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Theory Talk #75: Tarak Barkawi on IR after the West, and why the best work in IR is often found at its marginsIn this Talk, Tarak Barkawi discusses the importance of the archive and real-world experiences, at a time of growing institutional constraints. He reflects on the growing rationalization and "schoolification" of the academy, a disciplinary and epistemological politics institutionalized within a university audit culture, and the future of IR in a post-COVID world. He also discusses IR's contorted relationship to the archive, and explore future sites of critical innovation and inquiry, including the value of knowledge production outside of the academy. PDF version of this TalkSo what is, or should be, according to you, the biggest challenge, or principal debate in critical social sciences and history?Right now, despite thinking about it, I don't have an answer to that question. Had you asked me five years ago, I would have said, without hesitation, Eurocentrism. There's a line in Chakrabarty's Provincializing Europe where he remarks that Europe has already been provincialized by history, but we still needed to provincialize it intellectually in the social sciences. Both sides of this equation have intensified in recent years. Amid a pandemic, in the wreckage of neoliberalism, in the wake of financial crisis, the defeats in Iraq and Afghanistan, the events of the Trump Presidency, and the return of the far right, the West feels fundamentally reduced in stature. The academy, meanwhile, has moved on from the postcolonial to the decolonial with its focus on alternative epistemologies, about which I am more ambivalent intellectually and politically. Western states and societies are powerful and rich, their freedoms attractive, and most of them will rebound. But what does it mean for the social sciences and other Western intellectual traditions which trace their heritage to the European Enlightenments that the West may no longer be 'the West', no longer the metropole of a global order more or less controlled by its leading states? What kind of implications does the disassembling of the West in world history have for social and political inquiry? I don't have an answer to that. Speaking more specifically about IR, we are dealing now with conservative appropriations of Eurocentrism, with the rise of other civilizational IRs (Chinese, European, Indian). These kinds of moves, like the decolonial one, foreground ultimately incommensurable systems of knowing and valuing, at best, and at worst are Eurocentrism with the signs reversed, usually to China. I do not think what we should be doing right now in the academy is having Chinese social sciences, Islamic social sciences, Indian social sciences, and so on. But that's definitely one way in which the collapse of the West is playing out intellectually. How did you arrive at where you currently are in your thinking about International Relations?By the time you get to my age you have a lot of debt, mostly to students, to old teachers and supervisors, and to colleagues and friends. University scholars tend not to have very exciting lives, so I don't have much to offer in the way of events. But I can give you an experience that I do keep revisiting when I reflect on the directions I've taken and the things I've been interested in. When I was in high school, I took a university course taught by Daniel Ellsberg, of the Pentagon Papers. As many will know, before he became involved in the Vietnam War, and later in opposing it, he worked on game theory and nuclear strategy. I grew up in Southern California, in Orange County, and there was a program that let you take courses at the University of California, Irvine. I took one on the history of the Roman Empire and then a pair of courses on nuclear weapons that culminated with one taught by Ellsberg himself. I actually had no idea who he was but the topic interested me. Nuclear war was in the air in the early 1980s. Activist graduate students taught the preparatory course. They were good teachers and I learned all about the history and politics of nuclear weapons. But I also came to realize that these teachers were trying to shape (what I would now call) my political subjectivity. Sometimes they were ham handed, like the old ball bearings in the tin can trick: turn the lights out in the room, and put one ball bearing in the can for each nuclear warhead in the world, in 1945 this many; in 1955 this many; and so on. In retrospect, that's where I got hooked on the idea of graduate school. I was aware that Ellsberg was regarded as an important personage. He taught in a large lecture hall. At every session, a kind of loyal corps of new and old activists turned out, many in some version of '60s attire. The father of a high school friend was desperate to get Ellsberg's autograph, and sent his son along with me to the lecture one night to get it. It was political instruction of the first order to figure out that this suburban dad had been a physics PhD at Berkley in the late '60s and early '70s, demonstrating against the Vietnam War. But now he worked for a major aerospace defense contractor. He had a hot tub in his backyard. Meanwhile, Ellsberg cancelled class one week because he'd been arrested demonstrating at a major arms fair in Los