, without hate for anyone, without desire, ready to yield everything to God, confessing our sins, and holding to true doctrine. Neither must we be concerned what we are to say, for "the Spirit helps us in our weakness . . . himself interceding for us with sighs too deep for words. And He who searches the hearts of men knows the mind of the spirit, because the Spirit mediates for the saints according to the Will of God" (Rom 8:26-7). Furthermore, the body is involved in the Jesus Prayer (as in all types of prayer). There is no particular position, for it, although, in the Orthodox Church, kneeling is forbidden between Pasch and Pentecost and on Sun-days. Sitting, often in'a Yoga position, lying on the back are acceptable. When the invocation of God begins, we ought .to be relaxed. To keep the eyes from wandering, it is useful to use a candle and icon. Incense may con-tribute to the atmosphere, to give a sense of the Divine Presence and to set the mood for the great physico-spiritual task about to commence. Then, as The Pilgrim says, we must pray sincerely and ~lowly, "without ceasing," the Jesus Prayer. The words are repeated again and again. Some ascetics have recited as many as fifteen hundred in one night, some many more. Simul-taneously, the believer must str.uggle against contrary thoughts and fatigue, but persistence, night after night, will bring the victory. (Of course, there is 50 / Review ]or Religious, Volume 32, 1973/1 no reason to limit the Jesus Prayer to night and a certain physical posture; it may be recited at any time.) The Prayer o| the Heart Gradually, as we persevere in obedience to our guide (if one is avail-able) and continue diligently in prayer, the mind will be cleansed. The soul and body will be kindled with "the flame of grace," to use the phrase of St. Symeon the new Theologian. This is the sign of the Holy Spirit's presence. If we perfect ourselves sufficiently through prayer, fasting, obe-dience, chastity, and good works--prayer intensifying all the time--we may be privileged to see "the divine light," "the Light o~ Mount Tabor," "the Light of the Glorified Christ," "the Light of God's Uncreated Energies," "the Light of the Transfiguration." In other words, as the mind or spirit trains itself to resist evil sensations and control the imagination, the believer learns "to collect the mind in the midst of the heart and pray with silent words." Soon words will not be necessary, then, not even thoughts, because the Name of Jesus has entered the "heart" and is repeated, automatically, with the beat of the physical organ itself. The soul, like a flower reaching for the sun, ascends to God; the warmth of God's Uncreated Energies, Light and Grace, increase; the "heart" is "purged" (katharsis); and, finally, the total man becomes "di-vine" (theosis). Thus, being "like God," we shall "see" Him "face to face" (that is, the "deified" will "see" the eternal God-Man, the enthroned Christ --no one may ever behold the "face" of the Father). This "union" (he-nosis) is the final end of the Jesus Prayer, of all prayer, for, according to the Eastern Church, salvation is nothing else but "union with God," deifi-cation, the mortal becoming immortal, the corruptible becoming incorrup-tible, the sinful becoming sinless, eternal "rest," "partaking of the divine nature" (2 Pt 1:4). Bibliographical Note For those interested in making a more detailed study of Orthodox spirituality and of the prayer of the heart, the following books are recommended: The Arena: Art Offering to Contemporary Monasticism by His Grace, Bishop Ignatius Brianchaninov (originally published in Russian in 1867 but now rendered into English) (Madras, 1970). The Art o[ Prayer, trans, by Kadloubovsky and Palmer (London, 1966). The intro-duction to this work provides an excellent discussion of the Jesus Prayer. Early Fathers [tom the Philokalia, trans, by E. Kadloubovsky and G. E. H. Palmer (London, 1954). The same scholars have translated Later Fathers o] the Philo-kalla; at present, they are involved with other scholars in a complete translation of this formidable treasure of Eastern spirituality. The Ladder of Divine Ascent by St. John Climacus, trans, by Archmandrite Lazarus Moore (London, 1959). Mystic Treatises by St. Isaac the Syrian (Isaac of Niniveh), trans, by A. J. Wensinck (Amsterdam, 1923). Ott the Prayer o] Jestts, trans, by Archmandrite Lazarus Moore (London, 1952), Prayer and Work: Protestant Religious Orders for Women Elizabeth Moltmann-Wendel The following article is a translation of a German article that appeared originally in Evangelische Kommentare, May 1972, pages 280-283. The translation was made by Charles W. Pfeiffer, a doctoral student in the Divinity School of St. Louis University; 3658 West Pine Boulevard; St. Louis, Missouri 63108. The translation is published with the kind permission of the editor of Evangelische Kommentare. The address of the author is: Dr. Elizabeth Moltmann-Wendel; Hausserstrasse 43; 74 Tiibingen, West Germany. In a poor quarter of Algeria there live three women. One works during the day as a teacher, another as a nurse, and the third keeps house. They subsist in the hot and arid poverty of those countless millions who live on the edge of society and suffer in their environment a spiritual and material deprivation which defies description and far outweighs any relief provided by social organizations. Their neighbors stand in amazement. The children are the first to approach and to quizzically explore the significance of this house which is always open to everyone. Out of these initial contacts a mutual trust begins to grow. The Muslim understand trust and come with their personal and social problems while the three women, having come from the security of bourgeois, European homes, learn from the Muslim how to survive and manage with a small amount of water. When the revo-lution breaks out, the white people hasten to flee the country, but the three women stay on to the even greater astonishment of their neighbors: "They have not fle!! God is present among us!" The Sisterhood of Grandchamp To live with neither missionary ambitions nor in direct diaconal engage-ment but in solidarity and friendship with the poorest of the poor is the basic premise of the Sisterhood of Grandchamp, a French-Swiss religious 51 52 / Review [or Religious, Volume 32, 1973/1 order for women to which these three women belong. Similar to the French Catholic orders, the Little Sisters of Jesus and the Little Brothers of Jesus, without special words or deeds they "live friendship" at the apex of social distress. Thus they have founded cells in Lebanon, in the industrial area of the Parisian suburb of Saint-Quentin, in Vlaardingen near Rotterdam, in a high-rise apartment building in a suburban settlement near Lyons, in Israel, and in Lucerne. The sisters maintain their financial independence from the order by earning their keep as cleaning ladies, workers, nurses, and secretaries. One of them is always at home to keep the house or apart-ment open for those who seek advice or companionship. Their motto is "Pray and Work," and the community rule sums up their purpose in one sentence: "Be among men a sign of brotherly love and joy." In the beginning this order was actually of a quite different nature. During the Thirties some women from French-speaking Switzerland de-cided that through reflection and contemplation (retreats) they wanted to experience once again the meaning of their lives. They rented a house in Grandchamp near Areuse on Lake Neuenburger. An increasing number of guests desirous of some days of quiet meditation began to assemble. The reception of these guests allowed the women to gradually grow to-gether into a community. They designated themselves as sisters and asked the initiator of the first retreats, Madame Micheli, to join them in the capac-ity of Mother. In 1952, eight of the sisters and the Mother committed themselves to remain together for life. One year later they joined the young, Protestant, Swiss Brotherhood of Taiz6 in Burgundy and adopted the brotherhood's rule and liturgical prayer. During the closing years of the War the Swiss Brotherhood of Taiz~ grew fr

1. Contextual outline of the PhD Research Climate change is today often seen as one of the most challenging issue that our civilisation will have to face during the 21st century. This is especially so now that the most recent scientific data have led to the conclusion that the globally averaged net effect of human activities since 1750 has been one of warming (IPCC 2007, p. 5) and that continued greenhouse gas emissions at or above current rates would cause further warming (IPCC, 2007 p. 13). This unequivocal link between climate change and anthropogenic activities requires an urgent, world-wide shift towards a low carbon economy (STERN 2006 p. iv) and coordinated policies and measures to manage this transition. The climate issue is undoubtedly a typical policy question and as such, is considered amenable to economic scrutiny. Indeed, in today's world economics is inevitable when it comes to arbitrages in the field of policy making. From the very beginning of international talks on climate change, up until the most recent discussions on a post-Kyoto international framework, economic arguments have turned out to be crucial elements of the analysis that shapes policy responses to the climate threat. This can be illustrated by the prominent role that economics has played in the different analyses produced by the Intergovernmental Panel on Climate Change (IPCC) to assess the impact of climate change on society. The starting point and the core idea of this PhD research is the long-held observation that the threat of climate change calls for a change of climate in economics. Borrowing from the jargon used in climate policy, adaptation measures could also usefully target the academic discipline of economics. Given that inherent characteristics of the climate problem (e.g. complexity, irreversibility, deep uncertainty, etc.) challenge core economic assumptions, mainstream economic theory does not appear as appropriately equipped to deal with this crucial issue. This makes that new assumptions and analyses are needed in economics in order to comprehend and respond to the problem of climate change. In parallel (and without environmental considerations being specifically the driving force to it), the mainstream model in economics has also long been (and still is) strongly criticised and disputed by numerous scholars - both from within and outside the field of economics. For the sake of functionality, these criticisms - whether they relate to theoretical inconsistencies or are empirically-based - can be subsumed as all challenging part of the Cartesian/Newtonian legacy of economics. This legacy can be shown to have led to a model imprinted with what could be called "mechanistic reductionism". The mechanistic side refers to the Homo oeconomicus construct while reductionism refers to the quest for micro-foundations materialised with the representative agent hypothesis. These two hypotheses constitute, together with the conjecture of perfect markets, the building blocks of the framework of general equilibrium economics. Even though it is functional for the purpose of this work to present them separately, the flaws of economics in dealing with the specificities of the climate issue are not considered independent from the fundamental objections made to the theoretical framework of mainstream economics. The former only make the latter seem more pregnant while the current failure of traditional climate policies informed by mainstream economics render the need for complementary approaches more urgent. 2. Overview of the approach and its main insights for climate policy Starting from this observation, the main objective of this PhD is thus to assess the implications for climate policy that arise from adopting an alternative analytical economic framework. The stance is that the coupling of insights from the framework of evolutionary economics with the perspective of ecological economics provides a promising way forward both theoretically as well as on a more applied basis with respect to a better comprehension of the socioeconomic aspects related to the climate problem. As claimed in van den Bergh (2007, p. 521), ecological economics and evolutionary economics "share many characteristics and can be combined in a fruitful way" - which renders the coupling approach both legitimate and promising. The choice of an evolutionary line of thought initially stems from its core characteristic: given its focus on innovation and system change it provides a useful approach to start with for assessing and managing the needed transition towards a low carbon economy. Besides, its shift of focus towards a better understanding of economic dynamics together with its departure from the perfect rationality hypothesis renders evolutionary economics a suitable theoretical complement for designing environmental policies. The notions of path-dependence and lock-in can be seen as the core elements from this PhD research. They arise from adopting a framework which is founded on a different view of individual rationality and that allows for richer and more complex causalities to be accounted for. In a quest for surmounting the above-mentioned problem of reductionism, our framework builds on the idea of 'multi-level selection'. This means that our analytical framework should be able to accommodate not only for upward but also for downward causation, without giving analytical priority to any level over the other. One crucial implication of such a framework is that the notion of circularity becomes the core dynamic, highlighting the importance of historicity, feedbacks and emergent properties. More precisely, the added value of the perspective adopted in this PhD research is that it highlights the role played by inertia and path-dependence. Obviously, it is essential to have a good understanding of the underlying causes of that inertia prior to devising on how to enforce a change. Providing a clear picture of the socio-economic processes at play in shaping socio-technical systems is thus a necessary first step in order to usefully complement policy-making in the field of energy and climate change. In providing an analytical basis for this important diagnosis to be performed, the use of the evolutionary framework sheds a new light on the transition towards low-carbon socio-technical systems. The objective is to suggest strategies that could prove efficient in triggering the needed transition such as it has been the case in past "lock-in" stories. Most notably, the evolutionary framework allows us to depict the presence of two sources of inertia (i.e at the levels of individuals through "habits" and at the level of socio-technical systems) that mutually reinforce each other in a path-dependent manner. Within the broad perspective on path dependence and lock-in, this PhD research has first sketched the implications for climate policy of applying the concept of 'technological lock-in' in a systemic perspective. We then investigated in more details the notion of habits. This is important as the 'behavioural' part of the lock-in process, although explicitly acknowledged in the pioneer work of Paul David (David, 1985, p. 336), has been neglected in most of subsequent analyses. Throughout this study, the notion of habits has been studied at both the theoretical and applied level of analysis as well as from an empirical perspective. As shown in the first chapters of the PhD, the advantage of our approach is that it can incorporate theories that so far have been presented opposite, partial and incomplete perspectives. For instance, it is shown that our evolutionary approach not only is able to provide explanation to some of the puzzling questions in economics (e.g. the problem of strong reciprocity displayed by individual in anonymous one-shot situations) but also is very helpful in bringing a complementary explanation with respect to the famous debate on the 'no-regret' emission reduction potential which agitates the experts of climate policy. An emission reduction potential is said to be "no regret" when the costs of implementing a measure are more than offset by the benefits it generates such as, for instance, reduced energy bills. In explaining why individuals do not spontaneously implement those highly profitable energy-efficient investments , it appears that most prior analyses have neglected the importance of non-economic obstacle. They are often referred to as "barriers" and partly relate to the 'bounded rationality' of economic agent. As developed in the different chapters of this PhD research, the framework of evolutionary economics is very useful in that it is able to provide a two-fold account (i.e. relying on both individual and socio-technical sources of inertia) of this limited rationality that prevent individuals to act as purely optimising agents. Bearing this context in mind, the concept of habits, as defined and developed in this study, is essential in analysing the determinants of energy consumption. Indeed, this concept sheds an insightful light on the puzzling question of why energy consumption keeps rising even though there is an evident increase of awareness and concern about energy-related environmental issues such as climate change. Indeed, if we subscribe to the idea that energy-consuming behaviours are often guided by habits and that deeply ingrained habits can become "counter-intentional", it then follows that people may often display "locked-in" practices in their daily energy consumption behaviour. This hypothesis has been assessed in our empirical analysis whose results show how the presence of strong energy-consuming habitual practices can reduce the effectiveness of economic incentives such as energy subsidies. One additional delicate factor that appears crucial for our purpose is that habits are not fully conscious forms of behaviours. This makes that individuals do not really see habits as a problem given that it is viewed as easily changed. In sum, based on our evolutionary account of the situation, it follows that, to be more efficient, climate policies would have to both shift the incumbent carbon-based socio-technical systems (for it to shape decisions towards a reduction of greenhouse gas emissions) and also deconstruct habits that this same socio-technical has forged with time (as increased environmental awareness and intentions formulated accordingly are not sufficient in the presence of strong habits). Accordingly, decision-makers should design measures (e.g. commitment strategies, niche management, etc.) that, as explained in this research, specifically target those change-resisting factors and their key features. This is essential as these factors tend to reduce the efficiency of traditional instruments. Micro-level interventions are thus needed as much as macro-level ones. For instance, it is often the case that external improvements of energy efficiency do not lead to lower energy consumption due to the rebound effect arising from unchanged energy-consuming habits. Bearing this in mind and building on the insights from the evolutionary approach, policy-makers should go beyond the mere subsidisation of technologies. They should instead create conditions enabling the use of the multi-layered, cumulative and self-reinforcing character of economic change highlighted by evolutionary analyses. This means supporting both social and physical technologies with the aim of influencing the selection environment so that only the low-carbon technologies and practices will survive. ; De nos jours, la science économique est devenue une discipline incontournable dans le domaine de l'analyse politique. Les politiques environnementales, et notamment la politique de lutte contre le réchauffement climatique, n'échappent pas à la règle. Or, la théorie économique traditionnelle repose sur des postulats fortement contestés par de nombreux auteurs, tant du point de vue théorique que du point de vue empirique. Dans ce contexte, l'idée de la thèse est de voir quelles seraient les implications de l'adoption d'une grille de lecture économique alternative sur le processus de décision dans le domaine de la politique climatique. Le choix d'un autre modèle s'est porté logiquement sur l'économie évolutionniste dans la mesure où, d'une part, ce courant s'est construit sur l'idée qu'il fallait réconcilier la caractérisation de l'agent économique avec l'abondante littérature empirique et, d'autre part, il a opté pour la logique biologique, plus en phase les rythmes écologiques, comme métaphore inspiratrice. De par la nature même de la réflexion sous-tendant ses fondements théoriques, l'économie évolutionniste s'intéresse aux dynamiques économiques résultant des processus d'innovation, sélection et accumulation. En fait, ce qui est considéré comme exogène dans le modèle traditionnel, constitue le « cœur conceptuel » du modèle évolutionniste. Le choix de cette nouvelle grille de lecture a inévitablement comme conséquence d'envisager d'une autre manière l'économie politique portant sur les questions environnementales. La première partie de la recherche est consacrée à une analyse approfondie des critiques formulées à l'encontre du modèle économique traditionnel. Cette analyse, dont l'objectif est de contribuer à l'élaboration du cadre conceptuel de la thèse, consiste en l'exploration parallèle du champ de recherche concernant le fonctionnement des agents économiques et de la philosophie évolutionniste en général. Cette investigation conjointe, doublée d'un cadrage portant sur l'histoire et l'évolution de la science économique, permet d'aborder de front les deux faiblesses principales du modèle traditionnel, à savoir l'irréalisme empirique du paradigme de l'Homo Oeconomicus et le problème de la simple agrégation sous la forme de l'agent représentatif. Cette phase aboutit à la formulation d'un schéma analytique alternatif fondé sur le concept de « rationalité limitée » articulé dans un cadre reposant sur la notion d'évolution, définie comme un processus à causalité cumulative, double (ascendante et descendante) et interactive illustrant l'importance jouée par le niveau de groupe pour expliquer le fonctionnement des individus. Ce cadre et les préceptes qui en découlent seront utilisés d'une part, pour tenter d'apporter un éclairage différent sur la question du « paradoxe énergétique » et, d'autre part, pour analyser l'évolution technologique, élément central de la problématique du climat. Par exemple, la notion de causalité cumulative et interactive appliquée à la question de l'évolution technologique met lumière celle de « dépendance du sentier » qui exprime l'idée selon laquelle des évènements aléatoires insignifiants influencent fortement la direction et l'orientation d'une trajectoire technologique. De même, l'importance de la contingence historique et des interdépendances systémiques, qui découlent de notre choix d'adopter une approche évolutionniste, servent à expliquer le processus via lequel on a abouti à ce que l'on peut appeler le « carbon lock-in », selon lequel notre économie serait enfermée dans un régime sociotechnique « carbone » tant nos habitudes, nos institutions et nos réseaux technologiques sont adaptés à l'utilisation de combustibles fossiles (principale cause du problème de l'effet de serre). Cette notion d'enfermement technologique à laquelle notre analyse a mené est importante dans le sens où elle requiert des décideurs politiques de mettre en œuvre des mesures propres à déverrouiller nos trajectoires technologiques, si on veut respecter les engagements pris dans le cadre du Protocole de Kyoto. En conclusion, l'adoption d'une approche évolutionniste est susceptible de faire évoluer sensiblement le type de politiques et instrument utilisés pour lutter contre le problème du réchauffement. Notamment, elle questionne la pertinence des instruments économiques actuels, comme l'échange de quotas d'émissions, qui proviennent du modèle traditionnel (mettant l'accent sur l'efficience et reposant sur la parfaite rationalité des acteurs), dans la mesure où ils ne traitent pas des barrières structurelles responsables de l'enfermement technologique dans la filière fossile. Comme le souligne notre recherche, les politiques climatiques devraient plutôt créer un environnement permettant d'utiliser la nature cumulative et auto-renforçante de l'évolution des technologies.