Angeles. "We stopped the arms race for a few hours," he told the class after. I schooled myself on who Ellsberg was and Vietnam, the Cold War, and much else came into view. Meanwhile, he gave a master class in nuclear weapons and foreign policy, cheekily naming his course after Kissinger's book, I later came to appreciate. I learned about RAND, the utility of madness for making nuclear threats, and how close we'd come to nuclear war since 1945. My high school had actually been built to double as a fallout shelter, at a time when civil defense was taken seriously as an aspect of a credible threat of second strike. It was low slung, stoutly built, with high iron fences that could be closed to create a cantonment. We were not far from Seal Beach Naval Weapons Station and a range of other likely targets. All of this sank in as I progressed in these courses. Then one day at a strip mall bookstore, I discovered Noam Chomsky's US foreign policy books and never looked back. At Cambridge, I caught the tail end of the old Centre of International Studies, originally started by an intelligence historian and explicitly multi-disciplinary. It had, in my time, historians, lawyers, area studies, development studies, political theory and history of thought, and IR scholars and political scientists. Boundaries certainly existed out there in the disciplines. But there weren't substantial institutional obstacles to thinking across them, while interdisciplinary environments gave you lots of local resources (i.e. colleagues and students) for thinking and reading creatively. What would a student need to become a kind of specialist in your kind of area or field or to understand the world in a global way? Lots of history, especially other peoples' histories; to experience what it's like to see the world from a different place than where you grew up, so that the foreign is not an abstraction to you. I think another route that can create very interesting scholars is to have a practitioner career first, in development, the military, a diplomatic corps, NGOs, whatever. Even only five years doing something like that not only teaches people how the world works, it is intellectually fecund, creative. People just out of operational posts are often full of ideas, and can access interesting resources for research, like professional networks. How, in your view, should IR responding to the shifting geopolitical landscape? The fate I think we want to avoid is carrying on with what Stanley Hoffmann called the "American social science": the IR invented out of imperial crisis and world war by Anglo-American officials, foundations and thinkers. Very broadly speaking, and with variations, this was a new world combination of realism and positivism. This discipline was intended as the intellectual counterpart to the American-centered world order, designed, among other things, to disappear the question of race in the century of the global color line. The way it conceived the national/international world obscured how US world power worked in practice. That power operated in and through formally sovereign, independent states—an empire by invitation, in the somewhat rosy view of Geir Lundestad—trialed in Latin America and well suited to a decolonizing world. It was an anti-colonial imperium. Political science divided up this world between IR and comparative politics. This kind of IR is cortically connected to the American-centered world fading away before our eyes. It is a kind of zombie discipline where we teach students about world politics as if we were still sitting with the great power peacemakers of 1919 and 1944-45. It is still studying how to make states cooperate under a hegemon or how to make credible deterrence threats in various circumstances. Interestingly, I think one of the ways the collapse of US power is shaping the discipline was identified by Walt and Mearsheimer in their 2013 article on the decline of theory in IR. In the US especially but not only, IR is increasingly indistinguishable from political science as a universal positivist enterprise mostly interested in applying highly evolved, quantitative or experimental approaches to more or less minor questions. Go too far down this road and IR disappears as a distinct disciplinary space, it becomes just a subject matter, a site of empiricist inquiry. Instead, the best work in IR mostly occurs on the edges of the discipline. IR often serves as cover for diverse and interdisciplinary work on transboundary relations. Those relations fall outside the core objects of analysis of the main social science and humanities disciplines but are IR's distinctive focus. The mainstream, inter-paradigm discipline, for me, has never been a convincing social science of the international and is not something I teach or think much about these days. But the classical inheritances of the discipline help IR retain significant historical, philosophical and normative dimensions. Add in a pluralist disposition towards methodology, and IR can be a unique intellectual space capable of producing scholars and scholarship that operate across disciplines. The new materialism, or political ecology, is one area in which this is really happening right now. IR is also a receptive home for debating the questions thrown up by the decolonial turn. These are two big themes in contemporary