(This post continues part 1 which just looked at the data. Part 3 on theory is here) When the Fed raises interest rates, how does inflation respond? Are there "long and variable lags" to inflation and output?  There is a standard story: The Fed raises interest rates; inflation is sticky so real interest rates (interest rate - inflation) rise; higher real interest rates lower output and employment; the softer economy pushes inflation down. Each of these is a lagged effect. But despite 40 years of effort, theory struggles to substantiate that story (next post), it's had to see in the data (last post), and the empirical work is ephemeral -- this post.  The vector autoregression and related local projection are today the standard empirical tools to address how monetary policy affects the economy, and have been since Chris Sims' great work in the 1970s. (See Larry Christiano's review.) I am losing faith in the method and results. We need to find new ways to learn about the effects of monetary policy. This post expands on some thoughts on this topic in "Expectations and the Neutrality of Interest Rates," several of my papers from the 1990s* and excellent recent reviews from Valerie Ramey and  Emi Nakamura and Jón Steinsson, who  eloquently summarize the hard identification and computation troubles of contemporary empirical work.Maybe popular wisdom is right, and economics just has to catch up. Perhaps we will. But a popular belief that does not have solid scientific theory and empirical backing, despite a 40 year effort for models and data that will provide the desired answer, must be a bit less trustworthy than one that does have such foundations. Practical people should consider that the Fed may be less powerful than traditionally thought, and that its interest rate policy has different effects than commonly thought. Whether and under what conditions high interest rates lower inflation, whether they do so with long and variable but nonetheless predictable and exploitable lags, is much less certain than you think. Here is a replication of one of the most famous monetary VARs, Christiano Eichenbaum and Evans 1999, from Valerie Ramey's 2016 review: Fig. 1 Christiano et al. (1999) identification. 1965m1–1995m6 full specification: solid black lines; 1983m1–2007m12 full specification: short dashed blue (dark gray in the print version) lines; 1983m1–2007m12, omits money and reserves: long-dashed red (gray in the print version) lines. Light gray bands are 90% confidence bands. Source: Ramey 2016.  Months on x axis. The black lines plot the original specification. The top left panel plots the path of the Federal Funds rate after the Fed unexpectedly raises the interest rate. The funds rate goes up, but only for 6 months or so. Industrial production goes down and unemployment goes up, peaking at month 20. The figure plots the level of the CPI, so inflation is the slope of the lower right hand panel. You see inflation goes the "wrong" way, up, for about 6 months, and then gently declines. Interest rates indeed seem to affect the economy with long lags. This was the broad outline of consensus empirical estimates for many years. It is common to many other studies, and it is consistent with the beliefs of policy makers and analysts. It's pretty much what Friedman (1968) told us to expect. Getting contemporary models to produce something like this is much harder, but that's the next blog post. What's a VAR?I try to keep this blog accessible to nonspecialists, so I'll step back momentarily to explain how we produce graphs like these. Economists who know what a VAR is should skip to the next section heading. How do we measure the effect of monetary policy on other variables? Milton Friedman and Anna Schwartz kicked it off in the Monetary History by pointing to the historical correlation of money growth with inflation and output. They knew as we do that correlation is not causation, so they pointed to the fact that money growth preceeded inflation and output growth.  But as James Tobin pointed out, the cock's crow comes before, but does not cause, the sun to rise. So too people may go get out some money ahead of time when they see more future business activity on the horizon.  Even correlation with a lead is not causation. What to do? Clive Granger's causality and Chris Sims' VAR, especially "Macroeconomics and Reality" gave today's answer. (And there is a reason that everybody mentioned so far has a Nobel prize.) First, we find a monetary policy "shock," a movement in the interest rate (these days; money, then) that is plausibly not a response to economic events and especially to expected future economic events. We think of the Fed setting interest rates by a response to economic data plus deviations from that response, such as interest rate = (#) output + (#) inflation + (#) other variables + disturbance. We want to isolate the "disturbance," movements in the interest rate not taken in response to economic events. (I use "shock" to mean an unpredictable variable, and "disturbance" to mean deviation from an equation like the above, but one that can persist for a while. A monetary policy "shock" is an unexpected movement in the disturbance.)  The "rule" part here can be but need not be the Taylor rule, and can include other variables than output and inflation. It is what the Fed usually does given other variables, and therefore (hopefully) controls for reverse causality from expected future economic events to interest rates. Now, in any individual episode, output and inflation and inflation following a shock will be influenced by subsequent shocks to the economy, monetary and other. But those average out. So, the average value of inflation, output, employment, etc. following a monetary policy shock is a measure of how the shock affects the economy all on its own. That is what has been plotted above. VARs were one of the first big advances in the modern empirical quest to find "exogenous" variation and (somewhat) credibly find causal relationships. Mostly the huge literature varies on how one finds the "shocks." Traditional VARs use regressions of the above equations and the residual is the shock, with a big question just how many and which contemporaneous variables one adds in the regression. Romer and Romer pioneered the "narrative approach," reading the Fed minutes to isolate shocks.  Some technical details at the bottom and much more discussion below. The key is finding shocks. One can just regress output and inflation on the shocks to produce the response function, which is a "local projection" not a "VAR," but I'll use "VAR" for both techniques for lack of a better encompassing word. Losing faithShocks, what shocks?What's a "shock" anyway? The concept is that the Fed considers its forecast of inflation, output and other variables it is trying to control, gauges the usual and appropriate response, and then adds 25 or 50 basis points, at random, just for the heck of it. The question VARS try to answer is the same: What happens to the economy if the Fed raises interest rates unexpectedly, for no particular reason at all? But the Fed never does this. Ask them. Read the minutes. The Fed does not roll dice. They always raise or lower interest rates for a reason, that reason is always a response to something going on in the economy, and most of the time how it affects forecasts of inflation and employment. There are no shocks as defined.I speculated here that we might get around this problem: If we knew the Fed was responding to something that had no correlation with future output, then even though that is an endogenous response, then it is a valid movement for estimating the effect of interest rates on output. My example was, what if the Fed "responds" to the weather. Well, though endogenous, it's still valid for estimating the effect on output. The Fed does respond to lots of things, including foreign exchange, financial stability issues, equity, terrorist attacks, and so forth. But I can't think of any of these in which the Fed is not thinking of these events for their effect on output and inflation, which is why I never took the idea far. Maybe you can. Shock isolation also depends on complete controls for the Fed's information. If the Fed uses any information about future output and inflation that is not captured in our regression, then information about future output and inflation remains in the "shock" series. The famous "price puzzle" is a good example. For the first few decades of VARs, interest rate shocks seemed to lead to higher inflation. It took a long specification search to get rid of this undesired result. The story was, that the Fed saw inflation coming in ways not completely controlled for by the regression. The Fed raised interest rates to try to forestall the inflation, but was a bit hesitant about it so did not cure the inflation that was coming. We see higher interest rates followed by higher inflation, though the true causal effect of interest rates goes the other way. This problem was "cured" by adding commodity prices to the interest rate rule, on the idea that fast-moving commodity prices would capture the information the Fed was using to forecast inflation. (Interestingly these days we seem to see core inflation as the best forecaster, and throw out commodity prices!) With those and some careful orthogonalization choices, the "price puzzle" was tamped down to the one year or so delay you see above. (Neo-Fisherians might object that maybe the price puzzle was trying to tell us something all these years!) Nakamura and Steinsson write of this problem: "What is being assumed is that controlling for a few lags of a few variables captures all endogenous variation in policy... This seems highly unlikely to be true in practice. The Fed bases its policy decisions on a huge amount of data. Different considerations (in some cases highly idiosyncratic) affect policy at different times. These include stress in the banking system, sharp changes in commodity prices, a recent stock market crash, a financial crisis in emerging markets, terrorist attacks, temporary investment tax credits, and the Y2K computer glitch. The list goes on and on. Each of these considerations may only affect policy in a meaningful way on a small number of dates, and the number of such influences is so large that it is not feasible to include them all in a regression. But leaving any one of them out will result in a monetary policy "shock" that the researcher views as exogenous but is in fact endogenous." Nakamura and Steinsson offer 9/11 as another example summarizing my "high frequency identification" paper with Monika Piazzesi: The Fed lowered interest rates after the terrorist attack, likely reacting to its consequences for output and inflation. But VARs register the event as an exogenous shock.Romer and Romer suggested that we use Fed Greenbook forecasts of inflation and output as controls, as those should represent the Fed's complete information set. They provide narrative evidence that Fed members trust Greenback forecasts more than you might suspect. This issue is a general Achilles heel of empirical macro and finance: Does your procedure assume agents see no more information than you have included in the model or estimate? If yes, you have a problem. Similarly, "Granger causality" answers the cock's crow-sunrise problem by saying that if unexpected x leads unexpected y then x causes y. But it's only real causality if the "expected" includes all information, as the price puzzle counterexample shows. Just what properties do we need of a shock in order to measure the response to the question, "what if the Fed raised rates for no reason?" This strikes me as a bit of an unsolved question -- or rather, one that everyone thinks is so obvious that we don't really look at it. My suggestion that the shock only need be orthogonal to the variable whose response we're estimating is informal, and I don't know of formal literature that's picked it up. Must "shocks" be unexpected, i.e. not forecastable from anything in the previous time information set? Must they surprise people? I don't think so -- it is neither necessary nor sufficient for  shock to be unforecastable for it to identify the inflation and output responses. Not responding to expected values of the variable whose response you want to measure should be enough.  If bond markets found out about a random funds rate rise one day ahead, it would then be an "expected" shock, but clearly just as good for macro. Romer and Romer have been criticized that their shocks are predictable, but this may not matter. The above Nakamura and Steinsson quote says leaving out any information leads to a shock that is not strictly exogenous. But strictly exogenous may not be necessary for estimating, say, the effect of interest rates on inflation. It is enough to rule out reverse causality and third effects. Either I'm missing a well known econometric literature, as is everyone else writing the VARs I've read who don't cite it, or there is a good theory paper to be written.Romer and Romer, thinking deeply about how to read "shocks" from the Fed minutes, define shocks thus to circumvent the "there are no shocks" problem:we look for times when monetary policymakers felt the economy was roughly at potential (or normal) output, but decided that the prevailing rate of inflation was too high. Policymakers then chose to cut money growth and raise interest rates, realizing that there would be (or at least could be) substantial negative consequences for aggregate output and unemployment. These criteria are designed to pick out times when policymakers essentially changed their tastes about the acceptable level of inflation. They weren't just responding to anticipated movements in the real economy and inflation. [My emphasis.]  You can see the issue. This is not an "exogenous" movement in the funds rate. It is a response to inflation, and to expected inflation, with a clear eye on expected output as well. It really is a nonlinear rule, ignore inflation for a while until it gets really bad then finally get serious about it. Or, as they say, it is a change in rule, an increase in the sensitivity of the short run interest rate response to inflation, taken in response to inflation seeming to get out of control in a longer run sense. Does this identify the response to an "exogenous" interest rate increase? Not really.  But maybe it doesn't matter. Are we even asking an interesting question? The whole question, what would happen if the Fed raised interest rates for no reason, is arguably besides the point. At a minimum, we should be clearer about what question we are asking, and whether the policies we analyze are implementations of that question. The question presumes a stable "rule," (e.g. \(i_t = \rho i_{t-1} + \phi_\pi \pi_t + \phi_x x_t + u_t\)) and asks what happens in response to a deviation \( +u_t \) from the rule. Is that an interesting question? The standard story for 1980-1982 is exactly not such an event. Inflation was not conquered by a big "shock," a big deviation from 1970s practice, while keeping that practice intact. Inflation was conquered (so the story goes) by a change in the rule, by a big increase in $\phi_\pi$. That change raised interest rates,  but arguably without any deviation from the new rule \(u_t\) at all. Thinking in terms of the Phillips curve \( \pi_t = E_t \pi_{t+1} + \kappa x_t\), it was not a big negative \(x_t\) that brought down inflation, but the credibility of the new rule that brought down \(E_t \pi_{t+1}\). If the art of reducing inflation is to convince people that a new regime has arrived, then the response to any monetary policy "shock" orthogonal to a stable "rule" completely misses that policy. Romer and Romer are almost talking about a rule-change event. For 2022, they might be looking at the Fed's abandonment of flexible average inflation targeting and its return to a Taylor rule. However, they don't recognize the importance of the distinction, treating changes in rule as equivalent to a residual. Changing the rule changes expectations in quite different ways from a residual of a stable rule. Changes with a bigger commitment should have bigger effects, and one should standardize somehow by the size and permanence of the rule change, not necessarily the size of the interest rate rise. And, having asked "what if the Fed changes rule to be more serious about inflation," we really cannot use the analysis to estimate what happens if the Fed shocks interest rates and does not change the rule. It takes some mighty invariance result from an economic theory that a change in rule has the same effect as a shock to a given rule. There is no right and wrong, really. We just need to be more careful about what question the empirical procedure asks, if we want to ask that question, and if our policy analysis actually asks the same question. Estimating rules, Clarida Galí and Gertler. Clarida, Galí, and Gertler (2000) is a justly famous paper, and in this context for doing something totally different to evaluate monetary policy. They estimate rules, fancy versions of \(i_t = \rho i_{t-1} +\phi_\pi \pi_t + \phi_x x_t + u_t\), and they estimate how the \(\phi\) parameters change over time. They attribute the end of 1970s inflation to a change in the rule, a rise in \(\phi_\pi\) from the 1970s to the 1980s. In their model, a higher \( \phi_\pi\) results in less volatile inflation. They do not estimate any response functions. The rest of us were watching the wrong thing all along. Responses to shocks weren't the interesting quantity. Changes in the rule were the interesting quantity. Yes, I criticized the paper, but for issues that are irrelevant here. (In the new Keynesian model, the parameter that reduces inflation isn't the one they estimate.) The important point here is that they are doing something completely different, and offer us a roadmap for how else we might evaluate monetary policy if not by impulse-response functions to monetary policy shocks. Fiscal theoryThe interesting question for fiscal theory is, "What is the effect of an interest rate rise not accompanied by a change in fiscal policy?" What can the Fed do by itself? By contrast, standard models (both new and old Keynesian) include concurrent fiscal policy changes when interest rates rise. Governments tighten in present value terms, at least to pay higher interest costs on the debt and the windfall to bondholders that flows from unexpected disinflation. Experience and estimates surely include fiscal changes along with monetary tightening. Both fiscal and monetary authorities react to inflation with policy actions and reforms. Growth-oriented microeconomic reforms with fiscal consequences often follow as well -- rampant inflation may have had something to do with Carter era trucking, airline, and telecommunications reform. Yet no current estimate tries to look for a monetary shock orthogonal to fiscal policy change. The estimates we have are at best the effects of monetary policy together with whatever induced or coincident fiscal and microeconomic policy tends to happen at the same time as central banks get serious about fighting inflation. Identifying the component of a monetary policy shock orthogonal to fiscal policy, and measuring its effects is  a first order question for fiscal theory of monetary policy. That's why I wrote this blog post. I set out to do it, and then started to confront how VARs are already falling apart in our hands. Just what "no change in fiscal policy" means is an important question that varies by application. (Lots more in "fiscal roots" here, fiscal theory of monetary policy here and in FTPL.) For simple calculations, I just ask what happens if interest rates change with no change in primary surplus. One might also define "no change" as no change in tax rates, automatic stabilizers, or even habitual discretionary stimulus and bailout, no disturbance \(u_t\) in a fiscal rule \(s_t = a + \theta_\pi \pi_t + \theta_x x_t + ... + u_t\). There is no right and wrong here either, there is just making sure you ask an interesting question. Long and variable lags, and persistent interest rate movementsThe first plot shows a mighty long lag between the monitor policy shock and its effect on inflation and output. That does not mean that the economy has long and variable lags. This plot is actually not representative, because in the black lines the interest rate itself quickly reverts to zero. It is common to find a more protracted interest rate response to the shock, as shown in the red and blue lines. That mirrors common sense: When the Fed starts tightening, it sets off a year or so of stair-step further increases, and then a plateau, before similar stair-step reversion. That raises the question, does the long-delayed response of output and inflation represent a delayed response to the initial monetary policy shock, or does it represent a nearly instantaneous response to the higher subsequent interest rates that the shock sets off? Another way of putting the question, is the response of inflation and output invariant to changes in the response of the funds rate itself? Do persistent and transitory funds rate changes have the same responses? If you think of the inflation and output responses as economic responses to the initial shock only, then it does not matter if interest rates revert immediately to zero, or go on a 10 year binge following the initial shock. That seems like a pretty strong assumption. If you think that a more persistent interest rate response would lead to a larger or more persistent output and inflation response, then you think some of what we see in the VARs is a quick structural response to the later higher interest rates, when they come. Back in 1988, I posed this question in "what do the VARs mean?" and showed you can read it either way. The persistent output and inflation response can represent either long economic lags to the initial shock, or much less laggy responses to interest rates when they come. I showed how to deconvolute the response function to the structural effect of interest rates on inflation and output and how persistently interest rates rise.  The inflation and output responses might be the same with shorter funds rate responses, or they might be much different. Obviously (though often forgotten), whether the inflation and output responses are invariant to changes in the funds rate response needs a model. If in the economic model only unexpected interest rate movements affect output and inflation, though with lags, then the responses are as conventionally read structural responses and invariant to the interest rate path. There is no such economic model. Lucas (1972) says only unexpected money affects output, but with no lags, and expected money affects inflation. New Keynesian models have very different responses to permanent vs. transitory interest rate shocks. Interestingly, Romer and Romer do not see it this way, and regard their responses as structural long and variable lags, invariant to the interest rate response. They opine that given their reading of a positive shock in 2022, a long and variable lag to inflation reduction is baked in, no matter what the Fed does next. They argue that the Fed should stop raising interest rates. (In fairness, it doesn't look like they thought about the issue much, so this is an implicit rather than explicit assumption.) The alternative view is that effects of a shock on inflation are really effects of the subsequent rate rises on inflation, that the impulse response function to inflation is not invariant to the funds rate response, so stopping the standard tightening cycle would undo the inflation response. Argue either way, but at least recognize the important assumption behind the conclusions. Was the success of inflation reduction in the early 1980s just a long delayed response to the first few shocks? Or was the early 1980s the result of persistent large real interest rates following the initial shock? (Or, something else entirely, a coordinated fiscal-monetary reform... But I'm staying away from that and just discussing conventional narratives, not necessarily the right answer.) If the latter, which is the conventional narrative, then you think it does matter if the funds rate shock is followed by more funds rate rises (or positive deviations from a rule), that the output and inflation response functions do not directly measure long lags from the initial shock. De-convoluting the structural funds rate to inflation response and the persistent funds rate response, you would estimate much shorter structural lags. Nakamura and Steinsson are of this view: While the Volcker episode is consistent with a large amount of monetary nonneutrality, it seems less consistent with the commonly held view that monetary policy affects output with "long and variable lags." To the contrary, what makes the Volcker episode potentially compelling is that output fell and rose largely in sync with the actions [interest rates, not shocks] of the Fed. And that's a good thing too. We've done a lot of dynamic economics since Friedman's 1968 address. There is really nothing in dynamic economic theory that produces a structural long-delayed response to shocks, without the continued pressure of high interest rates. (A correspondent objects to "largely in sync" pointing out several clear months long lags between policy actions and results in 1980. It's here for the methodological point, not the historical one.) However, if the output and inflation responses are not invariant to the interest rate response, then the VAR directly measures an incredibly narrow experiment: What happens in response to a surprise interest rate rise, followed by the plotted path of interest rates? And that plotted path is usually pretty temporary, as in the above graph. What would happen if the Fed raised rates and kept them up, a la 1980? The VAR is silent on that question. You need to calibrate some model to the responses we have to infer that answer. VARs and shock responses are often misread as generic theory-free estimates of "the effects of monetary policy." They are not. At best, they tell you the effect of one specific experiment: A random increase in funds rate, on top of a stable rule, followed by the usual following path of funds rate. Any other implication requires a model, explicit or implicit. More specifically, without that clearly false invariance assumption, VARs cannot directly answer a host of important questions. Two on my mind: 1) What happens if the Fed raises interest rates permanently? Does inflation eventually rise? Does it rise in the short run? This is the "Fisherian" and "neo-Fisherian" questions, and the answer "yes" pops unexpectedly out of the standard new-Keynesian model. 2) Is the short-run negative response of inflation to interest rates stronger for more persistent rate rises? The long-term debt fiscal theory mechanism for a short-term inflation decline is tied to the persistence of the shock and the maturity structure of the debt. The responses to short-lived interest rate movements (top left panel) are silent on these questions. Directly is an important qualifier. It is not impossible to answer these questions, but you have to work harder to identify persistent interest rate shocks. For example, Martín Uribe identifies permanent vs. transitory interest rate shocks, and finds a positive response of inflation to permanent interest rate rises. How? You can't just pick out the interest rate rises that turned out to be permanent. You have to find shocks or components of the shock that are ex-ante predictably going to be permanent, based on other forecasting variables and the correlation of the shock with other shocks. For example, a short-term rate shock that also moves long-term rates might be more permanent than one which does not do so. (That requires the expectations hypothesis, which doesn't work, and long term interest rates move too much anyway in response to transitory funds rate shocks. So, this is not directly a suggestion, just an example of the kind of thing one must do. Uribe's model is more complex than I can summarize in a blog.)  Given how small and ephemeral the shocks are already, subdividing them into those that are expected to have permanent vs. transitory effects on the federal funds rate is obviously a challenge. But it's not impossible. Monetary policy shocks account for small fractions of inflation, output and funds rate variation. Friedman thought that most recessions and inflations were due to monetary mistakes. The VARs pretty uniformly deny that result. The effects of monetary policy shocks on output and inflation add up to less than 10 percent of the variation of output and inflation. In part the shocks are small, and in part the responses to the shocks are small. Most recessions come from other shocks, not monetary mistakes.  Worse, both in data and in models, most inflation variation comes from inflation shocks, most output variation comes from output shocks, etc. The cross-effects of one variable on another are small. And "inflation shock" (or "marginal cost shock"),  "output shock" and so forth are just labels for our ignorance -- error terms in regressions, unforecasted movements -- not independently measured quantities. (This and old point, for example in my 1994 paper with the great title "Shocks." Technically, the variance of output is the sum of the squares of the impulse-response functions -- the plots -- times the variance of the shocks. Thus small shocks and small responses mean not much variance explained.)This is a deep point. The exquisite attention put to the effects of monetary policy in new-Keynesian models, while interesting to the Fed, are then largely beside the point if your question is what causes recessions. Comprehensive models work hard to match all of the responses, not just to monetary policy shocks. But it's not clear that the nominal rigidities that are important for the effects of monetary policy are deeply important to other (supply) shocks, and vice versa. This is not a criticism. Economics always works better if we can use small models that focus on one thing -- growth, recessions, distorting effect of taxes, effect of monetary policy -- without having to have a model of everything in which all effects interact. But, be clear we no longer have a model of everything.  "Explaining recessions" and "understanding the effects of monetary policy" are somewhat separate questions. Monetary policy shocks also account for small fractions of the movement in the federal funds rate itself. Most of the funds rate movement is in the rule, the reaction to the economy term. Like much empirical economics, the quest for causal identification leads us to look at a tiny causes with tiny effects, that do little to explain much variation in the variable of interest (inflation). Well, cause is cause, and the needle is the sharpest item in the haystack. But one worries about the robustness of such tiny effects, and to what extent they summarize historical experience.  To be concrete, here is a typical shock regression, 1960:1-2023:6 monthly data, standard errors in parentheses: ff(t) = a + b ff(t-1) + c[ff(t-1)-ff(t-2)] + d CPI(t) + e unemployment(t) + monetary policy shock, Where "CPI" is the percent change in the CPI (CPIAUCSL) from a year earlier. ff(t-1)ff(t-1)-ff(t-2)CPIUnempR20.970.390.032-0.0170.985(0.009)(0.07)(0.013)(0.009)The funds rate is persistent -- the lag term (0.97) is large. Recent changes matter too: Once the Fed starts a tightening cycle, it's likely to keep raising rates. And the Fed responds to CPI and unemployment. The plot shows the actual federal funds rate (blue), the model or predicted federal funds rate (red), the shock which is the difference between the two (orange) and the Romer and Romer dates (vertical lines). You can't see the difference between actual and predicted funds rate, which is the point. They are very similar and the shocks are small. They are closer horizontally than vertically, so the vertical difference plotted as shock is still visible. The shocks are much smaller than the funds rate, and smaller than the rise and fall in the funds rate in a typical tightening or loosening cycle. The shocks are bunched, with by far the biggest ones in the early 1980s. The shocks have been tiny since the 1980s. (Romer and Romer don't find any shocks!) Now, our estimates of the effect of monetary policy look at the average values of inflation, output, and employment in the 4-5 years after a shock. Really, you say, looking at the graph? That's going to be dominated by the experience of the early 1980s. And with so many positive and negative shocks close together, the average value 4 years later is going to be driven by subtle timing of when the positive or negative shocks line up with later events. Put another way, here is a plot of inflation 30 months after a shock regressed on the shock. Shock on the x axis, subsequent inflation on the y axis. The slope of the line  is our estimate of the effect of the shock on inflation 30 months out (source, with details). Hmm. One more graph (I'm having fun here):This is a plot of inflation for the 4 years after each shock, times that shock. The right hand side is the same graph with an expanded y scale. The average of these histories is our impulse response function.  (The big lines are the episodes which multiply the big shocks of the early 1980s. They mostly converge because, either multiplied by positive or negative shocks, inflation wend down in the 1980s.) Impulse response functions are just quantitative summaries of the lessons of history. You may be  underwhelmed that history is sending a clear story.  Again, welcome to causal economics -- tiny average responses to tiny but identified movements is what we estimate, not broad lessons of history. We do not estimate "what is the effect of the sustained high real interest rates of the early 1980s," for example, or "what accounts for the sharp decline of inflation in the early 1980s?" Perhaps we should, though confronting endogeneity of the interest rate responses some other way. That's my main point today. Estimates disappear after 1982Ramey's first variation in the first plot is to use data from 1983 to 2007. Her second variation is to also omit the monetary variables. Christiano Eichenbaum and Evans were still thinking in terms of money supply control, but our Fed does not control money supply. The evidence that higher interest rates lower inflation disappears after 1983, with or without money. This too is a common finding. It might be because there simply aren't any monetary policy shocks. Still, we're driving a car with a yellowed AAA road map dated 1982 on it.  Monetary policy shocks still seem to affect output and employment, just not inflation. That poses a deeper problem. If there just aren't any monetary policy shocks, we would just get big standard errors on everything. That only inflation disappears points to the vanishing Phillips curve, which will be the weak point in the theory to come. It is the Phillips curve by which lower output and employment push down inflation. But without the Phillips curve, the whole standard story for interest rates to affect inflation goes away. Computing long-run responsesThe long lags of the above plot are already pretty long horizons, with interesting economics still going on at 48 months. As we get interested in long run neutrality, identification via long run sign restrictions (monetary policy should not permanently affect output), and the effect of persistent interest rate shocks, we are interested in even longer run responses. The "long run risks" literature in asset pricing is similarly crucially interested in long run properties. Intuitively, we should know this will be troublesome. There aren't all that many nonoverlapping 4 year periods after interest rate shocks to measure effects, let alone 10 year periods.VARs estimate long run responses with a parametric structure. Organize the data (output, inflation, interest rate, etc) into a vector \(x_t = [y_t \; \pi_t \; i_t \; ...]'\), then the VAR can be written \(x_{t+1} = Ax_t + u_t\). We start from zero, move \(x_1 = u_1\) in an interesting way, and then the response function just simulates forward, with \(x_j = A^j x_1\).  But here an oft-forgotten lesson of 1980s econometrics pops up: It is dangerous to estimate long-run dynamics by fitting a short run model and then finding its long-run implications. Raising matrices to the 48th power \(A^{48}\) can do weird things, the 120th power (10 years) weirder things. OLS and maximum likelihood prize one step ahead \(R^2\), and will happily accept small one step ahead mis specifications that add up to big misspecification 10 years out. (I learned this lesson in the "Random walk in GNP.") Long run implications are driven by the maximum eigenvalue of the \(A\) transition matrix, and its associated eigenvector. \(A^j = Q \Lambda^j Q^{-1}\).  This is a benefit and a danger. Specify and estimate the dynamics of the combination of variables with the largest eigenvector  right, and lots of details can be wrong. But standard estimates aren't trying hard to get these right. The "local projection" alternative directly estimates long run responses: Run regressions of inflation in 10 years on the shock today. You can see the tradeoff: there aren't many non-overlapping 10 year intervals, so this will be imprecisely estimated. The VAR makes a strong parametric assumption about long-run dynamics. When it's right, you get better estimates. When it's wrong, you get misspecification. My experience running lots of VARs is that monthly VARs raised to large powers often give unreliable responses. Run at least a one-year VAR before you start looking at long run responses. Cointegrating vectors are the most reliable variables to include. They are typically the state variable that most reliably carries long - run responses. But pay attention to getting them right. Imposing integrating and cointegrating structure by just looking at units is a good idea. The regression of long-run returns on dividend yields is a good example. The dividend yield is a cointegrating vector, and is the slow-moving state variable. A one period VAR \[\left[ \begin{array}{c} r_{t+1} \\ dp_{t+1} \end{array} \right] = \left[ \begin{array}{cc} 0 & b_r  \\ 0 & \rho \end{array}\right]    \left[ \begin{array}{c} r_{t} \\ dp_{t} \end{array}\right]+ \varepsilon_{t+1}\] implies a long horizon regression \(r_{t+j} = b_r \rho^j dp_{t} +\) error. Direct regressions ("local projections") \(r_{t+j} = b_{r,j} dp_t + \) error give about the same answers, though the downward bias in \(\rho\) estimates is a bit of an issue, but with much larger standard errors. The constraint \(b_{r,j} = b_r \rho^j\) isn't bad. But it can easily go wrong. If you don't impose that dividends and price are cointegrated, or with vector other than 1 -1, if you  allow a small sample to estimate \(\rho>1\), if you don't put in dividend yields at all and just a lot of short-run forecasters, it can all go badly. Forecasting bond returns was for me a good counterexample. A VAR forecasting one-year bond returns  from today's yields gives very different results from taking a monthly VAR, even with several lags, and using \(A^{12}\) to infer the one-year return forecast. Small pricing errors or microstructure dominate the monthly data, which produces junk when raised to the twelfth power. (Climate regressions are having fun with the same issue. Small estimated effects of temperature on growth, raised to the 100th power, can produce nicely calamitous results. But use basic theory to think about units.)  Nakamura and Steinsson (appendix) show how sensitive some standard estimates of impulse response functions are to these questions. Weak evidenceFor the current policy question, I hope you get a sense of how weak the evidence is for the "standard view" that higher interest rates reliably lower inflation, though with a long and variable lag, and the Fed has a good deal of control over inflation. Yes, many estimates look the same, but there is a pretty strong prior going in to that. Most people don't publish papers that don't conform to something like the standard view. Look how long it took from Sims (1980) to Christiano Eichenbaum and Evans (1999) to produce a response function that does conform to the standard view, what Friedman told us to expect in (1968). That took a lot of playing with different orthogonalization, variable inclusion, and other specification assumptions. This is not criticism: when you have a strong prior, it makes sense to see if the data can be squeezed in to the prior. Once authors like Ramey and Nakamura and Steinsson started to look with a critical eye, it became clearer just how weak the evidence is. Standard errors are also wide, but the variability in results due to changes in sample and specification are much larger than formal standard errors. That's why I don't stress that statistical aspect. You play with 100 models, try one variable after another to tamp down the price puzzle, and then compute standard errors as if the 100th model were written in stone. This post is already too long, but showing how results change with different specifications would have been a good addition. For example, here are a few more Ramey plots of inflation responses, replicating various previous estimatesTake your pick. What should we do instead? Well, how else should we measure the effects of monetary policy? One natural approach turns to the analysis of historical episodes and changes in regime, with specific models in mind. Romer and Romer pass on thoughts on this approach: ...some macroeconomic behavior may be fundamentally episodic in nature. Financial crises, recessions, disinflations, are all events that seem to play out in an identifiable pattern. There may be long periods where things are basically fine, that are then interrupted by short periods when they are not. If this is true, the best way to understand them may be to focus on episodes—not a cross-section proxy or a tiny sub-period. In addition, it is valuable to know when the episodes were and what happened during them. And, the identification and understanding of episodes may require using sources other than conventional data.A lot of my and others'  fiscal theory writing has taken a similar view. The long quiet zero bound is a test of theories: old-Keynesian models predict a delation spiral, new-Keynesian models predicts sunspot volatility, fiscal theory is consistent with stable quiet inflation.  The emergence of inflation in 2021 and its easing despite interest rates below inflation likewise validates fiscal vs. standard theories.  The fiscal implications of abandoning the gold standard in 1933 plus Roosevelt's "emergency" budget make sense of that episode. The new-Keynesian reaction parameter \(\phi_\pi\) in \(i_t - \phi_\pi \pi_t\), which leads to unstable dynamics for ](\phi_\pi>1\) is not identified by time series data. So use "other sources," like plain statements on the Fed website about how they react to inflation. I already cited Clarida Galí and Gertler, for measuring the rule not the response to the shock, and explaining the implications of that rule for their model. Nakamura and Steinsson likewise summarize Mussa's (1986) classic study of what happens when countries switch from fixed to floating exchange rates: "The switch from a fixed to a flexible exchange rate is a purely monetary action. In a world where monetary policy has no real effects, such a policy change would not affect real variables like the real exchange rate. Figure 3 demonstrates dramatically that the world we live in is not such a world."Also, analysis of particular historical episodes is enlightening. But each episode has other things going on and so invites alternative explanations. 90 years later, we're still fighting about what caused the Great Depression. 1980 is the poster child for monetary disinflation, yet as Nakamura and Steinsson write, Many economists find the narrative account above and the accompanying evidence about output to be compelling evidence of large monetary nonneutrality. However, there are other possible explanations for these movements in output. There were oil shocks both in September 1979 and in February 1981.... Credit controls were instituted between March and July of 1980. Anticipation effects associated with the phased-in tax cuts of the Reagan administration may also have played a role in the 1981–1982 recession ....Studying changes in regime, such as fixed to floating or the zero bound era, help somewhat relative to studying a particular episode, in that they have some of the averaging of other shocks. But the attraction of VARs will remain. None of these produces what VARs seemed to produce, a theory-free qualitative estimate of the effects of monetary policy. Many tell you that prices are sticky, but not how prices are sticky. Are they old-Keynesian backward looking sticky or new-Keynesian rational expectations sticky? What is the dynamic response of relative inflation to a change in a pegged exchange rate? What is the dynamic response of real relative prices to productivity shocks? Observations such as Mussa's graph can help to calibrate models, but does not answer those questions directly.  My observations about the zero bound or the recent inflation similarly seem (to me) decisive about one class of model vs. another, at least subject to Occam's razor about epicycles, but likewise do not provide a theory-free  impulse response function.  Nakamura and Steinsson write at length about other approaches; model-based moment matching and use of micro data in particular. This post is going on too long; read their paper. Of course, as we have seen, VARs only seem to offer a model-free quantitative measurement of "the effects of monetary policy," but it's hard to give up on the appearance of such an answer. VARs and impulse responses also  remain very useful ways of summarizing the correlations and cross correlations of data, even without cause and effect interpretation. In the end, many ideas are successful in economics when they tell researchers what to do, when they offer a relatively clear recipe for writing papers. "Look at episodes and think hard is not such  recipe." "Run a VAR is." So, as you think about how we can evaluate monetary policy, think about a better recipe as well as a good answer.  (Stay tuned. This post is likely to be updated a few times!) VAR technical appendixTechnically, running VARs is very easy, at least until you start trying to smooth out responses with Bayesian  and other techniques. Line up the data in a vector, i.e. \(x_t = [i_t \; \pi_t\; y_t]'\). Then run a regression of each variable on lags of the others, \[x_t = Ax_{t-1} + u_t.\] If you want more than one lag of the right hand variables, just make a bigger \(x\) vector,  \(x_t = [i_t\; \pi_t \; y_t \; i_{t-1}\; \pi_{t-1} \;y_{t-1}]'.\) The residuals of such regressions \(u_t\) will be correlated, so you have to decide whether, say, the correlation between interest rate and inflation shocks means the Fed responds in the period to inflation, or inflation responds within the period to interest rates, or some combination of the two. That's the  "identification" assumption issue. You can write it as a matrix \(C\) so that \(u_t = C \varepsilon_t\) and cov\((\varepsilon_t \varepsilon_t')=I\) or you can include some contemporaneous values into the right hand sides. Now, with \(x_t = Ax_{t-1} + C\varepsilon_t\), you start with \(x_0=0\), choose one series to shock, e.g. \(\varepsilon_{i,1}=1\) leaving the others alone, and just simulate forward. The resulting path of the other variables is the above plot, the "impulse response function." Alternatively you can run a regression \(x_t = \sum_{j=0}^\infty \theta_j \varepsilon_{t-j}\) and the \(\theta_j\) are (different, in sample) estimates of the same thing. That's "local projection". Since the right hand variables are all orthogonal, you can run single or multiple regressions. (See here for equations.) Either way, you have found the moving average representation, \(x_t = \theta(L)\varepsilon_t\), in the first case with \(\theta(L)=(I-AL)^{-1}C\) in the second case directly. Since the right hand variables are all orthogonal, the variance of the series is the sum of its loading on all of the shocks, \(cov(x_t) = \sum_{j=0}^\infty \theta_j \theta_j'\). This "forecast error variance decomposition" is behind my statement that small amounts of inflation variance are due to monetary policy shocks rather than shocks to other variables, and mostly inflation shocks.   Update:Luis Garicano has a great tweet thread explaining the ideas with a medical analogy. Kamil Kovar has a nice follow up blog post, with emphasis on Europe. He makes a good point that I should have thought of: A monetary policy "shock" is a deviation from a "rule." So, the Fed's and ECB's failure to respond to inflation as they "usually" do in 2021-2022 counts exactly the same as a 3-5% deliberate lowering of the interest rate. Lowering interest rates for no reason, and leaving interest rates alone when the regression rule says raise rates are the same in this methodology.  That "loosening" of policy was quickly followed by inflation easing, so an updated VAR should exhibit a strong "price puzzle" -- a negative shock is followed by less, not more inflation. Of course historians and practical people might object that failure to act as usual has exactly the same effects as acting. * Some Papers: Comment on Romer and Romer What ends recessions? Some "what's a shock?"Comment on Romer and Romer A new measure of monetary policy. The greenbook forecasts, and beginning thoughts that strict exogeneity is not necessary. Shocks monetary shocks explain small fractions of output variance.Comments on Hamilton, more thoughts on what a shock is.What do the VARs mean? cited above, is the response to the shock or to persistent interest rates?The Fed and Interest Rates, with Monika Piazzesi. Daily data and interest rates to identify shocks. Decomposing the yield curve with Monika Piazzesi. Starts with a  great example of how small changes in specification lead to big differences in long run forecasts. Time seriesA critique of the application of unit root tests pretesting for unit roots and cointegration is a bad ideaHow big is the random walk in GNP? lessons in not using short run dynamics to infer long run properties. Permanent and transitory components of GNP and stock prices a favorite of cointegration really helps on long run propertiesTime series for macroeconomics and finance notes that never quite became a book. Explains VARs and responses. 