intellectual life, in and beyond the academy. IR potentially offers distinct perspectives on them which can push debates forward in unexpected ways, in part because we retain a focus on the political and the state, which too easily drop out of sight in global turns in other disciplines. In exchange, topics like the new materialism and the decolonial offer IR the chance to connect with world politics in these new times, after the American century. In my view, and it is not one that I think is widely shared, IR should become the "studies" discipline that centers on the transboundary. How do we re-imagine IR as the interdisciplinary site for the study of transboundary relations as a distinct social and political space? That's a question of general interest in a global world, but one which few traditions of thought are as well-equipped to reflect on and push forward as we are.That's an interesting and forceful critique which also brings us back to a common thread throughout your work: questions of power and knowledge and specifically the relation between power and knowledge in IR and social science. I'm interested in exploring this point further, because so much of your critique has been centered on how profoundly Eurocentric IR is and as a product of Western power. Well, IR's development as a discipline has been closely tied to Western state power. It would seem that it has to change, given the shifts underway in the world. It's like Wile E. Coyote in the Road Runner cartoons - he's run off the cliff. His legs are still moving, but he hasn't dropped, yet. That said, there's no singularly determinate relation between power and the historical development of intellectual traditions. Who knows what kind of new ideas and re-imagining of IR's concepts we might see? As I say, I think one reflection of these changes is that we're already seeing North American IR start to fade into universal quantitative social science. As Hoffmann observed, part of IR's appeal was that the Americans were running the world, that's why you started a social science concerned with things like bipolarity and deterrence, and with analyzing the foreign policy of a great power and its interests and conflicts around the world. Nowadays the Americans are at a late Roman stage of imperial decline. Thinking from the command posts of US foreign policy doesn't look so attractive or convincing when Emperor Nero is running the show, or something altogether darker is waiting in the wings. IR is supposed to be in command of world politics, analyzing them from on high. But what I've seen over the course of my education and career is the way world politics commands IR. The end of the Cold War torpedoed many careers and projects; the 1990s created corps of scholars concerned with development, civil war and humanitarian intervention; in the 2000s, we produced terrorism experts (and critical terrorism studies) and counterinsurgency specialists and critics, along with many scholars concerned in one way or another with Islam. What I have always found fascinating, and deeply indicative, about IR is the relative absence until relatively recently of serious inquiry into power/knowledge relations or the sociology of knowledge. In 1998 when Ole Waever goes to look at some of these questions, he notes how little there was to work from then, before Oren, Vitalis, Guilhot and others published. It's an astounding observation. In area studies, in anthropology, in the history of science, in development studies, in all of these areas of inquiry so closely entangled with imperial and state power, there are long-running, well developed traditions of inquiry into power/knowledge relations. It's a well-recognized area of inquiry, not some fringe activity, and it's heavily empirical, primary sourced based, as well as interesting conceptually. In recent decades you've seen really significant work come out about the role of the Second World War in the development of game theory, and its continuing entwinement with the nuclear contest of the Cold War. I'm thinking here of S.M. Amadae, Paul Erickson, and Philip Mirowski among others. The knowledge forms the American social science used to study world politics were part and parcel of world politics, they were internal to histories of geopolitics rather than in command of them. Of course, for a social science that models itself on natural science, with methodologies that produce so-called objective knowledge, the idea that scientific knowledge itself is historical and power-ridden, well, you can't really make sense of that. You'd be put in the incoherent position of studying it objectively, as it were, with the same tools. IR arises from the terminal crisis of the British Empire; its political presuppositions and much else were fundamentally shaped by the worldwide anti-communist project of the US Cold War state; and it removed race as a term of inquiry into world politics during the century of the global color line. All this, and but for Hoffmann's essay, IR has no tradition of power/knowledge inquiry into its own house until recently? It's not credible intellectually. Anthropologists should be brought in to teach us how to do this kind of thing. You've been at the forefront of the notion of historical IR, and in investigating the relationship between history and theory – why is history