Collected data and research material presented in the monograph are a result of financing of the Polish science budget in the years 2011−14; the research project was financed by the National Science Centre according to decision no. DEC-2011/01/B/HS4/04744. The project that resulted in this monograph was financed from public funds for education for 2011 − 2014, the National Science Center under Contract No. DEC-2011/01/B/HS4/04744. ; Value-Based Working Capital Management analyzes the causes and effects of improper cash flow management between entrepreneurial organizations with varying levels of risk. This work looks at the motives and criteria for decision-making by entrepreneurs in their efforts to protect the financial security of their businesses and manage financial liquidity. Michalski argues that businesses exposed to greater risk need a different approach to managing liquidity levels. The scientific aim of this monograph is to present the essence of financial liquidity management under specific conditions faced by enterprises with risk and uncertainty. Enterprises differ from one another in risk sensitivity. This difference affects the area of taking decisions by the managers of those enterprises. The result of interactions between levels of liquidity and sensitivity to risk affects the managers of such enterprises (Altman 1984; Tobin 1958; Back 2001; Tobin 1969). In this monograph the research hypothesis is the claim that enterprises with a higher sensitivity to risk are very different from enterprises with a lower sensitivity to risk, resulting in a different approach to managing their working capital. Enterprise managing teams react to risk, and this reaction is adjusted by an enterprise's sensitivity to risk. Because of its subject area, the book will address the issues of corporate finance. The monograph discusses the behavior of enterprises and the relationships between them and other factors in the market occurring in the management process under the conditions of limited resources. As a result of these interactions with the market and the environment in which individuals who manage enterprises operate, there is an interaction between money and real processes that in the end are the cornerstone of wealth building. This chapter discusses the objectives and nature of enterprises in the context of their risk sensitivity, as well as the relationships between the objectives of enterprises and the characteristic features of their businesses. Enterprises operate in various business environments, but generally speaking, they all have one main aim: wealth creation for their owners. The realization of that aim depends on an idea of business in which the enterprise is an instrument to collect money from clients of the enterprise's services and products. Business environment is crucial not only for future enterprise cash inflows from the market but also for risk and uncertainty (Asch, and Kaye 1997; Copeland, and Weston 1988; Fazzari, and Petersen 1993). According to the author, it is necessary to include an understanding of that risk and uncertainty of future in the rate that reduces the net size of free cash flows for the enterprise owners, beneficiaries, or more generally stakeholders. Enterprise value creation is the main financial aim of the firm in relation to working capital components (Graber 1948; Jensen, and Meckling 1976; Lazaridis, and Trifonidis 2006). Working capital management is a part of a general enterprise strategy to its value maximization (Laffer 1970; Kieschnick, Laplante, and Moussawi 2009; Lyland, and Pyle 1977). This chapter presents a definition of financial liquidity and liquidity-level measurements. This chapter contains four subchapters that address the specific role of short-term financial decisions, a classification of definitions of financial liquidity, sources of information about liquidity level, and liquidity-level measurements (Lazaridis and Tryfonidis 2006; Long, Malitz, and Ravid 1993; Kieschnick, Laplante, and Moussawi 2009). Financial liquidity definition and liquidity-level measurements Here we have an opportunity to present the author's opinion on what assets should be financed with short-term funds and what the level of liquidity is in an enterprise (Michalski 2012a). The discussion also pertains to the issue of the dividing line between long-term and short-term decisions, with greater emphasis on the durability of their effects, rather than the decision-making speed. This section also attempts to answer the question: What are the short-term effects of operations under conditions of uncertainty and risk? The reason for the considerations in this section is the need to characterize the decisions that affect the level of enterprise liquidity. The research hypothesis of this monograph assumes that differences between more risk sensitive and less risk sensitive enterprises are seen in liquidity management. Simply because the enterprises, during financial liquidity management, take into account the differences in their risk sensitivity. This chapter discusses the relationship between firm value and business risk sensitivity. The chapter starts with a presentation of intrinsic liquidity value and firm reactions to market liquidity value. This is the basis for target liquidity level in the enterprise. Liquid assets are the main part of working capital assets, so the next part of the chapter focuses on working capital investment strategies and strategies of financing such investments in working capital in the context of firm value creation. The chapter concludes that, from a firm-value-creation point of view, more risk-sensitive entities should use flexible-conservative strategies, while less risk-sensitive entities have the freedom to use restrictive-aggressive strategies. In the context of a crisis, this is the clear answer and explanation for higher levels of working capital investments observed empirically during and after a crisis. The determinants of intrinsic value of liquidity are attributed to liquidity by enterprise management. Enterprises in which financial liquidity has a high internal value will have a tendency to maintain reasonable liquid resource assets at a higher level. The levels of stocks of funds maintained by enterprises are also the result of the relationship between the liquidity market value and the intrinsic value of liquidity. It demonstrates how to approach the estimation of liquidity and presents the market value of liquidity. Having connected this information with the knowledge of manifestations of the internal liquidity, we can offer an explanation as to why the target (and also probably the optimal) level of liquidity for enterprises with higher-than-average risk sensitivity is at a higher level than the corresponding target (optimal) level for enterprises with a lower level of risk sensitivity. Working capital value-based management models In this part of the monograph we discuss the items contained within the cost of maintaining inventory. Using this approach, a model of managing inventories is presented. Theoretically, the value-maximizing optimal level of inventory is determined to be the modified EOQ model, presented as VBEOQ model. We also present an outline of issues associated with the risk of inventory management and its impact on the value of the enterprise for its owner. We also discuss the principle of the optimal batch production model and how the size of the production batch affects the value of the enterprise for its owner. Here also is demonstrated a modification of the POQ model: VBPOQ. The proposed modification takes into account the rate of the cost of capital financing and the measures involved in inventory when determining the optimal batch production. When managing the commitment of the inventory, it is crucial to take into account the impact of such decisions on the long-term effectiveness of the enterprise. This chapter also discusses the relationships between the management of accounts receivables and the value of a business. A modified (considering the value of a business) model of incremental analysis of receivables is presented, as is a discussion of the importance of capacity utilization by an enterprise for making management decisions pertaining to accounts receivables. Issues related to the management of working capital and enterprise liquidity are and will be an area of research. The analysis in this study focused primarily on working capital and liquidity management; understanding its specifics will facilitate the management of liquidity in any type of organization. Working capital as a specific buffer against risk has its special role during a crisis and can serve as a good forecasting indicator about future economic problems in the economy if a whole business environment notices higher levels of working capital and its components, like cash, inventories, and accounts receivables. The scientific value of the issues discussed in the book is associated with the issue of working capital and liquidity management in enterprises. It is also a result of the exploration and definition of the main financial objective of businesses and the relationship between the objective and the management of working capital and enterprise liquidity. The choice of topic and the contents of research resulted also from empirical observation. Empirical data on enterprises that operate in countries touched by the last crisis document higher-than-average levels of working capital before, during, and after the crisis in these enterprises. These conditions provided the means for a "natural experiment" of sorts. From that point, working capital management theory faced a necessity of even wider development. ; Collected data and research material presented in the monograph are a result of financing of the Polish science budget in the years 2011−14; the research project was financed by the National Science Centre according to decision no. DEC-2011/01/B/HS4/04744. The project that resulted in this monograph was financed from public funds for education for 2011 − 2014, the National Science Center under Contract No. DEC-2011/01/B/HS4/04744. ; How to Cite this Book Harvard Grzegorz Michalski . (April 2014). Value-Based Working Capital Management . [Online] Available at: http://www.palgraveconnect.com/pc/doifinder/10.1057/9781137391834. (Accessed: 28 May 2014). APA Grzegorz Michalski . (April 2014). Value-Based Working Capital Management . Retrieved from http://www.palgraveconnect.com/pc/doifinder/10.1057/9781137391834 MLA Grzegorz Michalski . Value-Based Working Capital Management . (April 2014) Palgrave Macmillan. 28 May 2014. Vancouver Grzegorz Michalski . Value-Based Working Capital Management [internet]. New York: Palgrave Macmillan; April 2014. [cited 2014 May 28]. Available from: http://www.palgraveconnect.com/pc/doifinder/10.1057/9781137391834 OSCOLA Grzegorz Michalski , Value-Based Working Capital Management , Palgrave Macmillan April 2014 ; Author Biography Grzegorz Michalski is Assistant Professor of Corporate Finance at the Wroclaw University of Economics, Poland. His main areas of research are Business Finance and Financial Liquidity Management. He is currently studying the liquidity decisions made by organizations. He is the author or co-author of over 80 papers and 10 books, and sits on the editorial board of international conferences and journals. Reviews 'Due to the recent financial crisis, interest in the topic of working capital has grown significantly to both theory and practice. The research results presented by Grzegorz Michalski contribute to the development of a comprehensive theory of liquidity management and the creation of an integrated working capital and liquidity for different types of business model. The job is processed on a high quality level." -Marek Panfil, Ph.D, Director of Business Valuation Department Warsaw School of Economics 'The book of Grzegorz Michalski is a very good publication that has found the right balance between theory and practical aspects of financial liquidity management. It is extremely timely and valuable, and should be required reading for all corporate finance practitioners, academicians, and students of finance. Value-Based Working Capital Management is comprehensive, highly readable publication, and replete with useful practical examples. It has also enabled corporate leaders to make better-informed decisions in their efforts to protect the financial security of their businesses and manage financial liquidity.' -Petr Polak, Author of Centralization of Treasury Management, and Associate Professor of Finance, University of Brunei Darussalam ; REFERENCES Introduction Adner, R., and D. A. Levinthal (2004). "What Is Not a Real Option: Considering Boundaries for the Application of Real Options to Business Strategy." Academy of Management Review 29(1). Altman, E. (1984). "A Further Empirical Investigation of the Bankruptcy Cost Question." Journal of Finance 39. Back, P. (2001). "Testing Liquidity Measures as Bankruptcy Prediction Variables." 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Finances of Companies: Short-Term Financial Decisions. AE: Wroclaw. Sarjusz-Wolski, Z. (2000). Inventory control in an enterprise (in Polish: Sterowanie zapasami w przedsiebiorstwie). PWE: Warszawa. Sierpinska, M., and D. Wedzki (2002). Financial liquidity management in an enterprise (in Polish: Zarzadzanie plynnoscia finansowa w przedsiebiorstwie). WN PWN: Warsaw. Conclusion Etiennot, H., L. A. Preve, and V. S. Allende (2012). "Working Capital Management." Journal of Applied Finance 1 (ISSN 1534-6668), pp. 162–75 [This work was reported also as Etiennot, H., L. Preve, and V. Allende (2011). "Working Capital Management: An Exploratory Study." Journal of Applied Finance 2/2011, pp. 2–23 (available at SSRN: http://ssrn.com/abstract = 2119217).] Further References from Value-Based Working Capital Management Ehrhardt, M., and P. Daves (2002). "Corporate Valuation: The Combined Impact of Growth and the Tax Shield of Debt on the Cost of Capital and Systematic Risk." Journal of Applied Finance 12(2), pp. 31–38. Elvin, M. (2004). Financial Risk Taking: An Introduction to the Psychology of Trading and Behavioural Finance. John Wiley & Sons: Chichester, West Sussex, Hoboken, NJ. García Teruel, P. J., and P. Martínez Solano (2007). "Effects of Working Capital Management on Enterprise Profitability." International Journal of Managerial Finance 3, pp. 164–77. Grinblatt, M., and S. Titman (2001). Financial Markets and Corporate Strategy. McGraw-Hill/Irwin: Boston. Kerkhof, J., B. Melenberg, and H. Schumacher (2010). "Model Risk and Capital Reserves." Journal of Banking & Finance 34, pp. 267–79. Leary, M., and M. Roberts (2005). "Do Firms Rebalance Their Capital Structure?" Journal of Finance 60(6). Margrabe, R. (1978). "The Value of an Option to Exchange One Asset for Another." Journal of Finance 33(1). Markowitz, H. M. (1952). "Portfolio Selection." Journal of Finance 7 (1), pp. 77–91. Triantis, A., and A. Borison (2001). "Real Options: State of Practice." Journal of Applied Corporate Finance 14(2). Van der Wijst, D. (1989). Financial Structure in Small Business: Theory, Tests and Applications. Lecture Notes in Economics and Mathematical Systems, vol. 320. Springer-Verlag: Berlin Heidelberg. Vijayakumar, A. (2011). "Cash Conversion Cycle and Corporate Profitability: An Empirical Enquiry in Indian Automobile Firms." International Journal of Research in Commerce, IT & Management 1(2). ; National Science Centre no. DEC-2011/01/B/HS4/04744 ; Grzegorz Michalski

Issue 59.5 of the Review for Religious, 2000. ; Cons~crat,eld Life SEPTEMBER O(~TOBER "~- 2000 VOLUME 59 NUMBER 5 o to God's universal call,to holiness o by maki~i~ a~ailabie t~ them thespiritual legdcles ~ " tbat flow from tbe cbarisms_of Catholic consecrated life. Review for Religious (ISSN 0034-639X) is published bimonthly at Saint Louis University by the Jesuits of the Missouri Province. Editorial Office: 3601 Lindell Boulevard ¯ St. Louis, Missouri 63108-3393. Telephone: 314-977-7363 ¯ Fax: 314-977-7362 E-Mail: foppema@slu.edu Manuscripts, books for review, and correspondence with the editor: Review for Religious ¯ 3601 Lindell Boulevard ¯ St. Louis, MO 63108-3393. Correspondence about the Canonical Counsel department: Elizabeth McDonough OP Mount St. Mary's Seminary; Emmitsburg, Maryland 21727 POSTMASTER Send address changes to Review for Religious ° P.O. Box 6070 ¯ Duluth, MN 55806. Periodical postage paid at St. Louis, Missouri, and additional mailing offices. See inside back cover for information on subscription rates. ©2000 Review for Religious " Permission is herewith granted to copy any material (articles, poems, reviews) contained in this issue of Review for Religious for personal or internal use, or for the personal or internal use of specific library clients within the limits outlined in Sections 107 and/or 108 of the United States Copyright Law. MI copies made under this permission must bear notice of the source, date, and copyright owner on the first page. This permission is NOT extended to cop3~ing for commercial distribu-tion, advertising, institutional promotion, or for the creation of new collective works or anthologies. Such permission will only be considered on written application to the Editor, Review for Religious. iew religious LIVING OUR CATHOLIC LEGACIES Editor Associate Editors Canonical Counsel Editor Editorial Staff Advisory Board David L. Fleming sJ Clare Boehmer ASC Philip C. Fischer SJ Elizabeth McDonough OP Mary Ann Foppe Tracy Gramm James and Joan Felling Adrian Gaudin SC Kathryn Richards FSP Joel Rippinger-OS.B Bishop Carlos A. Sevilla sJ Patricia Wittberg sC SEPTEMBER OCTOBER 2000 VOLUME 59 NUMBER 5 contents catholic education 454 471 Ex Corde Ecclesiae: A History from Land O'Lakes to Now Martin R. Tripole SJ presents a brief history of Catholic higher education in the United States since Vatican Council II in order to give a context for the issues of contention in recent church documents. Theology Lived in Faith Stan Parmisano OP reflects on the all-pervasiveness of faith in our study o.f theology--a seeing or understanding all the way. 479 488 religious identity Generation X and Religious Life: A Personal View Matthew Eggemeier presents some characteristics of his own generation and highlights the aspects of religious life which appeal to young people. Bride of Christ and Ecclesial Identity J. Sheila Galligan IHM proposes that a renewed understanding of the church as the bride of Christ offers support for a readily identifiable religious habit, specifically distinguished by a veil. 5OO a way of living Work in Such a Way Marie Beha OSC ponders the various ways of living out the Franciscan directive "Work in such a way as not to extinguish the spirit of prayer." Review for Religious 5O7 518 The Little Way of St. Th~r~se of Lisieux Ernest E. Larkin OCarm explains the "specialness" of the life and writings of Th~r~se of Lisieux in presenting the gospel in a new light, with new insight, under the descriptive phrases "little way" or "little doctrine." The Power to Bless: The Sacramentality of Human Touch Carolyn Sur SSND encourages all women and men to participate more fully in their baptismal call to share in Christ's priesthood. 526 537 consecrated life Community and Obedience: Musings on Two Ambiguities Patricia Wittberg SC challenges the notion of reaching a balance point in community life where the needs of the group and the needs of the individual are met--all the while observing religious obedience. Our Past Mission's Unfinished Destiny: The Perspective of Vowed Commitment Philip Armstrong CSC finds a new relevancy in Metz's Poverty of Spirit for any community's pr.eparation for canonical chapters or assemblies. departments ¯ ¯ 452 Prisms 542 Canonical Counsel: Role of the Novice Director 547 Book Reviews September-October 2000 prisms Justice is a major theme of the jubilee year we are celebrating as we enter into this new mil-lennium. With so much evident injustice in our civil society, injustice paradoxically in our justice systems, and even apparent injustice in our divine and all-too-human church, we can appreciate a reexamination for ourselves about our response to God's call to walk justly. For justice is a tricky concept. We often identify jus-tice with a balance sheet. We hear "an eye for an eye, a tooth for a tooth" not as a statement of vengeance, but as our own words for our idea of justice. And Jesus clearly said that such an interpretation of justice has no connection with the way God sees life. Justice based on rights, justice based on equal balances, may approach a. good philosopher's or civil libertarian's idea of justice. But it is perhaps no more than the threshold of a Christian understanding of justice. To paraphrase a Hopkins-like expression, too often "justice injustices." When we struggle and fight for rights for the oppressed, who will be the new oppressed of our efforts? When we bully our way to see justice done, who will be trampled in the process? As we fight to provide life for some, what others are having to face a dying? Re!igious, in trying to fulfill a prophetic role in today's church, have made fresh claims on justice as their mission. But the question remains whether in their lUStlce efforts they have been more ~ften a stimulus for the increase of injustice. God's just.iFe, the gospel justice, is not a simple mat- ¯ ter of securing rights and seeking a balance of scales, as Review for Religious we see depicted in our classical justice statues. The justice that Jesus describes deals with a turning the other cheek, with a giving of my clo'ak, with a walking of an extra mile. Justice is more iden-tified with compassion, the compassion of a father who looks for his wayward child and rushes out to greet him and and welcome him home with a celebration. This understanding of justice finds a very narrow gateway into the human heart. We seem to be only at the .threshold of realizing that there is today no such thing as a just war--if ever there was such a possibility. With great difficulty we, especially in the United States, are slow in realizing that capital punishment is not an act of justice. It more represents vengeance and sullies even further and makes less human those who advocate its use. With an abundance of lawyers, our society has not become more just but rather more litigious. Absorbing this kind of culture, even we followers of Jesus quickly claim rights, less so responsibilities. We see justice with an individual eye; common good is no longer an horizon of vision, even religiously. Are not we Catholics, especially women and men religious, called to be agents of communion in such a culture? An agent of communion, making God's justice alive in the world, will come to understand why the cross is a paradoxical sign of justice. The cross remains the sign of human iustice--the result of a human court calling for the death of an innocent Jewish man. The cross remains God's symbol of justice--allowing arms to be strtetched wide to the left and to the right in an everlasting ges-ture of reconciliation. Working in Jesus' name, the agent of com-munion, the ambassador of reconciliation, will find the cross integral to living and promoting gospel justice. The call that we hear in this jubilee year, then, is not for the simple justice of all properties being restored to the original own-ers of fifty years ago. It is not a call to ~ justice of the balance sheet. The call to which we Christians are challenged to respond puts our feet into the footprints of Jesus. If we are to walk justly with our God, we need to be people who know how to talk earnestly with others along the way. We call it dialogue. We need to be people who can negotiate. We need to be people who seek reconciliation. We need to be a people who act like Christ. As agents of communion, we seek to live a gospel justice. David L. Fleming sJ September-October 2000 catholic education MARTIN R. TRIPOLE Ex Corde Ecclesiae: A History from Land O'Lakes to Now Ex corde ecdesiae (From the Heart of the Church), Pope John Paul II's apostolic constitution on Catholic universities, was released in Rome on 25 September 1990. That document and a subsequent one, "Ex Corde Ecdesiae: An Application to the United States" (hereafter "Application"), are generating much excitement in Catholic higher education in the United States tqday. Ex corde ecdesiae was long in the making. Data on its history is available, but not in a neat compendium. The purpose of this essay is (1) to provide a brief and manageable survey of its history, as well as of its com-panion document, "Ex Corde Ecdesiae: An Application to the United States"; (2) to explain the theological foun-dations for the understanding of what a Catholic uni-versity is, as contained in the two documents; and (3) to focus on the issues of contention and the implications of those issues as contained in the two documents. Martin R. Tripole SJ, associate professor of theology at St. Joseph's University, was coordinator of "Jesuit Education 21," a conference held in June 1999. He edited its volume of Proceedings, published in June 2000 by St. Joseph's University Press. He also edited Promise Renewed, 27 papers. on Jesuit higher education (Chicago: Loyola Press, 1999) and wrote Faith beyond Justice: Widening the Perspective (St. Louis: Institute of Jesuit Sources, 1994). His address is St. Joseph's University; 5600 City Avenue; Philadelphia, Pennsylvania 19131. Review for Religious History of Ex Corde Ecclesiae Ex corde ecclesiae may be understood as the latest event in a conflict that has been going on between the Catholic Church and modernity since Pius x's condemnation of Modernism in 1907.