important for IR?Well, I think I'd start with the question of what do we mean when we say history? For mainstream social science, it means facts in the past against which to test theories and explanations. For critical IR scholars, it usually means historicism, as that term is understood in social theory: social phenomena are historical, shaped by time and place. Class, state, race, nation, empire, war, these are all different in different contexts. While I think this is a very significant insight and one that I agree with, on its own it tends to imply that historical knowledge is available, that it can be found by reading historians. In fact, for both empiricism and historicism there is a presumption that you can pretty reliably find out what happened in the past. For me, this ignores a second kind of historicism, the historicism of history writing itself, the historiographical. The questions historians ask, how they inquire into them, the particular archives they use, the ways in which they construct meaning and significance in their narratives, the questions they don't ask, that about which they are silent, all of these, shape history writing, the history that we know about. The upshot is that the past is not stable; it keeps changing as these two meanings of historicism intertwine. We understand the Haitian revolution now, or the indigenous peoples of the Americas, entirely differently than we did just a few decades ago.That raises another twist to this problem. Many IR scholars access history through reading historians or through synthetic accounts; they encounter history by and large through secondary sources. One consequence is that they are often a generation or more behind university historians. Think of how Gaddis, for instance, remains a go to authority on the history of the Cold War in IR. In other disciplines, from the 1980s on, there was a historical turn that took scholars into the archives. Anthropologists and literary scholars used historians' tools to answers their own questions. The result was not just a bunch of history books, but entirely new readings of core questions. The classic example is the historical Shakespeare that Stephen Greenblatt found in the archives, rather than the one whose texts had been read by generations of students in English departments. My point here is that working in archives was conceptually, theoretically significant for these disciplines and the subjects they studied. For example, historical anthropology has given us new perspectives on imperialism. While there is some archival work in IR of course, especially in disciplinary history, it is not central to disciplinary debates and the purpose is usually theory testing in which the past appears as merely a bag of facts. In sum, when I say history and theory, I don't just mean thinking historically. I mean actually doing history, being an historian—which means archives—and in so doing becoming a better theorist. Could you expand on these points by telling us about your recent work on military history? I think that military history is particularly interesting because it is a site where war is reproduced and shaped. Military history participates in that which it purports only to study. Popular military histories shape the identities of publics. Staff college versions are about learning lessons and fighting war better the next time. People who grow up wanting to be soldiers often read about them in history books. So our historical knowledge of war, and war as a social and historical process, are wrapped up together. I hope some sense of the promise of power/knowledge studies for larger questions comes through here. I'm saying that part of what war is as a social phenomenon is history writing about it. It's in this kind of context that the fact that a great deal of military history is actually written by veterans, often of the very campaigns of which they write, becomes interesting. Battle produces its own historians. This is a tradition that goes back to European antiquity, soldiers and commanders returning to write histories, the histories, of the wars they fought in. So this question of veterans' history writing is in constitutive relations with warfare, and with the West and its nations and armies. My shorthand for the particular area of this I want to look into is what I call "White men's military histories". That is, Western military history in the modern era is racialized, not just about enemies but about the White identities constructed in and through it. And I want to look at the way this is done in campaigns against racialized others, particularly situations where defeats and reverses were inflicted on the Westerners. How were such events and experiences made sense of historically? How were they mediated in and through military history? I think defeats are particularly productive, incitements to discourse and sense making. To think about these questions, I want to look at the place of veterans in the production of military histories, as authors, sources, communities of interpretation. My sandbox is the tumultuous first year of the Korean War, where US forces suffered publically-evident reverses and risked being pushed into the sea. In a variety of ways, veterans shape military history, through their questions, their grievances, their struggles over reputation, their memories. This happens at many different sites and scales, including official and popular histories, and the networks of veterans behind them as well as other, independently published works. Over the course of veterans' lives, their war throws up questions and issues that become the subject of sometimes dueling and contradictory accounts. Through their history writing, they connect their war experience to Western traditions of battle historiography. They make their war speak to other wars. This is what military history is, and how it can come to produce and reproduce practices of war-making, at least in Anglo-American context. Of course, much of this history writing, like narrations of experience generally, reflects dominant ideologies, in this case discourses of the US Cold War in Asia. But counter-historians are also to be found among soldiers. The shocks and tragic absurdities of any given war produce research questions of their own. At risk of mixing metaphors, the veterans know where the skeletons are buried. They bear resentments and grievances about how their war was conducted that become research topics, and they often have the networks and wherewithal to produce informed and systematic accounts. So as well as reproducing hegemonic discourses, soldier historians are also interesting as a new critical resource for understanding war.This shouldn't be that surprising. In other areas of inquiry, amateur and practitioner scholars have often been a source of critical innovation. LGBTQ history starts outside the academy, among activists who turned their apartments into archives. Much of what we now call postcolonial scholarship also began outside the academy, among colonized intellectuals involved in anti-imperial struggles. Let me close this off by going back to the archive. There are really rich sources for this kind of project. Military historians of all kinds leave behind papers full of their research materials and correspondence. The commanders and others they wrote about often waged extended epistolary campaigns concerned with correcting and shaping the historical record. But more than this, by situating archival sources alongside what later became researched and published histories, what drops out and what goes in to military history comes into view. What is silenced, and what is given voice? We can then see how the violent and forlorn episodes of war are turned into narrated events with military meaning. What is the process by which war experience becomes military history?Given the interdisciplinary nature of your work, what field you place yourself in? And are there any problems have you encountered when writing and thinking across scholarly boundaries?In my head I live in a kind of idealized interdisciplinary war studies, and my field is the intersection of war and empire. Sort of Michael Howard meets Critical Theory and Frantz Fanon. This has given me a particular voice in critical IR broadly conceived, and a distinctive place from which to engage the discipline. The mostly UK departments I've been in have been broadly hospitable places in practice for interdisciplinary scholarship and teaching, so long as you published rather than perished. Of course, interdisciplinary is a complicated word. It is one thing to be multi-disciplinary, to publish in the core journals of more than one discipline and to be recognized and read by scholars in more than one discipline. But work that falls between disciplinary centers, which takes up questions and offers answers recognized centrally by no discipline, that's something harder to deal with. I thought after Soldiers of Empire won prizes in two disciplines that I'd have an easier time getting funding for the project I described earlier in the interview. But I've gotten nowhere, despite years of applications to a variety of US, UK, and European funders. Of course, this may be because it is a bad project! My point, though, is that disciplines necessarily, and even rightly, privilege work that speaks to central questions; that's the work that naturally takes on significance in disciplinary contexts, as in many grant or scholarship panels. I think another point here is the nature of the times. Understandably, no one is particularly interested right now in White men's military histories. What I think has really empowered disciplines during my time in the UK academy has been the intersection with audit culture and university management. Repeated waves of rationalization have washed over the UK academy, which have emphasized discipline as a unit of measurement and management even as departments themselves were often "schoolified" into more or less odd combinations of disciplines. Schoolification helped to break down old solidarities and identities, while audit culture needed something on which to base its measures. The great victory of neoliberalism over the academy is evident in the way it is just accepted now that performance has to be assessed by various public criteria. This is where top disciplinary journals enter the picture, as unquestionable (and quantifiable) indicators of excellence. Interdisciplinary journals don't have the same recognition, constituency, or obvious significance. To put it in IR terms, Environment and Planning D or Comparative Studies in Society and History, to take two top journals that