~ But here we begin with 1949, when Pius XlI, in collaboration with the Sacred Congregation for Catholic Education, called together the leaders of "pontifical" institutions, that is, institutions char-tered directly by the Holy See, to form an association that later came to be known as the International Federation of Catholic Universities (IFCU). This federation became an independent asso-ciation in 1963 and, under the direction of the Rev. Theodore M. Hesburgh CSC, president of the University of Notre Dame, was broadened to include most Catholic colleges and universities? From 1963 to 1990 there was a long series of conferences and disputes over what a Catholic university is and what its goals should be. Views were and are divided. Some give primacy to the Catholic institution and its educational goals as integral to the life of the church; others see Catholic universities primarily as an institution governed by the rules for good universities that operate in the sec-ular community. For the former group, the emphasis is on the Catholic university as Catholic, as an arm of the church carrying on its mission, which is to proclaim the gospel of truth to the world, harmonize the teachings of faith and reason, and promote the Christianizing of human life and the social order, For the latter group, the emphasis is on the Catholic university as university, as a center for study and research in competition with secular uni-versities for qualitative teaching and scholarly excellence. There will perhaps always be some tension between these two viewpoints, but in recent history (1967) a decisive radical move occurred in Catholic education, a move that I believe led to the creation of Ex corde ecclesiae and the great divide in Catholic education today. Let me provide a brief history. The search for a definition of a Catholic university gets under-way with a 1965 meeting oflFCU in Tokyo.3 This meeting appears to have been a response to the new theology of the church gener-ated by the Second Vatican Council (1962-1965), especially the council's most original document, "The Church in the Modern World" (Gaudium et spes). It was only natural for Catholic educa-tion to rethink its role in the world in the light of Vatican II's emphasis both on the need to make the gospel relevant to modern life and on the importance of the laity in accomplishing this mis- Septe~nber-October 2000 Tripole ¯ Ex Corde Ecclesiae sion. And so the Sacred Congregation for Catholic Education and IFCU "cooperated in sponsoring a series of regional meetings throughout the world on the nature of the modern Catholic uni-versity and its role in the church and world.''4 These regional meetings were held in Buga (Colombia), Manila, Paris, and, most important for Catholic education in America, a Wisconsin resort town known as Land O'Lakes, where the Holy Cross Fathers had a villa house, to which Father Hesburgh invited twenty-six men, leaders in American Catholic higher education, to come to formulate a statement on the role of Catholic universities in America. Twenty-one were priests or bishops, and two of the laymen were the chairmen of the boards of trustees of Saint Louis University and the University of Notre Dame (Gallin, p. 12). Church historian David J. O'Brien states, "As the church would be permanently changed by Vatican II, North America's Catholic universities would be forever changed by. the meeting and resultant statement that became known simply as 'Land O'Lakes.'''s Philip Gleason of Notre Dame asserts in his Contending with Modernity: Catholic Higher Education in the Twentieth Century (p. 317) that the Land O'Lakes statement., took on a life of its own as a symbolic manifesto that marked the opening of a new era in American Catholic higher education . [It] was, indeed, a declaration of independence from the hierarchy and a symbolic turning point. It confirmed at the college and university level what John Cogley told Catholic educators the year before: the church's future path might remain unclear, but her "cold war with modernity" was definitely over. What makes Land O'Lakes so important? Let us note, first, three issues that have been explicit or implicit in higher-educa-tion statements ever since the Land O'Lakes statement: (1) insti-tutional autonomy, meaning no outside interference in the educational operations of universities; (2) academic freedom, mean-ing scholars are to be restricted only by the limitations of their own sciences; and (3) fidelity to the teachings of the church, that is, abiding by the authoritative teachings of the Catholic Church's magisterium. Land O'Lakes started a movement that put so much importance on the first two--institutional autonomy and academic freedom, both understood as demanding independence from church authority--that the church responded by making fidelity to Review for Religious the magisterium an essential characteristic of Catholic education. And so what did Land O'Lakes say? It asserted the primacy of the Catholic university as a university. In the brief document of about 1500 words (composed largely by Robert J. Henle SJ,6 who was then academic vice president of Saint Louis University and later was president of Georgetown University), the first paragraph is especially important: The Catholic university today must be a university in the full modern sense of the word, with a strong commitment to and concern for academic excellence. To perform its teaching and research functions effectively, the Catholic university must have a true autonomy and academic free-dom in the face of authority of whatever kind, lay or cler-ical, external to the academic community itself. To say this is simply to assert that institutional autonomy and aca-demic freedom are essential conditions of life and growth and indeed of survival for Catholic universities as for all universities.7 The document goes on to say that "every university, Catholic or not, serves as the critical reflective intelligence of its society" and that, "in keeping with this general function, the Catholic univer-sity., should carry on a continual examination of all aspects and all activities of the church and should objectively evaluate them" (Gallin, p. 9). This may have been more of a contribution from Catholic universities than the Vatican was interested in having. Representatives of the four regional meetings met in September 1968 at the Eighth Triennial Congress of IFCU in Kinshasa, Democratic Republic of Congo. The Kinshasa docu-ment, titled "The Catholic University in the Modern World," states, consistently with Vatican II, that a Catholic university draws its inspiration "from the light of revealed truth," making the university a "center for development and diffusion of an authentic Christian culture." There are no juridical aspects in the Kinshasa document: Catholic universities are only asked to accept voluntarily the '!Church's teaching authority" (Gallin, pp. 13-16, at 14-15). In May 1969 an international meeting of thirty elected dele-gates of Catholic universities met in Rome and drew up a document titled "The Catholic University and the Aggiornamento." Both Henle and Hesburgh were present at this congress. It was here that the four essential characteristics of a Catholic university were September-October 2000 Tripole ¯ Ex Corde Ecclesiae composed, which became a part of standard Catholic documenta-tion from then on, including Ex corde ecclesiae (Hellwig, p. 22): 1. A Christian inspiration not only of individuals but of the university community as such. 2. A continuing reflection in the light of the Catholic faith upon the growing treasury of human knowledge, to which it seeks to contribute by its own research. 3. Fidelity to the Christian message as it comes to us through the church. 4. An institutional commitment to the service of the peo-ple of God and of the human family in their pilgrimage to the transcendent goal which gives meaning to life. (Ex corde ecclesiae, Origins 20, no. 17 I4 October 1990]: 269) The 1969 document takes a very strong stand on the inde-pendence of the university. In line with the thinking of Land O'Lakes and the Kinshasa statements, the 1969 document reit-erates that a Catholic university "must have a true autonomy and academic freedom," but even more strongly it states that a Catholic university must be allowed to pursue the truth "without conditions." It asserts that "every limitation imposed on the uni-versity which would clash with this unconditioned attitude for pursuing truth would be intolerable and contrary to the very nature of the university." The only obligation the university has, according to the document, is "to the legitimate exigencies of the society which sustains it," meaning civil society. The document states that the magisterium "can intervene only in a situation where the truth of the revealed message is at stake," but even then it does not state how this intervention would occur, but only that university statutes must be observed. The theologian "is bound. ¯. to take into proper account the pronouncements of the church" and "must. present the authentic teaching of the church," but nothing is said about what would happen if he does not. The doc-ument explicitly states for the first time that. "any juridical inter-vention in university affairs must be excluded" (Gallin, pp. 17-35 at 17-20). This issue of a juridical relationship between the church and th( university becomes the major bone of contention in sub-sequent debate. The second international congress convened by the Sacred Congregation for CatholicEducation and IFCU and held in Rome in November 1972 apprdved a document titled "The Catholic Review ?or Religious University in the Modern World." Considerable attention is given in the document to "Relations with the Catholic Hierarchy." The document recognizes that there is a "delicate balance to be main-tained between the autonomy of a Catholic university and the responsibilities of the hierarchy." The document reiterates the 1969 position that "theologians must present the authentic doctrine of the church," but insists that they "be able to pursue their dis-cipline in the same manner as other research scholars." While the document.recognizes the right of the magisterium to pass judgment on the doctrinal integrity of a theologian's teaching, it nevertheless calls for "a kind of self-regulation of the Catholic academic community." Consistent with the 1969 document, the authors assert that there is to be no "juridical intervention, whether direct or indirect, in the institutional affairs of the university" (Gallin, pp. 37-57 at 53-56). When the plenary assembly of the Sacred Congregati'on for Catholic Education met in 1973, however, it found the 1972 document to need improvement. Here for the first time Rome begins to inter-vene. A letter of Cardinal Gabriel Garrone, prefect of the con-gregation; written to the university presidents, makes three points: (1) the statutes of Catholic universities musl~ declare their "com-mitment as 'Catholic'"; (2) "appropriate andefficacious instru-ments" of "self-regulation,' regarding faith and morality must be established; and (3) the universities must "in no way" consider themselves "removed" from their "relationships" with the hier-archy (Gallin, pp. 59-61 at 60). What exactly that means is unclear, but I think we can see here the beginnings of a backlash against the idea of pure self-regulation that began with Land O'Lakes in 1967. To understand these meetings of educators, we need two back-ground elements. First, throughout the 1970s, there was an increaso At the plenary assembly of the Sacred Congregation for Catholic Education in 1973, we can see the beginnings of a backlash against the idea of pure self-regulation that began with Land O'Lakes in 1967. September-October 2000 Tripole ¯ Ex Corde Ecclesiae ing movement toward incorporation of colleges and universities separate from the religious congregations that founded them. This, it was argued, was necessary to maintain the constitutional sepa-ration of church and state required to receive the federal and state funding necessary to survive. At the same time, the boards of trustees of these institutions became predominantly lay. This, it was argued, was in compliance with Vatican II's new theology of the laity and the need for the expertise and financial resources the laity could bring to Catholic education. Thus a new movement deliberately alienating Catholic universities from their relation-ship to the church and religious orders set in, and sometimes with-out any consultation with the church hierarchy. This caused the Vatican to wonder what was happening to American Catholic higher education, and to ask whether it still remained Catholic (Gallin, pp. 63-64). Second, in June 1975 the Vatican began to move forward on an apostolic constitution that appeared in 1979: Sapientia Christiana (Christian Wisdom). Its purpose was to regulate the life of "eccle-siastical faculties," sometimes called "pontifical" institutes. These are universities directly chartered or erected and approved by the Vatican (The Catholic University of America in Washington, D.C., is one of these). The juridical framework of this discussion was directed toward complying with the demands the new Code of Canon Law was to make upon "ecclesiastical" faculties. This doc-ument was being prepared to regulate these "ecclesiastical facul-ties," not Catholic universities. But the mere preparations for this document caused Catholic universities to fear, correctly, that some kind of juridical restructuring was also awaiting them (Gallin, pp. 63-64). When it became known with the first official draft of the new Code in 1978 that new juridical and canonical bonds were also to be established for Catholic universities, many American Catholic educators struggled to get those canons revised or dropped, but to no avail. The new Code appeared in 1983 with, in canon 812, the dreaded word mandatum used for the first timE. It reads: Those who teach theological disciplines in any institutes of higher education whatsoever must have a mandate (man-datum) from the competent ecclesiastical authority. The new canons did not cause much interest at Catholic institutions in America at first, for it was generally held that they would not be applicable in the United States, where juridical ties to the church Review for Religious did not exist and where a rigorous system of separation of church and state was constitutionally binding (Hellwig, pp. 25-28). But Rome saw otherwise. In 1980 the Sacred Congregation for Catholic Education started working on a document for Catholic universities. After the new Code appeared, the document was adapted to fit the new canons 807-814 governing Catholic uni-versities. A working document, called "Draft Schema of a Pontifical Document on Catholic Universities," was composed in April 1985 and sent to all bishops and university presidents for review. A sec-ond draft was made in 1988, and a new review panel of presidents and bishops met with John Paul II and congregation officials in Rome in April 1989. This panel recommended that normative principles should be few and general in nature, and that they be adapted by regional bishops' conferences. The panel wanted no mention made of the juridical canons of the new canon law (Gallin, pp. 381-383 at 381-382). In August 1989 the congregation's draft-ing committee issued a third draft, taking into account the rec-ommendations that had been made. A further revision was presented to the October 1989 plenary session of the congregation and then to the pope. In September 1990 the apostolic constitu-tion on Catholic universities, Ex corde ecdesiae, was issued (Gallin, pp. 189-190; Hellwig, pp. 28-29). Many American presidents remained optimistic, even though the request for no mention of the new juridical canons of the Code was ignored. Still, they considered the constitution harmless enough if it was not applied to the American scene too stringently. The battle scene now changes. The document applying Ex corde ecclesiae to the United States was to be drawn up by American university presidents and the National Conference of Catholic Bishops. A committee of six bis'hops and eight presidents, chaired by Bishop John J. Leibrecht of Springfield-Cape Girardeau, Missouri, was formed. Its first draft, in 1993, met with so much dis-approval that it was promptly rejected as too juridical. Father Terry Toland, former president of St. Joseph's University, was enlisted, as director of the National Conference of Catholic Bishops' Committee to Review and Implement the Apostolic Constitution Ex Corde Ecdesiae, to compose a more acceptable draft. After exten-sive conversations with bishops and presidents all across the coun-try, he presented a new draft to the bishops' conference in November 1996; it passed 224 to 6. September- October 2000 Tripole * Ex Corde Ecdesiae By early summer 1997, what was sent to Rome and thought to be a final document was sent back as a "first draft" that was unacceptable without juridical ordinances. The document did not have any juridical elements and, instead, spoke of "trust between university and church authorities, close and consistent collaboration, and continuing dialogue" (Hellwig, pp. 34-35). A concession that Cardinal Anthony Bevilacqua had received enabled the document to pass overwhelmingly. Canon 812, which contains the requirement that theologians get a man-date from the local bishop, had been completely removed from consideration even though it was in Ex corde ecclesiae. Now it was simply mentioned in footnote 7 as a point that "would be the sub-ject of further study" (Hellwig, pp. 35-36). By early summer 1997, what was sent to Rome and thought to be a final document was sent back as a "first draft" that was unacceptable without juridi-cal ordinances. The sacred congregation specifically asked that canon 812 be con-sidered no~v, along with the "requirement that presidents and theology teachers make the profession of faith and take the oath of fidelity that canon law requires of chui'ch officials" (Hellwig, p. 36). Back at the drawing board, Bishop Leibrecht appointed a sub-committee headed by Cardinal Bevilacqua and composed of canon lawyers. Their proposal, which restored juridical elements to the document, Was presented for discussion at the bishops' annual meeting in November 1998. It caused problems. Archbishop Rembert Weakland, of Milwaukee, proposed that the bishops reject the juridical app.roach and send once again the 1996 proposal that called only for trust, collaboration, and continuing dialogue. This was seconded by the Association of Catholic Colleges and Universities (ACCU) in February 1999, but the idea never suc-ceeded. In April 1999 Monika Hellwig, representing ACCU, and Charles Currie SJ, former rector of the Jesuit community at St. Joseph's University and now head of the Association of Jesuit Colleges and Universities (AJCU), went to Rome to press their views with the Congregation for Catholic Education and, back in the United States, continued to lobby the bishops here. Review for Religious In June 1999 the American bishops met to review all the com-ments made on the third draft. The subcommittee met again in September to work on a fourth draft. This was presented at the annual fall meeting in Washington in November 1999. Again ACCU and AJCU lobbied strongly to get the bishops to reject.the docu-ment, which needed a two-thirds majority to pass, and they felt they might succeed. But this document applying Ex corde ecclesiae to the United States was overwhelmingly approved by a vote of 223-31 with one abstention. "Application" went to Rome for approval by the Sacred Congregation for Catholic Education, whose new head was Archbishop Giuseppe Pittau SJ, and by the Council for the Interpretation of Legal Documents. It was returned recently with approval and only minor modifications. On 1 June 2000 the American bishops indicated that "Application" will go into effect in this country on 3 May 2001, one year after it was approved by the Congregation for Bishops in Rome. Let us now discuss the theology operating in both Ex come ecclesiae and "An Application to the United States" and then discuss the issues of contention. Theological Justification for Ex Corde Ecclesiae The title of the apostolic constitution Ex corde ecdesiae (From the heart of the church) suggests the whole story. The document's position is that Catholic universities exist as an integral part of the life of the church. The document says, "Every Catholic uni-versity., has a relationship to the church that is essential to its institutional identity" (§27). As such, the Catholic university shares in the mission of the church and is governed, like any other Catholic entity, by the local bishop and through him by the mag-isterium of the universal church. Its specific mission as a univer-sity, says Ex corde ecclesia.e, is "a continuous quest for truth through its research, and the preservatign and communication of knowledge for the good of society" (§30), but this mission as a university can never be separated from its larger mission (shared by all members of the Christian community) to deepen the presence of Christ in the world (§16). One of the roles of the university, according to Ex corde eccle-siae, is to "promote dialogue between faith and reason" so that the world becomes ever more aware of the "unity of all truth" (§ 17). Accordingly, the university's quest for truth and the promotion of September-October 2000 Tripole ¯ Ex Corde Ecdesiae the dignity of human persons can never be separated from the vision of Truth that comes through revelation and is made known by the church through the magisterium's teaching "in matters of faith and morals" (§27). The goal of Catholic universities is there-fore to be of service both to the church and to society. This it does as a university by being an "instrument of cultural progress for individuals as well as for society"; but as a Catholic university it must also serve the church in the "development of a true Christian anthropology founded on the person of Christ" (§§32-33). Most of the critics of Ex corde ecclesiae argue, ~s we have seen as early as the Land O'Lakes statement in 1967, that Catholic uni-versities must enjoy "a true autonomy and academic freedom in the face of authority of whatever kind, lay or clerical, external to the academic community itself" (Gallin, p. 7). As the document "The Catholic University and the Aggiornamento" asserted in 1969 and as was repeatedly urged by many Catholic educators thereafter, the theologian "must be able to pursue his discipline in the same manner as other research scholars," and have his work evaluated only by his peers "as is the case in other disciplines" (Gallin, p. 20). Autonomy here is understood as freedom from restraints of any kind external to the discipline. The church's perspective is quite different. If the university is Catholic, the university's autonomy includes the church. Thus, whereas critics argue that the bishop's governance constitutes an external constraint upon the life of the university, Ex corde ecclesiae argues that, "even when they do not enter directly into the inter-nal governance of the university, bishops 'should be seen not as external agents but as participants in the life of the Catholic uni-versity'" (§28) because the university is part of the life of the church. "Ex Corde Ecclesiae: An Application to the United States" (1999) expresses an even richer and deeper theological foundation for the integration of the university into the life of the church. Based on the teaching of Vatican II, "Application" argues from an "ecclesi-ology of communion" that the "church is made up of individual faithful and communities linked with one another [and with the tri-une God] through many active ecclesial relationships." The "dynamic of communion," according to "Application," unites on a deeper level "the various communities in the church" through which her "mission of salvation" operates. "The Catholic univer-sity is [seen] as a vital institution in the communion of the church and [as] 'a primary and privileged place for a fruitful dialogue Review for Religious between the gospel and culture.'" This "richness of communion" brings out the "complementary teaching roles of bishops and Catholic universities." Each has its own "distinctive autonomous nature and goal," but in the unity of communion they "are joined as complementary activities," embracing both the pastoral work of bishops and the academic work of Catholic universities, thus linking the bishops' right and obligation to communicate and safeguard the integrity of church doctrine with the right and obligation of Catholic universities to investigate, analyze, and communicate all truth freely. Thus the Catholic university as such has a "twofold relationship"-- one to the "international community of knowledge," the other to the church--"of guaranteeing in institutional form a .Christian presence in the university world" (Part 1, II and III). Issues of Contention Now I mention some of the issues of contention that these two documents address: 1. Ex corde ecclesiae states under its General Norms that all Catholic universities must conform their governin.g statutes to the general norms listed in Ex corde ecclesiae and must submit these statutes "for approval to the competent ecclesiastical authority" (II, Art. 1, no. 3) This could be seen by some presidents as a major violation of the autonomy of the university and, if implemented, as a matter for litigation. 2. Ex corde ecclesiae states that university administrators are to be recruited who "are both willing and able to promote., or at least to respect" the "Catholic identity of the university" (II, Art. 4, nos. 1-2). "Application" goes even further, saying that "the uni-versity president should be a Catholic" (Part 2, Art. 4, 3a). But, since "Application" says '!should be" and not "must be," the imple-mentation will depend upon how rigorously the local bishops wish to enforce it. 3. The same applies to boards of trustees. According to Ex corde ecclesiae, the board members must be informed of their respon-sibility to promote or respect the Catholic identity; but in "Application" the norm says further: "To the extent possible, the majority of the board should be Catholics committed to the church" (Part 2, Art. 4, 2b). Note again that the norm, while being September-October 2000 Tripole ¯ Ex Corde Ecclesiae more rigorous, demands implementation only "to the extent pos-sible," which leaves room for exceptions. The critical issue here, however, is how to determine whether a Catholic is "committed to the church." Though this phrase is not as vague as the original "faithful Catholic" requirement, it does not offer any precise way of measurement. 4. When the university president assumes office, according to "Application," the "Catholic should express his or her commit-ment to the university's Catholic identity and to the Catholic faith in accordance with canon 833, 7°'' (which states that the rector of a Catholic university, upon assuming that office, is "obliged per-sonally to make a profession of faith" to the local bishop or his delegate). If the president is not a Catholic, a "commitment to the university's Catholic mission and identity" is required (17 November 1999 "Application" [Origins 29, no. 25, 2 December 1999], Part 2, Art. 4, 3a, and endnote 36). These norms will seem unduly rigorous to many presidents and a violation of institutional autonomy. 5. "All professors are expected to be aware of and committed to the Catholic mission and identity of their institutions" ("Application," Part 2, Art. 4, 4a). This obviously will create fear among non-Catholic instructors, who will see this as a violation of academic freedom and a matter that could be used to deny tenure. 6. According to the "Application" of 1999, "the university should strive to recruit and appoint Catholics as professors so that, to the extent possible, those committed to the witness of the faith will constitute a majority of the faculty" (Part 2, Art. 4, 4a). Notice again the more rigorous norm, but with the qualifier "to the extent possible" and with the problem of how to measure commitment. On the one hand, the qualifier provides an opening--it does not have to be enforced; on the other hand, the requirement for com-mitment leaves open the possibility of arbitrary interpretation. 7. According to Ex corde ecclesiae, "all Catholic teachers are to be faithful to, and all other teachers are to respect, Catholic doc-trine and morals in their research and teaching" (II, Art. 4, no. 3). Again, many say this is a violation of academic freedom and that it will frighten nonconformist Catholic instructors and non- Catholic instructors who have unorthodox moral viewpoints from joining Catholic faculties: 8. Ex corde ecclesiae grants that "freedom in research and teach-ing" is proper to scholarly activity, but adds: "so long as the rights Review for Religious of the individual and of the community are preserved within the confines of the truth and the common good" (II, Art. 2, no. 5). For secular scholars, freedom is restricted only by the rules of one's discipline; for the church, freedom is conditioned by the truth as made known in the revelation of God in the Scriptures, tradition, and the teaching of the magisterium (II, Art. 2, no. 5; Art. 4, no. 3). 9. Probably the most contentious issue of all concerns the requirement that the local bishop authorize every theologian. Both documents declare that all those teach-ing "theological disciplines" must receive a "mandate" or "mandaturn''8 from him. This was the sticking point already in Ex corde ecclesiae, where canon 812 is cited in a foot-note (II, Art. 4, no. 3 and endnote 50). "Application" states even more strongly, in the body of the document and not simply in a footnote, canon 812: "Catholics who teach the theological disciplines are required to have a mandatum granted by competent ecclesiastical authority" (Part 2, Art. 4, 4e). The "mandaturn" is explained as "a tech-nical term referring to the juridical expression of the ecclesial rela-tionship of communion that exists between the church and the Catholic teacher of a theological discipline in the Catholic uni-versity" ("Application," endnote 41). The mandaturn acknowledges that the Catholic professor "is a teacher within the full communion of the Catholic Church" (Part 2, Art. 4, 4e, 1). It "recognizes the professor's commitment and responsibility to teach authentic Catholic doctrine and to refrain from putting forth as Catholic teaching anything contrary to the church's magisterium" (Part 2, Art. 4, 4e, 3). The declaration that the professor will teach in com-munion with the church is to "be expressed by the profession of faith and oath of fide!ity or in any other reasonable manner accept-able to the one issuing the rnandaturn" (endnote 42). The manda-turn "should be given in writing" and "remains in effect wherever and as long as the professor teaches unless and until withdrawn by competent ecclesiastical authority" (Part 2, Art. 4, 4e, c and b). Nothing is stated about what would happen if a theologian does not ask for or receive the rnandaturn or loses it. The justification for the The most contentious issue of all concerns the requirement that the local bishop authorize every theologian. September-October 2000 Tripole * Ex Corde Ecclesiae mandatum "is grounded in the right and responsibility of bishops to safeguard the faithful teaching of Catholic doctrine to the peo-ple of God and to assure the authentic presentation of the church's magisterium" (endnote 41). Conclusion Why are Ex corde ecdesiae and its "Application to the United States" causing so much excitement in higher-education circles? Ex corde ecclesiae originally received favorable press from Catholic educators because it restored to consciousness the importance of maintaining Catholic identity in our schools. Whereas in the 1970s and 1980s we were affirming that our schools were in the Catholic (and Jesuit) tradition, implying a certain aloofness from that tradition, now, in this new era that stresses individuality and uniqueness,, stressing our Catholic (and Jesuit) identity is in vogue. The problem comes with dictating what precisely constitutes this identity. The Vatican wants a juridical relationship that demands that this identity include communion with the Catholic Church and fidelity to its teachings. Opponents want this identity to come from a more attenuated relationship to the church, allow-ing for great latitude, great freedom, of thought and action. This is nothing more than an expression of the deep division con-stantly being expressed in Catholicism today between those who understand their Catholic identity to include conformity to the teachings of the church and those who do not. And so it is pre-cisely the juridical aspect of "Application" that is at the center of the controversy. Thus, since Vatican II, Catholic higher education has taken two roads: (1) toward greater integration into the life of the church and conformity to the church's teachings and (2) toward greater separation from dcclesiastical control, with Catholic iden-tity determined by individual criteria and self-regulation. Ultimately what is at issue here is the role of the church in mod-ern Catholic life. Notes ~ See Philip Gleason, Contending with Modernity: Catholic Higher Education in the Twentieth Century (New York: Oxford University Press, 1995), esp. pp. 12-17 and 318-322. Gleason summarizes Modernism this way: "Modernism has been described as a many-faceted effort to accom-modate Catholic teaching to the 'collective change in mentality' taking Review for Religious place in the late nineteenth century, and it raised new questions about many aspects of Catholic doctrine. Among the more serious were ques-tions dealing with 'the nature of revelation, of biblical inspiration, and of religious knowledge, the personality of Christ and his true role in the origins of the church and of its sacraments, the nature and function of the living tradition on the Catholic system and the limits of dogmatic evo-lution, the authority of the church's magisterium and the real import of the concept of orthodoxy, [and] the value of the classical apologetic" (Gleason, p. 12, brackets in the original; citing Roger Aubert et al., The Church in a Secularized Society, Vol. 5 of The Christian Centuries [New York: Paulist Press, 1978], p. 191). 2 See Alice Gallin OSU, ed., American Catholic Higher Education: Essential Documents, 1967-1990 (Notre Dame: University of Notre Dame Press, 1992), p. 2; and James L. Heft SM, "Have Catholic Colleges Reached an Impasse?" Chronicle of Higher Education 46, no. 2 (12 November 1999): B6-B7. 3Monika K. Hellwig, "The American Catholic University and the Apostolic Constitution Ex Corde Ecclesiae," Current Issues in Catholic Higher Education 20, no. 1 (Fall 1999): 21-40 at 21. 4John Paul II, "Ex corde ecclesiae: The Apostolic Constitution on Catholic Universities," Origins 20, no. 17 (4 October 1990): 265-276; from CNS's marginal background data, 267-272 at 268. 5 David J. O'Brien, "The Land O'Lakes Statement," Boston College Magazine 58, no. 1 (Winter 1998): 38-45 at 39. 6Oral conversation in spring 1999 with Rev. Paul C. Reinert SJ, then (1967) president of Saint Louis University, who was at the meeting. 7 "Land O'Lakes Statement: The Nature of the Contemporary Catholic University," Gallin, pp. 7-12 at 7. 8 "Application" uses the Latin "mandatum." Post-Vatican II Statements on Catholic Higher Education 1967: Land O'Lakes, Wisconsin: North American Regional Meeting of the International Federation of Catholic Universities (IFCU). Its doc-ument, "The Nature of the Contemporary Catholic University," asserts "institutional autonomy" and "academic freedom" as essential to Catholic universities. 1968: Kinshasa, Democratic Republic of Congo: Eighth Triennial Congress of IFCU. Its document is called "The Catholic University in the Modern World." 1969: Rome: International Congress of Delegates of Catholic Universities. Its document, "The Catholic University and the Aggiornamento," names four essential characteristics of a Catholic university. 1972: Rome: 2nd International Congress of the Sacred Congregation September-October 2000 Tri~ole ¯ Ex Gorde Eccle~iae for Catholic Education (SCCE) and IFCU. Its document is called "The Catholic University in the Modern World." 1973: Rome: Plenary Assembly of the SCCE. Letter from Cardinal Gabriel Garrone, prefect of SCCE, directing improvements of the 1972 doc-ument. 1979: Vatican: Sapientia Christiana, apostolic constitution for "pontifi-cal" institutions. 1983: Rome: Code of Canon Law (1983), canons 807-814 regarding uni-versities. Canon 812: Catholic theologians required to have "mandate" from local ecclesiastical authority. 1985: Rome: SCCE. Its document is called "Draft Schema of a Pontifical Document on Catholic Universities." 1990: Vatican: Ex Corde Ecclesiae: Apostolic Constitution on Catholic Universities. In Origins 20, no. 17 (4 October 1990). 1993: Washington: National Conference of Catholic Bishops (NCCB). Its document is the first draft of "Ex Corde Ecclesiae: An Application to the United States." In Origins 23, no. 27 (16 December 1993). 1996: Washington: NCCB. Second and "final" draft passed 224-6 and was sent to Rome. In Origins 26, no. 24 (28 November 1996). 1997: Rome: SCCE rejects this "first" draft; requires juridical ordinances; subcommittee is formed to draft a new document. 1998: Washington: NCCB. Third draft is discussed but not voted on. In Origins 28, no. 25 (3 .December 1998). 1999: Washington: NCCB. Its document, the fourth draft of the sub-committee's "Application," requiring a mandatum, passed 223-31-I, was sent to Rome and accepted by Rome with a few minor changes. See Origins 29, no. 25 (2 December 1999) and Origins 30, no. 5 (15 June 2000). Two authors who appeared in our last issue went to God before it went to press: Sister Bernadine Pieper CHM, on 20 February 2000, one day before her eighty-second birthday, and Father Hilary Ottensmeyer OSB, on 17 May 2000, at seventy-six years of age. Let us remember them and their communities in prayer. Review for Religious STAN PARMISANO Theology Lived in Faith Back in 1966 the Dominican School in Berkeley, California, was inaugurated, the first Catholic seminary within the Graduate Theological Union (GTU). The Dominican master gen-eral, Aniceto Fernfindez, was present for the grand occasion. He outlined for the public at large the projected purpose of the school? It was to be a community of study, research, and teaching in dialogue with the other faiths of the union and the university. It was to be ecumenical in the widest sense, embracing not only other Christian churches but other religions and no religion as well. The master general, like some before and many since, saw California, the State of California, as the most fitting place for ecumenical study. It was the Western world, but looking to the East. He said that California "is the society of the future. Here the changes which all society eventually will face are already tak-ing place. And here the problems which the new social situation will create for eve/Tone are already manifest." It was, he said, for the religious community to enter into dialogue with all who were confronting these problems and trying to solve them. This projected endeavor was not to be a matter of mind only but of life. It was to be a theology out of life experience and toward life's betterment. So the master general emphasized the contem-plative foundation of the school. He did not in his formal address spell out for the general public precisely what he meant by "the contemplative," but to Dominicans listening to a Dominican his Stan Parmisano OP wrote for us in the early 1970s and in the late 1980s. This article of his was a recent commencement address. His address is Saint Albert's Priory; 5890 Birch Court; Oakland, California 94618. September-October 2000 Parmisano ¯ Theology Lived in Faith meaning was clear enough: the school was to be grounded not just on contemplative prayer, prayer that quietly listens for the Lord, but on the contemplative life, living with and for the Lord. Later, in his visitation report to the Western Dominicans as a whole, he made this quite explicit.2 His directive reads: "A new priorial house is to be established at Berkeley in which there is to be the perfect Dominican life of regular [religious] observance." With this in place, "the fathers assigned there are to be ded-icated to higher and ecumenical studies." Emphasis upon the con-templative religious life of which study was both part and product was no innovation on the part of Father Fernfindez. It was the tradition of the Dominican order from its beginnings, perhaps more in the breach than in full observance, but it was the ideal that Dominicans were to be held to. They were not only to think their theology but live it, and live it antecedently to their think-ing it. It was out of a life centered upon God that thought about God and the things of God was to emerge. That was some thirty years ago. Today's theologians also come to thought out of their life experience, but often it is experience of the human dimension that has priority. God is there, but off to the side or hidden away under the human, or inhuman, situation-- as is frequently the fact in our contemporary world. It is by being immersed in a given time and place, by living the life of particu-lar assemblages of people, that we come to know them and their special problems and so can begin to theologize about them. The more traditional theology--that which, true to its name, has God (theos) as its object and center--also demands experience of the human, though more of the divine; but, if the human, the divine within it, which makes it truly human and keeps it so. It observes the priority of the Scriptures: "In the beginning God." and "In the beginning was the Word."; the priority of the decalogue and the gospel's summation of it (God first, self and neighbor second); the priority in prayer as Jesus taught it (first, recognition of the Father and his holiness, then the speaking of our needs); the pri-ority set by Jesus for his own life (he was the man for others, but first among others was his Father). Though Jesus was marvelously human, he was much more wonderfully divine. People, yes, but as beloved of God and in their deepest heart yearning for God! The human situation, yes, but as measured by the divine! Creation, yes again; but as issuing from, held by, and continually moving back to its Creator! Living with Re~i~ for Religio~s God as he is in himself, and searching him out as he is immanent in creation, we come to share his view of the world, what he wants and expects of us, not just what we and our world expect and want for ourselves. So the master general in 1966, so the whole of Dominican tradition! The school has changed through the thirty years of its exis-tence. It is not now just a school by and for Dominicans. It has embraced other traditions, whether lay or religious, and looks to profit from the variety of its membership as well as contribute to those involved with it. But what must at all costs be maintained is its initial fundamental principle that thought about God--theol-ogy- must bud from a life rooted in God, whether that life takes on a specifically Dominican character or another of a wide variety of possible lifestyles. Other great religions besides Christianity are in agreement. For Buddha, anyone who is content to know the ultimate Reality only theoretically, or merely by hearsay, is like a herdsman of others' cows. For Mohammed, the person who thinks about Allah without having really experienced him is just an ass bearing a load of books. These words resonate with the begin-nings of Christian thinking: it was only because the Apostles and early disciples lived with Christ, ate, drank, and spoke with him, listened to him, touched and were touched by him, that they were able to secure the proper theological foundation of the church. Basic to this life with God and consequent study of God and the things of God is, of course,faith, faith in the sense of creed, the body of revealed truths that become the first principles of Christian theology, but also faith as the God-given virtue or power within us by which we actually accept these revelations and see in and beyond them to God himself. Living with God presupposes that we lovingly know the God we are living with. Due objection may be raised to my use of the terms "see" and "know" in relation to the divine and to faith, for God is the hid-den one, the unknown and unknowable, and faith is traditionally opposed to seeing. "We walk by faith, not by sight," says St. Paul (2 Co 5:7); and in Hebrews 11:I we find faith defined as "the con-viction [or evidence] of things unseen." If one should object that, as Jesus himself said (Jn 20:29), the Apostle Thomas believed because he had seen ("You believe, Thomas, because you have seen"), Aquinas, in good Christian tradition, glosses that what Thomas "saw" was not the divinity of Christ, but only his human-ity. Seeing this, he was then able to believe in Christ's divinity September-October 2000 Parmisano ¯ Theology Lived in Faith (Summa Theologiae, 2a-2ae, 1, 4 ad I). Eastern religions are just as emphatic concerning the unknowability of the divine: "The ignorant," the Third Upanishad declares, "think that Brahman [God] is known, but the wise know him to be beyond knowledge.''3 A whole body of wisdom old and young suggests, however, that things are not quite so negative. The text from the Upanishad just quoted is preceded by this: "One truly knows Brahman who knows him as beyond knowledge." And it is followed by: "Through knowledge of Brahman comes power. Through knowledge of Brahman comes victory over death." Apparently Brahman can be known at the same time he is not known. There is similar ambi-guity in St. Paul. For him, faith is of the unseen, yet he can also say regarding our experience of God: "We see now darkly, as in a mirror" (1 Co 13:12). We see "darkly," but we do see. Aquinas, like St. Paul here, though firm as to our inability to know or see God in this life, concedes some slight knowledge of God to be possible, even for the ungraced rational mind, and, in question after question in Part 1 of his Summa Theologiae, he lavishly and beautifully demonstrates his point. He also places the virtue of faith primarily in the intellect, the knowing faculty. Faith, for him, though of the unknown and unseen, is an intel-ligent act (ST 2a-2ae, 4, 2). For St. John of the Cross, God is the Nada, Nothing, the Night, but a far cry from that opaque night and nothingness prayed to by one of Ernest Hemingway's faith-less souls: "Our Nada who art in Nada, Nada be thy Nada . " St. John's night and nothingness is rather luminous and fully alive, "a night," he says, "which guided me, more surely than the light of noonday, / to the place where he (well I knew who!) was awaiting me." "Well I knew who!" Knowledge of the one he did not know! The ambiguity may be resolved when we consider that God is darkness not to the total human understanding, but only to one level of it, that is, to the mind as we, in Western, and now in Eastern tradition infected by the West, generally and narrowly regard it: rational consciousness, the discursive self-directive mind. But there are other levels, just as present to us and perhaps more continuously operative. "O the mind, mind has mountains," wrote Gerard Manley Hopkins, overwhelmed at the sight of them. And Freud and Jung with their myriad disciples spent lifetimes explor-ing and categorizing them into conscious, unconscious, subcon-scious, superconscious mind. The great religions of the world have Review for Religious long since known of them, as Aldous Huxley suggests in his sum-mation of the second of our tenets held in common by them: "Human beings are capable not merely of knowing aboz~t the Divine Ground by inference; they can also realize its existence by a direct intuition, superior to discursive reasoning. This immediate knowl-edge unites the knower with that which is known.''4 Much of both sacred and profane literature speaks of these alternative modes of knowing. There is the Atman of Hindu literature, the Self with a capital S, which is identified with Brahman, the transcendent God, now inter-nalized: when one knows, one is conscious of oneself as knowing, but within oneself and out of sight it is Brahman himself as Atman who is the knower. The Tenth Upanishad says: "Unseen, but the seer; unheard, but the hearer; unthinkable, but the thinker; unknown, but the knower--there is no seer but he, there is no hearer but he. there is no knower but he. He, the Self, is the Inner Ruler, the Immortal."s This seems not much different, really, from the Catholic Christian conception of grace, which is the very life of God become our own, such that God's knowing becomes ours, his loving becomes ours--God liv-ing and knowing and loving in, with, and through us, making no sense to those who think only in terms of conscious thought and of Christianity as a matter of mere morality or of a distant love (God up there, I down here), but making the best of sense to those listening to Christ himself as he prays "that all may be one as you, Father, are in me, and I in you. I pray that they may be [one] in us ¯. that your love for me may live in them, and I may live in them" (Jn 17:20-21, 26). The operative word~ here are "one" and "in," which struck St. Paul so forcefully, leading to his preaching of the Mystical Body, and which led g~eat theologians like Augustine and Aquinas and many Christian mystics to see God as closer to us than we to ourselves. Out of this source of knowing--God's in mine, mine in God's--comes knowledge of the Unknowable. Blaise Pascal, who was much enamored of the conscious, dis-cursive mind and in fact was one of the world's great mathemati-cians, finally realized--through an experience of what he took to be God--a higher dimension of knowing and gave it classical Living with God presupposes that we lovingly know the God we are living with. September-October 2000 Parmisano * Theology Lived in Faith expression: "The heart has reasons that reason does not know." John Keats in one of his best poems sings of another level of "hear-ing" besides the sensual and the rational: "Heard melodies are sweet, but those unheard / Are sweeter; therefore, ye soft pipes, play on; / Not to the sensual ear, but, more endeared, / Pipe to the spirit ditties of no tone." T.S. Eliot takes up the same thought and deepens and expands it. He speaks of "music heard so deeply that it is not heard at all but you are the music while the music lasts." The frustrated child psychologist in Peter Shaffer's Equus, after dabbling in religion with purely rational conscious knowing, in the end cries for another kind of knowledge: "I need more des-perately than my children need me a way of seeing in the dark." And on and on. The virtue of faith is, in Christian tradition, this kind of non-rational, nondiscursive, unconscious knowing. It is this graced ele-ment of true vision that not only begins our theologizing, but is meant to run all through it, to guide and direct it, and at the end of the process to be itself expanded and deepened. Theology is not a castle built upon air, not a rational structure erected on fig-ments of blind faith that a defensive apologetics thinks it has bol-stered effectively from without. Faith is not a blind act, it is seeing. And so theology is intellective from top to bottom, a seeing or understanding all the way. Doubt and questioning will be there, even apparent rejection of my faith, but these may be only on the level of my conscious mind, leaving my deeper, inexpressible vision steady and intact. This all-pervasiveness of faith in theology has its counterpart in fine works of art, and may be better understood by considering them. If we limit our examples to the art of literature, we may cite the great Dante Alighieri, a man of prodigious faith and high consciousness, an ardent lover of rational, deliberative thought, though with a poetic instinct that could move beyond the rationally intelligible to sight, vision (fantasia) of something more. What makes his masterwork, the Divine Comedy, a great poem? Some critics have seen in it high poetic moments, but have denied its poetic character as a whole. They found too much that is unspon-taneous, deliberative, and therefore "unpoetic" about it: an over-all schema minutely worked out with mathematical precision, detailed scholastic argumentation, seemingly pointless disquisi-tions in an archaic science, crude and crass descriptions, and mat-ter- of-fact excursions into the politics of the day. Dante, some Review for Religious have suggested, would have been a better poet had he been less a philosopher. But such criticisms have been found wanting. There is something that runs all through that long poem, giving life and beauty to each of its parts, some of which in themselves may be mere prose, but in Dante's broad context are poetry. We can sort out the various elements: the story, the detailed and balanced schema, the theme and characters, the dialogue, the philosophy and theology that it incorporates and expresses, the imagery, the language, the music. But the poetry here is none of the above by itself or collectively. Rather it is the unconscious, unformu-latable vision that brought all these ele-ments into being, drew them all together in a wondrous unity, and remains within the poem seducing the listener into it. And within this overall vision the philosophy, the rational dis-course, rather than detracting from the poem, enhances it, giving it depth and breadth. Dante turns out to be a better poet precisely because he is much of a philosopher besides. So, too, in theology and preaching, all sorts of things are thought and said, but, if all is as it should be, each element springs out of and terminates in this dynamic underground river of under-standing, of faith. The conscious elements are there, but only to help the conscious mind grasp something of unconscious faith and deepen and broaden our experience of it. T.S. Eliot says: "We had the experience [faith] but missed the meaning, / And approach to the meaning [theology] restores the experience / In a different form, beyond any meaning / We can assign to happiness." It is the same for life as a whole. What was it, for instance, that held that remarkable little theologian St~ Th4r~se of Lisieux so tenaciously to God, to one she knew to be God and loved as such? It was not stubbornness or fanaticism or mere habit. Her writ-ings, the testimony of those who lived with her, and all the hard and minute ecclesiastical scrutiny of her life argue to the contrary. Anyone who reads her, especially her last letters and conversa-tions, must know it was some kind of vision that held her every moment of her life--but not a vision, finally, of conscious human perception or reflection. Conscious thought seemed, rather, to get in the way in those last days, and she experienced darkness as The virtue of faith is, in Christian tradition, this kind of nonrational, nondiscursive, unconscious knowing. Septentber-October 2000 Parmisano ¯ Theology Lived in Faith she tried to think about and pray to God, experiencing temptations against her faith. But under the darkness, penetrating through it to the light, was vision properly so designated, like the ability that eyes and rational intelligence have; though she herself scarcely knew with her conscious mind that it was there. It is life lived in and through this vision of faith that must per-meate and illuminate all study and creativity with respect to the divine. If this life is not there, we end up with a distortion of God and world. But, if it is, we can hopefully come to know God with God's own knowledge while experiencing as our own something of his perception of the world and of his compassion and redeem-ing activity for it. Notes i Father Fernfindez's address at the inaugural banquet at the Claremont Hotel, Berkeley, is printed in Season (Winter 1966): 197- 202. The address together with the foundation of the school is briefly dis-cussed in my history, Mission West: The Western Dominican Province, 18Y0-1966 (Oakland, California, 1997), pp. 409-418. 2 The visitation report is in the Western Dominican Archives, Xl:110(A). ¯ ¯ 3 As in The Upanishads: Breath of the Eternal, trans. Swami Prabhavananda and Frederick Manchester (New York: New American Library, 1960), p. 31. 