interdisciplinary IR types publish in, will never have the same weight as, say, ISQ or APSR. That that seems natural is an indicator of change—when I started, RIS—traditionally welcoming of interdisciplinary scholarship—was seen as just as good a place to publish as any US journal. Now RIS is perceived as merely a "national" journal while ISQ and APSR are "international" or world-class. This kind of thing has consequences for careers and the make-up of departments. What I'm drawing attention to is not so much an intellectual or academic debate; scholars always disagree on what good scholarship is, which is how it is supposed to be. It is rather the combination of discipline with the suffocating culture of petty management that pervades so much of British life. Get your disciplinary and epistemological politics institutionalized in an audit culture environment, and you can really expand. For example, the professionalization of methods training in the UK has worked as a kind of Trojan Horse for quantitative and positivist approaches within disciplines. In IR, in the potted geographic lingo we use, that has meant more US style work. Disappearing is the idea of IR as an "inter-discipline," where departments have multi-disciplinary identities like I described above. The US idea that IR is part of political science is much more the common sense now than it was in the UK. Another dimension of the eclipse of interdisciplinary IR has been the rise of quantitative European political science, boosted by large, multiyear grants from the ERC and national research councils. It's pretty crazy, strategically speaking, for the UK to establish a civilizational scale where you're always behind the US or its European counterparts. You'll never do North American IR as well as the North Americans do, especially given the disparity in resources. You'll always be trending second or third tier. The British do like to beat themselves up. Meanwhile, making US political science journals the practical standard for "international excellence" threatens to make the environment toxic for the very scholarship that has made British IR distinctive and attractive globally. The upshot of that will be another wave of émigré scholars, which the British academy's crises and reform initiatives produce from time to time. Think of the generation of UK IR scholars who decamped to Australia, an academy poised to prosper in the post-covid world (if the government there can get its vaccination program on track) and a major site right now of really innovative IR scholarship. To return to what you mentioned earlier regarding the hesitancy to go to the archives, this is also mirrored in a hesitancy to do serious ethnography, I think as well. Or there's this "doing ethnography" that involves a three-day field trip. This kind of sweet-shop 'pick and mix' has come to characterize some methodologies, because of these constraints that you highlight…A lot of what I'm talking about has happened within universities, it's not externally imposed or a direct consequence of the various government-run assessment exercises. Academics, eagerly assisted by university managers, have done a lot of this to themselves and their students. The implications can be far reaching for the kind of scholarship that departments foster, from PhDs on up. More and more of the UK PhD is taken up with research methods courses, largely oriented around positivism even if they have critical components. Already this gives a directionality to ideas. The advantage of the traditional UK PhD—working on your own with a supervisor to produce a piece of research—has been intellectual freedom, even when the supervisor wasn't doing their job properly. It's not great, but the possibility for creative, innovative, even field changing scholarship was retained. PhD students weren't disciplined, so to speak. What happens now is that PhD students are subject to a very strict four year deadline, often only partially funded, their universities caring mainly about timely completion not placement and preparation for a scholarly career, a classic case of the measurement displacing the substantive value. The formal coursework they get is methods driven. You can supervise interdisciplinary PhD research in this kind of environment, but it's not easy and poses real risks and creates myriad obstacles for the student. A strange consequence of this, as many of my master's students will tell you, is that I often advise them to consider US PhDs, just in other disciplines. That way, they get the benefit of rigorous PhD level coursework beyond methods. They can do so in disciplines like history or anthropology that are currently receptive both to the critical and the transnational/transboundary. That is not a great outcome for UK IR, even if it may be for critically-minded students. Outside of a very few institutions and scattered individuals, US political science, of course, has largely cleansed itself of the critical and alternative approaches that had started to flower in the glasnost era of the 1990s. That is not something we should be seeking to emulate in the UK.So yes, there's much to say here, about how the four year PhD has materially shaped scholarship in the UK. There is generally very little funding for field work. Universities worried about liability have put all kinds of obstacles