4 Aldous Huxley's introduction to The Song of God: Bhagavad-Gita, trans. Swami Prabhavananda and Christopher Isherwood (New York: New American Library, 1955), p. 13. s The Upanishads, p. 96. Monks' Chant The rhythm of the chant, like quiet waves upon the sea, rocks my soul to peace. Maxine Inkel SL Review for Religious MATTHEW EGGEMEIER Generation X and Religious Life: A Personal View Generation Xers are an elusive and diverse genera-tion. It is a difficult task to pinpoint representative characteristics of a generation that spans twenty years. As a whole, Generation X embodies a myriad of char-acteristics, some of these quite different and some even diametrically opposed. As a member of this so-called Generation X and as one who is giving reli-gious life serious thought, I want to offer some reflections on Generation X literature and what reli-gious life looks like to me and at least some other members of my generation. Generation X is the cohort of those who were born between 1961 and 1981. The X stands for demogra-phers' inability to typify this generation by any single trend or belief. Demographers characterize Xers' lives as unstable, fragmented, secularized, and uncommit-ted. In general, Xers lack a solid formation in the church's teachings and often lack any strong sense of Catholic identity, an identity that was more present and important to preceding generations. Some researchers claim that Xers are the first generation to grow up in a post-Christian America, a situation affect-religious identity Matthew T. Eggemeier is a senior majoring in religious studies at the University of Dayton. His address is 4428 Parklawn Drive; Kettering, Ohio 45440. September-October 2000 Eggemeier ¯ Generation X and Religious Life ing the sociology and the psychology of Xers, particularly with respect to their attitudes toward religion. When attempting to describe Xers, some writers err, I believe, by absolutizing certain characteristics while ignoring others. Sometimes I have read that individuals within my gener-ation are leaving the church in droves. At other times I have read that Xers have great reverence for the church and the pope. I believe that the truth lies somewhere in the middle of these con-trary positions. Lilly Endowment recently published some findings about Generation X Catholics. In the study the authors state that, on the whole, Xer Catholics neither reject the institutional church nor are right of center with respect to it. Moreover, the authors say that Xers are far from "monolithic" and that any attempt to lump together their behaviors inevitably leads to an inaccurate generalization. These findings resonate with my own limited experience of my generation. I think it important that I briefly introduce myself and give the reader a betteridea of who I am. I am a twenty-two-year-old senior at the University of Dayton double-majoring in reli-gious studies and psychology. I was brought up in an upper-middle-class family in a suburb just outside of Dayton. I have two older brothers, one of whom is giving serious thought to entering a monastery. My mother is a sixth-grade teacher. My father is a professor of psychology who considered entering an active order out of high school. They have deeply held religious convictions that they lovingly imparted to their children. I have found support from both my parents and my brothers when I have expressed interest in religious life. In some respects I feel that my upbringing has been atypical in relation to many other Xers. Many have had life experiences that differ from mine, and I have observed a number of trends among them: secularization, isolation, instability, and postpone-ment of commitment. As I describe these trends, I will present what I think religious orders might do in response to them. While I do not presume to speak for all of my generation, I do know that I speak for some of us. Although the focus of this article per-tains to religious life as lived in an active order, some of the ideas may be useful to all religious looking for possible vocations. First and foremost, we Xers have grown up in a secularized culture, a culture that avoids outward expression of religious con- Review for Religious victions, a social climate in which religion has been removed from everyday life. Religion might govern one's personal rela-tionship with God, but it rarely affects one's entire lifestyle. Often I sense that others in my own peer group feel an uneasiness when religion or God is brought up as a topic of conversation. One's sex life is more readily discussed than one's religious beliefs. On the other hand, for those of us Xers who have deep religious con-victions and feel drawn to the church, outward expression of this conviction is an integral but muted aspect of our experience. We do not want to keep our religious beliefs hidden within us as though they were something we are embarrassed about or ashamed of. We want to share and express the deep joy and love that we have found in religion, but have a hard time doing so, given the nature of our secularized culture. I consider it essential, therefore, that religious trying to attract Xers not water down their commitment or disappear in secular culture. Forms of outward religious expres-sion can be attractive to Xers who see this as a witness to the sacred in the midst of a desacralized culture. Xers are known for their great spiritual hunger.1 In part, this hunger derives from living in a desacralized and secularized world. When this deep hunger for religious meaning has not been satisfied within the religious practice of families, many of us have looked outside of the traditional familial practices to come into contact with the transcendent meaning that we crave. Xers often come from broken homes and fragmented family lives that have not provided us with a stable sense of community and mean-ing. When we see, then, a community whose focus is the Ultimate, we see a unique and attractive lifestyle. The stability of solid community life, the focus of which is Christ, can be a refreshing change from the transient and fragmented lifestyles that have been the experience of many Xers. When speaking about the possibility of a vocation with one Of my friends who was brought up in a divorced family, I was told that, for her, one of the most attractive features of religious life is the stability of community life and its constant search for meaning. Just like many other Xers, her upbringing lacked consistent and stable familial relationships--and the meaning that one derives from such relationships. Xers are known for their great spiritual hunger. September-October 2000 Eggemeier ¯ Generation X and Religious Life Religious life can offer an Xer an insight into the meaning of life and death, but, more importantly, it offers the opportunity to live out this insight through the everyday structures and sup-ports of religious life. Religion offers meaning in abundance, but religious life is special in providing everyday community practices that foster spiritual growth in ways that are difficult to find on one's own. Many of my friends desire to incorporate God more deeply into their daily lives. It is a struggle, though, to follow through with this desire, given the hustle and bustle of every-day life and the relatively little support we receive in this regard from our peers. In other words, we understand that Christ should be the central meaning of life, but have trouble trans-lating this reality into a daily practice. Religious life offers Xers a lifestyle that is already centered on Christ and a disci-plined life that revolves around him and his work. As I see it, the main purpose of religious life is to cultivate a life lived in Christ and for others. Another reason that Xers have for looking into religious life is our craving for a strong community life. We have grown up in a society that has become increasingly isolated and individual-ized as a result of the growing affluence and the expanding tech-nologies. We live in an environment in which we can be entertained for hours by television, movies, and the Internet, pursuits which require no interpersonal contact. One of the most commonly found features of Generation X is its sense of isolation and its yearning for stable companionship and community. Contemporary families have become self-sufficient and isolated. They seldom have a strong sense of community support, which was once prevalent. Xers have to look elsewhere to find or rebuild the support system of faith and community that has been absent in their own families. We Xers are drawn wherever we feel wel-come and find friendship. In a society that is increasingly hostile towards ~he notion of community and continues to promote indi-vidualism, we desire friendships and a sense of connectedness. Religious orders with strong community life and ritualized com-munity practices and prayer are quite attractive to us because this lifestyle cannot be found in the secular world. We have trou-ble finding within our peer group a support community for our faith development. A religious order that has a strong community life focused on supporting one another in faith development, holiness, and service of God is a refreshing change. Review for Religious When I first began discerning several years ago, I lived with a religious community for one week, basically living their lifestyle. The entire day seemed to support what was most important to me--to be aware of God's presence, do his will, and to serve him through prayer and action. For me, and I pi-esume for many other Xers, the community life that religious life offers is an attractive quality, offering companionship and the opportunity for growth in prayer, service, and holiness; but we do not want a community just to comfort us and give us a sense of security. We want to be stretched and challenged to serve God and others with the com-munity life serving as a support that allows us to reach beyond ourselves in the service of God through prayer and works. Another characteristic of Xers is postponement of com-mitment. 2 For a generation that has seen promises broken again and again, commitment is a very serious matter, and so we hes-itate a lot. An average Xer has been close to large numbers of parental divorces and seen countless images of broken com-mitments via television and other electronic media portrayed as acceptable ways of living. Because we have seeri the fiche nature of modern lifestyles, we want something that will endure. We are determined not to make the same mistakes as the pre-ceding generations. Another reason for postponement of commitment with Xers is that we have in front of us a rich array of opportunities that, for the most part, were unavailable to earlier generations. The age for entering marriage, making a career choice, and choosing a religious vocation has gradually risen in a society that offers such a wide variety of possible lifestyles. Previous generations, I am told, saw the commitment to religious life as a noble choice and legitimate path to holiness, one that many-made directly out of high school. Today this choice is seen as countercultural. What is more, we have learned that there are many paths to holiness. When choosing the religious lifestyle, previous generations often found support from their friends and parents. Today, in most instances, this countercultural decision is supported neither by friends nor parents. Just recently I read an article in which a mother of a semi-narian documented the mixed signals she received when she told friends and acquaintances of her son's decision to become a priest. The reactions varied from bewilderment as to why he would want to do such a thing to outright opposition to his decision. Septenlber- October 2000 Eggemeier ¯ Generation X and Religious Life One person asked her if she thought that her son would stay. The mother was upset by this question. She found herself think-ing that, at the wedding of her friend's daughter, she herself would likely not ask her friend if she thought her daughter's mar-riage would last. Another parent told her that they had talked their son out of wanting to become a priest when he had dis-cussed it. Unfortunately, I think these viewpoints are indicative of what many Catholics think of a young man considering reli-gious life or the priesthood. Supporting this anecdotal evidence is a 1997 CARA survey which showed that 3 in 10 youths had considered a vocation, but only 2 in 10 of the parents supported their child's interest) As a consequence of our l~ack of cultural and parental support, we Generation Xers might typically take much longer to realize that this is our true calling. We would definitely benefit from having people close to us encouraging us in our consideration of enter-ing religious life. Another form of support would be vocation groups where several of us interested in religious life meet with one another, socialize, and discuss issues relevant to our dis-cernment. Two conclusions can be drawn from these observations for religious communities trying to attract new vocations. First, since as a generation we receive so little support from our friends and parents when considering religious life, it is very important that religious communities develop friendships with us that nurture growth in faith and commitment to God. Here I want to review some findings of a CARA survey on the role of invitation into the priesthood. New research has shown that the most important factor in young people's choosing a vocation is a personal invi-tation from a religious to join.4 A statement quoted in the arti-cle has the number of invitations gradually going down in recent years. Bishop Paul Loverde explains that "during the sixties the percentage of diocesan priests who actively encouraged boys to enter the seminary dropped from 64 percent to 33 percent and, for religious order priests, from 56 percent to 27 percent, and these figures have not changed over the last three decades." In the CARA survey, only 18 percent of youths active in their parish life had been personally invited to consider the priest-hood. Clearly, an integral component of attracting Xers to reli-gious life has substantially decreased. This does not mean that religious should haphazardly invite every young person they run Review for Religious into, but, if you invite us and we show interest, keep in contact and support us. An invitation is in itself not enough. Also, I sug-gest that religious make it clear that they are not just trying to recruit us into religious life, but rather want to help us discern what God truly wants of us, whether it be religious or married or single life. Invitation and support may help many of us to make a coun-tercultural decision more easily. The key here is friendship. As a young man interested in religion, I have often been approached by religious trying to recruit me into becoming a priest. It is discouraging to think that their interest may not be in me as a person, but instead in me as a possible vocation. This is not to say that religious should not actively recruit individuals. Many, like myself, would not consider reli-gious life if it were not for an invi-tation from a religious. There is, however, a distinct difference between inviting and supporting on the one hand and just outright recruiting on the other. A true rapport, indeed a real friendship, with one religious is more valu-able in discernment than one hundred religious asking me if I am interested in their order. A case in point: a friend of mine was recruited by a priest who had met him on retreat. They met for lunch several times after the retreat. During one meeting the priest asked him if he was going to join his particular order. Mind you, my friend had never mentioned that he was even interested in this order. When my fried said that he was not interested at this time in his life, the priest became indignant and lectured him on doing God's will rather than his own. After that meeting, the priest never con-tacted him again. Needless to say, this is not a good approach. The priest saw my friend as a number, a possible recruit, and that is all. Worse yet, he tried to manipulate my friend through pressure and guilt. My friend sensed this pressure from the begin-ning. When the priest's intentions became apparent, he was not surprised; but he was certainly disappointed. Second, as I have already said, I belimie that joining religious " life has become a radical countercultural decision. I have sensed Invitation and support may help many of us to make a counterculturaI decision more easily. Septentber-October 2000 Eggemeier * Generation X and Reli~ous Life this in my own discernment. Countless times old friends and acquaintances have asked me in a negative tone, "Are you becom-ing a priest?" or said, "Why would you become a priest--you could get married!" Religious life has become manifestly coun-tercultural. Choosing religious life has become a radical choice, and so, to attract new vocations, religious need to present them-selves as people who have benefited immensely from their voca-tion and have found peace, mission, love, and a passion for the gospel and for God through their decision. Since this is a countercultural decision, religious orders should accentuate the things they might offer us that we cannot easily acquire as laypersons. I often hear from people discerning a religious vocation that they do not see what it gives them that married life does not: "I could do the same things and have the same type of life consecrated to God as a married person." If it is true that married people can live like religious, why should anyone enter religious life? In light of this, I think orders should bring out the qualities that differentiate them from the married life. In my opinion, some qualities that religious life offers that directly oppose our current cultural trends of greed, power, and promiscuity are the vows of poverty, obedience, and chastity. We are looking for and attracted to these countercultural answers to the problems of modern society, in which there seems to be so lit-tle deep hfippiness. We see the emptiness of promiscuity and hoarding money and want to take a radical stance against these things and devote our lives to something else. Another difference between a religious commitment and that of married life is the uniqueness of the call to live a radical lifestyle consecrated to God alone. I do not know how to artic-ulate this, and I hesitate to say it. But I see something special and profound in an individual taking the stance that God is so central to his or her life that he or she is willing to sacrifice mar-riage in order to live for God in this unique manner. I think that married life and religious life are unique calls with different strengths and weaknesses. I feel that often religious have not stressed the uniqueness of their call because doing so might seem to lessen the call to marriage. Both are calls from God to live a holy life. Yet there is something very striking about religious life--few people planning to get married are ever asked why they would want to get married! In sum, Xers are not going to make Review for Religious a radical countercultural decision unless they see a radical lifestyle being lived out, one that has benefits that married life does not. Finally, for Xers the experiential is essential. In general, we do not believe in something unless we can experience it. Often the Catholic Church can be seen as suppressing the experiential side in favor of the cerebral, and for Xers this is neither satisfying nor believable. To attract Xers, religious orders should present a spirituality that is visible and palpable in everyday life. Religious orders might benefit from an emphasis on daily communal wor-ship and a radical commitment to expressing the experiential side of their practices to Xers. In doing this, religious orders can show Xers that Catholic worship and spirituality are vibrantly lived. Extended community-living experiences for Xers can also be a benefit, because these allow Xers to get a sense of the commu-nities' spiritual practice. Again, l do not presume to speak for my whole generation. I hope, however, that I have described some salient characteris-tics of my generation. We are looking for transcendent mean-ing, community, solid commitments, stability, experience, and service--all of which I feel religious life has to offer. The best way, of course, to attract new vocations has always been and always will be contact with religious who have found joy, community, commitment, and God in their religious life. This, coupled with religious actively encouraging young people to con-sider the religious lifestyle, could have a profound effect on a generation that is starved for things that religious life has and wishes to share. Notes ' Albert Dilanni SM, "Religious Vocations: New Signs of the Times," Review for Religious 52, no. 5 (September-October 1993): 745-763. 2 j. Weber, "Searching for a Vocation X-Style," Horizon: Journal of the National Religious Vocati6n Conference 22 (1997): 9-14. 3 See Ann Carey, "The Harvest Is Great, but the Workers Ain't Invited," Our Sunday Visitor, 19 October 1997. 4 Carey, "Harvest." September-October 2000 J. SHEILA GALLIGAN Bride of Christ and Ecclesial Identity I~her recent article "The Need for Self-Criticism: Affirmative omments," Elizabeth McDonough marshals an unwelcome yet necessary diagnosis of religious life. She asserts that "critical self-appraisal has been neither prevalent, nor popular among American women religious since Vatican II." Such forthright com-ments compel our attention. Made uncomfortable by critical assess-ments of the prevailing paths of renewal, contemporary women religious, she suggests, manage somehow to forget or deny the reports. Indeed, they demonstrate a bewildering, obstinate accom-modation to the rhythms of the prevailing culture. The carefully crafted analysis is pointed. It provides, in a certain sense, a pow-erful Augustinian arraignment of a currently pervasive manifesta-tion of pride: a deliberate choice to avoid and deny reality. She reminds the reader that critical evaluation (albeit accurate!) has been met with "studied unconcern or strident rejection., dis-dain., open derision." 1 The descriptives point out our penchant for self-deception. It is disconcerting to note, as McDonough does, that, while the need for public and prophetic witness is often enthusiastically acknowledged, a specific, distinctive religious witness has lessened considerably. An extensive rhetoric has emerged, but jargon has a way of irritating, and convoluted sociological or psychological expositions often obscure the theological or spiritual sense. Ironies J. Sheila Galligan IHM last wrote for us in November-December 1994. Her address remains Immaculata College; Immaculata, Pennsylvania 19345. Review for Religious are noticeable. There is lack of clarity about identity and mission; there are negative results from an exaggerated egalitarianism; reli-gious in their ministries have a general invisibility; and there is a dearth of new members. These things can affect us, excite us, and cause us to enter into serious dialogue about envisioning the future. But where, McDonough thoughtfully inquires, are the specific decisions and actions that will initiate and support a "corrective change of course" ? 2 I believe that a possible and necessary first step in critical reflection and corrective decision making depends upon the rather neglected perspective of ecclesial identity. Corrective effort must take place on two levels: the level of theological insight and the level of "heartsight"; that is, insight must become embodied in effective symbol. This article suggests that we seek a renewed understanding of the church as the bride of Christ and explore a renewed use of spousal imagery in the service of a "corrective change of course." I will offer a rationale in support of a readily identifiable religious habit, specifically distinguished by a veil, as a form of public, prophetic witness and a "sign of consecration, poverty, and mem-bership in a particular religious family" (vc §25).3 Since the spe-cific issue of the religious habit is intimately connected with bridal consecration, I will also discuss the significance of clothing in gen-eral and ecclesial directives specifically. I suggest that a religious woman's key ecclesial identity is that of bride of Christ and that the key sign of this is the veil. The church! How does one evoke the meaning of its mystery, the meaning of something so elusive and paradoxical and yet so beautiful and evocative? Acknowledging that an image supports and illustrates some aspect of truth, the church describes itself in metaphor. The Second Vatican Council drew upon the rich trea-sury of images in Sacred Scripture. According to Lumen gentium, the church is a sheepfold, a tract of land, a choice vineyard. The church belongs to Christ as people, body, and bride (LG §6). Vatican II, with its interpersonal understanding of the church as the people of God, signaled a turning point in its history, casting a warm light on the image of the church as bride (see LG §9). Biblical Foundations From the biblical perspective, bridal and marriage imagery is September-October 2000 Galligan ¯ Bride of Christ incredibly rich, yet in recent decades this perspective has been prac-tically lost.4 Beginning as a whisper in the history of Israel, this image rises later in prophetic cries, to be echoed eventually in the Gospels and in apostolic teaching. This image of Christ as bride-groom of the church was prepared for by the prophets, especially Hosea and Isaiah, and announced by John the Baptist (see Jn 3:29). Jesus referred to himself as the "bridegroom" (Mk 2:19). The Catechism of the Catholic Church reinforces the theme and reminds us that the Scriptures speak of the whole church, and of each of the faithful members of his body, as a bride "betrothed" to Christ (§796). Significantly, the last image of the church in the Bible is bridal. The Apocalypse is replete with marriage symbolism: "The marriage of the Lamb has come" (19:7; see Ep 5:25-27). The new Jerusalem is "a bride adorned for her husband" (Rv 21:2-3), a city whose meaning is revealed in bridal language: "the bride, the wife of the Lamb" (21:9-22:5). The final use of bridal imagery is in Revelation 22:17: "The Spirit and the Bride say, 'Come.'" The wife, on the day of her wedding, is recognized by her bridal gown. In that attire she is the bride. The gown is the "righ-teous deeds or works." All these texts mirror the church's rela-tionship to .Jesus. The language is about reciprocal love, love for him who is "the first love" (Rv 2:4). The Vision of John Paul II John Paul II understands the church in such personalist terms. He consistently uses the distinctive language of relationship, trini-tarian communion, covenant fidelity. The church is a mysterious living reality that becomes fruitful by its bridal relationship to Christ, who loved the church and gave himself up to mak~ her holy. Being overwhelmed by and responding to love--that is at the heart of the mystery. It is a description of a people called to identify passionately, deeply, with the mission of Jesus. While often ignored in current scholarship, the image of the church as bride of Christ is clearly declared in Scripture and is reaffirmed by the magisterium through the ages. Because it gets to the heart of the church's nature, this image can help (beyond any nostalgia or romanticism) in our discussion of the ecclesial identity of conse-crated women religious. Vatican II provided consecrated life with a splendid theologi-cal framework for understanding its place in the church (LG ~6).5 Review for Religious Recent ecclesial documents also offer a theological vision of the consecrated life within the mystery of the church. The symbolic and transformative role of the consecrated religious is at the heart of the church. The 1994 synod of bishops identified the common reality unifying consecrated persons: "the call to total self-giving to God; love for Christ the teacher, Lord, and bridegroom of the church, who is intimately followed and served above everything; and the decision to live according to the Spirit.''6 Even a superficial reading of Vita consecrata reveals John Paul'S appreciation of the gift of consecrated life as a special manifestation of the "striving of the whole church as bride toward union with her one Spouse" (VC §3). But, more than simply reflecting on the revelatory dimensions of the image in terms of the whole church, the pope provides a marvelous insight. He speaks of conse-crated persons expressing "their spiritual fruitfulness by becoming receptive to the word, in order to contribute to the growth of a new humanity" (vc §34). This perspective undoubtedly flows from his deep conviction that the world desperately needs to reappropri-ate the reality of spousal communion. The focus is sharpened by these words: "Tl~e church can in no way renounce the conse-crated life, for it eloquently expresses her inmost nature as 'bride'" (vc §105). This is not a matter merely of pious sentiment or lit-erary style, but of theology. The point is central for religious because it is a question of identity. References to this theme pervade this papal exhortation. John Paul says (vC §19), "The consecrated life becomes a particularly profo~and expression of the church as the bride who, prompted by the Spirit to imitate her spouse, stands before him 'in splendor, without spot or wrinkle or any such thing, that she might be holy and without blemish'" (Ep 5:27). This finds a special emphasis in an extended section titled "The Living Image of the Church as Bride." The pope writes: "In the consecrated life particular impor-tance attaches to the spousal meaning, which recalls the church's The image of the church as bride of Christ is clearly declared in Scripture and is reaffirmed by the magisterium through the ages. September-October 2000 Galligan ¯ Bride of Christ duty to be completely and exclusively devoted to her Spouse, from whom she receives every good thing. This spousal dimension, which is part of all consecrated life, has a particular meaning for women, who find therein their feminine identity and, as it were, discover the special genius of their relationship with the Lord" (//C §34).7 Eloquence of the Liturgy The liturgical "Rite of Religious Profession for Women," a public prayer, incorporates spousal language,s Candidates to be professed respond to the specific question "My dear sisters (daugh-ters), what do you ask of God and of his holy church?" by saying, "We ask for perseverance in following Christ our bridegroom in this religious community all the days of our lives" (§59). Presentation of the veil is accompanied by the following exhorta-tion: "Receive this veil, which proclaims that you belong entirely to Christ the Lord and are dedicated to the service of the church" (§34). The solemn blessing or consecration of the professed is replete with references to the church as bride: "Father in heaven, ¯. you make the human family your bride . When your bride, deceived by the evil one, broke faith with you, . . . the world's Redeemer . . . formed the church into his bride, loving it with love so great that he gave himself up for it" (§72). This richly sug-gestive theme is emphasized and expanded in a beautiful section: "Father, in your loving wisdom you have singled out many of your daughters to be disciples espoused to Christ and to receive the honor of his love. Holy church shines with their rich variety, a bride adorned with jewels . Strengthened by the vows of their consecration, may they be always one with you in loving fidelity to Christ, their only bridegroom" (§72). After the blessing the newly professed come to the celebrant, who gives the ring to each: "Receive this ring, for you are betrothed to the eternal king; keep faith with your bridegroom so that you may come to the wedding feast of eternal joy" (§73). Indeed, St. Mnbrose, writing in the 4th century, crystallizes the idea in five words: Virgo eft quae Deo cubit (a virgin is a woman who has married God). The rite and all its parts are instantly, theologically expressive of the mystery and event being celebrated. What the church understands about reli-gious consecration--its unique public, ecclesial, nuptial, eschato-logical identity and character--is precisely what the rite of Review for Religious profession says and celebrates. Although persons participate in the rite only once, it continues to define and guide them all their life. The mystical, ascetical, and apostolic dimensions somehow coalesce in the dynamic of this profoundly relational image of "disciples espoused to Christ. their only bridegroom" (§72). A Call That Began with Baptism Two presuppositions provide a framework for further dis-cussion. First, inserting the theology of consecrated life into the sacramental dimensions of the church, Vatican I! highlights its relationship with baptismal consecration and its demands.9 Some Christians are invited to deepen that consecration, to manifest that baptismal light with a particular intensity. In the response to the call of consecrated life, this discipleship becomes a public profession to live the gospel, a prophet-ically public witness, an all-encom-passing commitment. Attempts to accommodate, to make religious more like lay people, are detrimental to the church. When the distinctiveness of this vocation becomes blurred, role clarity suffers. Second, the radical nature and meaning of religious life needs to be proclaimed and clarified, not only in descriptive ecclesial documents such as Perfectae caritatis and Vita consecrata, but also in the personal conviction of those committed to it and in the shining witness of their day-to-day lives. Living in community and practicing the vows of chastity, poverty, and obedience challenge the assumptions of the culture. The human goods of marriage, possessions, and self-determination are put into a fresh perspective. VCithout an appreciation for the mystery--a love for the way in which religious consecration takes hold of the very depths of one's being--the fruitfulness of the vocation will be compromised. The radical nature of religious life is threatened by a growing secular-ization, a cultural assimilation. By consecration women religious are established in a new relationship to Jesus Christ, a specifically nuptial one. The veil publicly proclaims the existence of this nup-tial bond, the external sign of an internal reality The radical nature of religious life is threatened by a growing secularization, a cultural assimilation. September-October 2000 Galligan ¯ Bride of Christ Norms of the Church Commenting on canon 669, the one canon in the 1983 Code that directly concerns the religious habit, McDonough carefully delineates its spiritual and ascetical functions: "The habit is con-sistently understood to be indicative of a way of life with both transcendent and immanent consequences. Its purpose is to point ~o the value of something beyond this material world while it simultaneously communicates something of import about the very real circumstance of this material world."9 It heralds a commit-ment to witness to the permanent things in a culture numbed by materialism, sensualism, and contempt for the sac~ed. Many religious communities, with goodwill and intent, do indeed follow the canon's directive and wear a form of habit, but the current practice often omits the veil or makes it optional. Many women religious wear various kinds of secular clothing, from skirts and blouses and hand-me-downs to highly fashionable suits and dresses, complete with jewelry and other accessories. Several neg-ative consequences result. The great diversity of charisms among communities of religious is now lumped into one bland group of "generic church workers." The distinctive concrete "sign" of con-secration is diminished if not lost. A habit that lacks a veil is a diluted public witness, an ambiguous sign. Without the veil, how do people recognize us as religious? Even more, how do people recognize us as members of a unique group of Franciscans or Dominicans or Sisters of Charity? We become "The Anonymous: The Sisters without a Sign!" The veil is important for giving witness to the ecclesial nature of religious identity, to its "bride of Christ" symbolism. Recall the words of Vita consecrata: Consecrated life "eloquendy expresses" the church's nature as "bride" (see §105). Today public witness is iron-ically diluted precisely when the visual, the highly visible, is needed. The veil communicates a sense of dynamic purpose as well as a sense of unity and esprit de corps. Silent Language That Sparks Imagination Some cultural background about the nature of clothing may help here. Throughout history, clothing has served many purposes. According to the insights of those who specialize in these matters, "clothing serves as a means of communication. To the person who is knowledgeable about a particular culture, clothing is a sort of Review for Religious silent language." t0 Rebecca Cunningham's Magic Garment offers a striking insight. A special garment "helps concentrate the powers of imagination, expression, emotion, and movement into the cre-ation and projection of a character to an audience."tt This asser-tion that "clothing is a sort of silent language" is born of experience. The idea is expressed in the 1994 synod's working paper: "Many ask that women and men religious give a silent proclamation of their consecration through wearing the habit of their institute" (§86). The symbolism of the veil has somehow been embedded: it persistently suggests "bride." It bespeaks, quite specifically, a carefully constructed world of meanings and com-mitments. The veil, connoting exclusive love, intimacy, and unre-served self-gift, has been recognized for centuries as a sign of betrothal to Christ (in imitation of Roman marriage customs). It was an integral part of the liturgical ceremony of consecration as early as the 4th century,t2 In fact, for centuries there were no rit-ual words of profession; one "took the habit" or "put on the veil." t3 The concept, the "habit of being," of women religious as "bride of Christ" is manifested in two ways: the interior geogra-phy of the heart shaped by the practice of the evangelical coun-sels and the public symbol of the veil proclaiming spousal union with Christ. Vita consecrata says: "Their lifestyle too must clearly show the ideal which they profess, and thus present itself as a living sign of God and as an eloquent, albeit often silent, procla-mation of the gospel" (vC §25). Perhaps this is what many of the faithful are struggling to articulate when they see a religious with a veil and say: "I'm so glad to see a religious in a habit. Thank you" or "There is a real sister." Here, I believe, the practical and pastoral import of the veil comes to the fore. People are not mak-ing a judgment about the moral state or holiness of the religious, but rather recognizing her ecclesial identity and role, affirming the public witness of her vocation. Just what, precisely, prompts such remarks? When do these comments occur? At the sight of a simply dressed woman wearing a little cross or a medal or some kind of pin? No. It is precisely the veil which evokes the response. Indeed, it is through this visible symbol that identity is affirmed and meaning maintained. Recall, too, that in Jesus' parable of the Good Samaritan (Lk 10:25-37) the man who needs care represents "everyman" precisely because he lacks the two human means of specific identification. He is unconscious and so cannot speak. He is stripped of the clothing Septewtber-October 2000 Galligan * Bride of Christ that communicates something about identity. Have contemporary religious in some way become speechless and stripped? A Culture in Need of a Visible Sign Vita consecrata is direct and straightforward: "The church must always seek to make her presence visible in everyday life, espe-cially in contemporary culture, which is often very secularized and yet sensitive to the language of signs. In this regard the church has a right to expect a significant contribution from consecrated persons, called as they are in every situation to bear clear witness that they belong to Christ" (VC §25). Distinctive attire is a way to respond to the church's challenge. The veil serves as a gracious irritant, an explicitly prophetic sign. Although Western moder-nity is inhospitable to the transcendent, the full habit visibly and powerfully conveys an eschatological message "to the people of God here and now, even--or perhaps especially--to many who might otherwise have neither a ready understanding of nor an easy access to the spiritual import of eternity." ~ In contemporary sec-ularized culture, where the external signs of sacred realities tend to vanish, people must be able to recognize the consecrated woman religious, this bride of Christ representing the church. Attire is an unequivocal sign of dedication and identity, a "way that their con-secration is recognizable" (vC §25). It assumes a public represen-tational function.Is Whose She Is The primary meaning of the word habitus is a condition, a state, a pattern of behavior, a quality of nature or character. The nature of the consecrated religious is essentially bridal. In keeping with her ecclesial and personal identity, the bride of Christ provides visible witness most specifically and completely by wearing a veil. This external practice announces and reaffirms her identity, not only who she is, but Whose she is and what she aspires to be. It acknowledges a passionate love, ever deepening into conscious communion, which gradually becomes the ruling "habit of life." Consecrated religious, in both their personal and their corporate lives, are meant to be identifiable. In a society increasingly needing an appreciation of the tran-scendent, in our secularized post-Christian culture, consecrated Review for Religious religious are called to speak and act in evangelical, bold, and imag-inative ways. Where do we stand? Will we manifest a dash of dar-ing, a truly radical "habit of being," through the practice of the vows and through the external sign of religious consecration? Cogent questions perennially confront those on the road of reli-gious consecrktion. These are such cogent questions. In the conclusion to Vita consecrata, John Paul does not flinch from proclaiming: "You have not only a glorious history to remem-ber and to recount, but also a great history still to be accomplished!" (vc § 110). In short, can a dedicated corps of consecrated religious women rise out of the current mass of "generic" church workers, out of the paralysis of an ambiguous identity, to provide joyful, courageous witness to the Bridegroom and to his bride, the church? Will the "habit of our being" affirm a full and faithful witness? For, indeed, this "corrective measure"--an internal un.derstanding of our personal identity as bride of Christ and its outward sign, the veil--will clearly reveal that we are caught up in a love affair, passionately proclaiming our love for God and his people. Notes ~ Elizabeth McDonough OP, "The Need for Self-Criticism," Review for Religious 58, no. 3 (May-June 1999): 251 and 256. See also David J. Nygren CM and Miriam D. Ukeritis CSJ, "Affiliative Decline and Role Clarity," in their Future of Religious Orders in the United States (Westport, Conn.: Praeger, 1993), pp. 248-249. Or see their "Future of Religious Orders in the United States," Origins 22, no. 15 (24 September 1992): 257-272; available also in Review for Religious 52, no. I (January- February 1993): 6-55. 2 McDonough, "Need," p. 259. 3John Paul II, apostolic exhortation Vita consecrata, 1996. Henceforth this will be referred to in the text as 4 Further insights and expanded development of this may be found in Geoffrey Preston OP, Faces of the Church (Grand Rapids: Eerdmans, 1997). Chapter 8 explores the "Bride of Christ." Raymond Orlund Jr.'s book Whoredom: God's Unfaithful Wife in Biblical Theology (Eerdmans, 1996) explores the theme of spiritual adultery, delving into scripture pas-sages that describe human violations of God's covenant with Israel in marital and sexual terms. See also Gilberte Baril, The Feminine Face of the People of God: Biblical Symbols of the Church as Bride and Mother (Slough, U.K.: St. Paul, 1991; also Collegeville: Liturgical Press, 1992). 5 "This constitutes a special consecration, which is deeply rooted in their baptismal consecration and is a fuller expression of it" (Perfectae caritatis, §5). See Lumen gentium, §4, and all of chap. 5, "The Call of the L49 i Septentber-October 2000 Galligan ¯ Bride of Christ Whole Church to Holiness." 6 Vatican Synod Secretariat, "The Consecrated Life and Its Role in the Church and in the World: Working Paper for October 1994 World Synod of Bishops," Origins 24, no. 7 (30 June 1994): 97-138. Christ is described as "bridegroom" in several other passages: §18, §48, §111. 7 John Paul II's new orientation is perhaps best summed up in the priority which the Catechism of the Catholic Church (§773) accords the Marian dimension over the Petrine dimension in the church, in the order of holiness. Keenly conscious of the unique role of the Blessed Virgin Mary in the history of redemption, the pope presents a link with the New Testament passage that portrays Mary with the Apostles (Ac 1:13-14). "We can see here a vivid image of the church as bride, fully attentive to her bridegroom and ready to accept his gift . In Mary the aspect of spousal receptivity is particularly clear; it is under this aspect that the church, through her perfect virginal life, brings divine life to fruition within herself" (vc §34). Consecrated women religious are "called in a very special way to be signs of God's tender love toward the human race and to be special witnesses to the mystery of the church, virgin, bride, and mother" (VC §57). The image is biblically, theologically, and pastorally appropriate. 8 International Commission on English in the Liturgy, "Rite of Religious Profession during Mass," in The Rites of the Catholic Church, Vol. 2, approved by NCCB and confirmed by the Apostolic See (Collegeville: A Pueblo Book, Liturgical Press, 1991), pp. 247-285. The sectitn numbers given in parentheses in this paragraph refer to this rite on these pages. 9 Elizabeth McDonough OP, "Habit and Habitus: Current Legislation," Review for Religious 56, no. 6 (November-December 1997): 652. ,0 Phyllis G. Tortora and Keith Eubank, Survey of Historic Costumes (New York: Fairchild Publications, 1994), p. 3. n Rebecca Cunningham, The Magic Garment: Principles of Costume Design (New York: Longman, 1989), p. 1. ~2 McDonough, "Habit," p. 654. ~3 According to the Rule of St. Benedict, profession was to be made both orally and in writing, but not necessarily for validity. Benedict knew nothing of the juridical concept of such "validity." It is worthwhile to note the role of the habit in the tradition. Since the Council of Trent, reli-gious profession in order to be valid must be expressed orally. At the time of Gratian, however, profession made tacitly was taken to be true profession. Some clear fact or deed was taken to be religious profession, usually to assume the monastic habit. Gratian says nothing of the neces-sity of profession. Instead he speaks of entry into religion in a precise con-crete way. He uses the terms "monasticum habitum sume~e" (C17, q2, c3) and "habitum religionis sumere" (C20, ql, cl). The veil (cowl for men) was an integral part of the liturgical ceremony of consecration as early as Review for Religious the 4th century. In fact, for centuries there were no ritual "words," no vows formally articulated. Historically, ecclesial recognition, the sign of betrothal to Christ, was usually expressed by someone's "taking the veil." 14 This notion is emerging in new literature that speaks of religious garb. See Harry J. Byrne, "Ecclesiastical Garb," America 180, no. 21 (19-26 June 1999): 22. The author notes that the U.S. bishops in their November 1998 meeting decreed that "a black suit and the Roman col-lar are the appropriate attire for priests, especially in the exercise of their ministry." The Directory for the Life and Ministry of Priests (1994) is straight-forward: "In a secularized and materialistic society, where the external signs of sacred and supernatural realities tend to disappear, it is partic-ularly important that the community be able to recognize the priest, man of God and dispenser of his mysteries, by his attire., which is an unequivocal sign of his dedication and his identity as a public minister" (§66). The directory also states that, "outside of entirely exceptional cases, a cleric's failure to use this proper ecclesiastical attire could man-ifest a weak sense of his identity as one consecrated to God." 15 The French theologian Louis Mari Chauvet (Symbol and Sacrament, Collegeville: Liturgical Press, 1995) says that symbol as a language of recognition is "the foundation of the identity of the group and the indi-vidual" (p. 5) and that symbol "becomes the agent for recognition and identification between subjects." Chauvet affirms silent communication too: the act of symbolization carries out the "essential vocation of lan-guage" (p. 130). The veil is both self-referential and proclamatory. Thus the consecrated woman religious should be identifiable primarily through personal holiness, but also by a manner of dressing that makes visible to all the faithful, indeed to all people, her specific role in the church. The attire serves as a mediating reality in the construction of authentic iden-tity. It demands personal and communal "habits of being" so that its meaning does not erode and so lose its compelling force. Peter and the Servant Girl The servant girl asked of him, "Aren't you he who was with Jesus?" Curiously she looked in his eyes, did not accuse, for who has not felt fear? And who was she? No true believer, but one who serves, and serving knows not all our masters are deserving. She looked again at him who was afraid and left to seek the one whom all betrayed. June A. Kramer September-October 2000 a way of living MARIE BEHA Work in Such a Way "Work in such a way as not to extinguish the spirit of prayer and holy devotion to which everything else should be subservient." That is what St. Francis of Assisi and St. Clare wrote in their respective Rules for the Friars and the Poor Sisters (RC1 7,2). Nice, I thought, but what does it mean? More important, how do I do it? For some reason I found those words repeating themselves over and over again in my heart as I went about my work that day and the next and the next. I always "suspect" the action of the Spirit when some-thing like this happens, so I began to hold this challenge against the reality of my everyday experience. After all, I had lots of experience working, doing all kinds of things. In fact, activity had been the focus of most of my efforts to hasten the coming of God's king-dom. I knew something of its risks, as well as its chal-lenges and the immediacy of its motivation. But somehow this was different. It soon became clear, that I needed to emphasize four words: "working in such a way"; the focus was less on what I did and more on how I did it. That was lesson number one. Kinds of work, hours devoted to it, or even levels of accomplishment--con-cerns which had dominated most of my previous reflec- Marie Beha osc writes once again from the Monastery of St. Clare; 1916 North Pleasantburg Drive; Greenville, South Carolina 29609. Review for Religious tions--were too task oriented. Whatever Francis and Clare were talking about, it was something more. I passed on to "the spirit of prayer." I began reflecting on familiar experiences of bringing work into prayer, of how my work had often provided the raw material for some of my most urgent prayers of petition. I .easily recalled times when I had spent whole periods of formal prayer begging for the needs of those with whom I worked. On other occasions most of my prayer was preoccupied with fervent requests for personal divine assis-tance. When I felt especially unable to accomplish what I really needed to do, then I got down to serious praying! "God, come to my assistance!" But it was also true that sometimes, in fact way too often, work spilled over into my prayer time, threatening the possibility of any prayer at all. Sometimes a task that I had decided to com-plete chiseled away at my time for prayer; I began late or at least without allowing myself a moment to just be and transition into a more reflective stance. I was still back "there" at whatever I had been doing, even when my body had arrived "here." At other times I deliberately shortened my time for personal prayer because "there is so much to do." Granted that there were circumstances when shortened prayer time had to be the only loving responses to the urgent need of others, but honesty compelled me to admit that this was not usually the case. Then it dawned on me that shortened prayer time was one of the ways my spirit of prayer was being extinguished by work. I began giving myself permission to let my periods of formal prayer be as much a "full-time" occupation as any other of my concerns. It was a start, but by no means an easy discipline. I soon discovered how proficient I had become in rationalizing the urgency of my work load. Too often I was more driven by self-imposed standards than by charity or the reality of the situation. It was my need to accomplish something that compelled me tofin-ish whatever I had set out to do. Achievement motivated me to surpass last week's goals; that was why I worked overtime. Working provided the self-satisfaction of knowing I had done something, maybe even done it well. Others were grateful. At least I was pleased with myself. To my embarrassment I discovered how often I named this a "good day" because"I got so much done." Or, conversely, I complained in frustration, "I didn't get a single thing done today." I could not even recall the last time I had fallen September-October 2000 Beba ¯ Work in Such a Wa~ asleep telling myself how happy I was that I had been able to pray well or work prayerfully that day. With this realization came others. (The Spirit was beginning to work overtime.) Maintaining a spirit of prayer even during times of formal prayer was more than just hard work. Exposing myself to the Spirit of Truth was risky; disciplining and quieting my busy mind was harder still. I would rather have done almost anything else. Too often I did; such escapism surely ran counter to a spirit of prayer. But there was still more. I returned to the original challenge of "working in such a way as not to extinguish . " Francis and Clare seemed to focus less on what happened at times of prayer and more on manner of working. That was realistic. After all, most of us spend more time working or doing other things than praying. How could I work more prayerfully? I tried to recall some things I had been taught many years before about "being recol-lected." After searching around in my mental attic, I remembered something about saying ejaculations while working and the incred-ible example of a certain Jesuit priest who said literally thousands of ejaculations even while ministering in the trenches during World War I. In a period of early fervor, I had tried the practice myself, but had never gotten the hang of it at all. In fact, I felt myself breaking out into a rash at the very thought; such split-level exis-tence was not for me! And I doubted very much that it was what Clare or Francis was suggesting. Once more I returned to my original question: What does it mean to work in the spirit of prayer? I continued to keep my focus not on my prayer but on my work, and the beginnings of an answer slowly emerged: I worked prayerfully when I worked lovingly. Of course. The "spirit of prayer" had to be the work of the Holy Spirit, "the Spirit praying in us with unutterable groaning," espe-cially "when we do not know how to pray as we ought" (Rm 8:26). And that Holy Spirit was God's love "dwelling within" (Rm 8:9). What extinguished my prayer was also what extinguished my love. Examined experience proved the truth of these .reflections. When I failed to "love" my work, rushed through it, did it care-lessly, pushed it aside as soon as I decently could, both work and the spirit of prayer suffered. When my work was less gift given to others and more self-serving gratification, any possibility of prayer-ful work was extinguished. When the bitterness of critical think-ing, harsh judgments, impatient murmuring, ran counter to Review for Religious whatever I was doing, I was neither loving nor praying. And in most instances I was so caught up in my own limited concerns that I was not even working very effectively. But, when I worked lovingly, a quiet reverence, a peaceful pres-ence, transformed any and all of my labors. I was careful without being so care-filled that anxiety replaced trust. I could give myself to whatever most needed doing if I kept my focus in the present and not turned toward the need to accomplish as much as possible. Even when the list of necessary tasks got longer and longer, I found that I was more at peace if I set pri-orities rather than driving myself to get it all done now. My charity was more needed than the accom-plishment of what I had predetermined to do. Being focused on whatever I was doing began to make a critical difference. I became more aware of just how I was going about my labor, rather than concentrating solely on the task itself. As awareness opened up space within, I found myself faced with choices. Somewhere between being lazy and being a . workaholic lay the balance of saving grace. Self-gift rather than self-satisfaction seemed to hold one key. When my focus was more on God at work in whatever needed doing, rather than on what I wanted to do, I could relax. I was