in the way of students trying to get to field work sites. Requirements like insisting that students be in residence for their fourth year in order to write up and submit on time further limit the possibilities for field work. The upshot is to make the PhD dissertation more a library exercise or to favor the kind of quantitative, data science work that fits more easily into these time constraints and structures. Again, quite obviously, power sculpts knowledge. It becomes simply impossible, within the PhD, to do the kinds of things associated with serious qualitative scholarship, like learn languages, spend long time periods in field sites and to visit them more than once, to develop real networks there. Over time this shapes the academy, often in unintended ways. I think this is one of the reasons that IR in the UK has been so theoretic in character—what else can people do but read books, think and write in this kind of environment? As I say, the other kind of thing they can do is quantitative work, which takes us right back to the fate Walt and Mearsheimer sensed befalling IR as political science. Watch for IR and Data Science joint degrees as the next step in this evolution. Political Science in the US starts teaching methods at the freshman level. They get them young. We have discussed the rather grim state of affairs for the future of critical social science scholarship, at least in the UK and US. To conclude – what prospects for hope in the future are there?Well, if I had a public relations consultant pack, this is the point at which it would advise talking about children and the power of science to save us. I think the environment for universities, political, financial, and otherwise may get considerably more difficult. Little is untouchable in Western public life right now, it is only a question of when and in what ways they will come for us. The nationalist and far-right turns in Western politics feed off transgressing boundaries. There's no reason to suspect universities will be immune from this, and they haven't been. In the UK, as a consequence of Brexit, we are having to nationalise, and de-European-ise our scholarships and admissions processes. We are administratively enacting the surrender of cosmopolitan achievements in world politics and in academic life. This is not a plot but in no small measure the outcome of democratic will, registered in the large majority Boris Johnson's Conservatives won at the last general election. It will have far reaching consequences for UK university life. This is all pretty scary if you think, as I do, that we are nearer the beginning then the end of the rise of the right. Covid will supercharge some of these processes of de-globalization. I can already see an unholy alliance forming of university managers and introvert academics who will want to keep in place various dimensions of the online academic life that has taken shape since spring 2020. Often this will be justified by reference to environmental concerns and by the increased, if degraded, access that online events make possible. We are going to have a serious fight on our hands to retain our travel budgets at anywhere near pre-pandemic levels. I'm hoping that this generation of students, subjected to online education, will become warriors for in-person teaching. All of this said, it's hard to imagine a more interesting time to be teaching, thinking and writing about world politics. Politics quite evidently retains its capacity to turn the world upside down. Had you told US citizens where they would be on January 6th, 2021 in 2016, they would have called you alarmist if not outlandish. I think we're in for more moments like that. Tarak Barkawi is a professor of International Relations at LSE. He uses interdisciplinary approaches to imperial and military archives to re-imagine relations between war, armed forces and society in modern times. He has written on the pivotal place of armed force in globalization, imperialism, and modernization, and on the neglected significance of war in social and political theory and in histories of empire. His most recent book, Soldiers of Empire, examined the multicultural armies of British Asia in the Second World War, reconceiving Indian and British soldiers in cosmopolitan rather than national terms. Currently, he is working on the Korean War and the American experience of military defeat at the hands of those regarded as racially inferior. This new project explores soldiers' history writing as a site for war's constitutive presence in society and politics.PDF version of this Talk
Transcript of an oral history interview with General Gordon R. Sullivan, conducted by Sarah Yahm at the Sullivan Museum and History Center on 23 April 2015, as part of the Norwich Voices oral history project. Gordon Sullivan was a member of the Norwich University Class of 1959. After graduating from Norwich University, he served in a variety of Army command and staff assignments in the United States, Germany, Korea and Vietnam. He became Chief of Staff of the U. S. Army on 21 June 1991. The Sullivan Museum and History Center at Norwich University was named in his honor. Topics of interest within the oral history include General Sullivan's Army career as well as his legacy, philosophy, and activities after his retirement from the U.S. Army. ; 1 Gordon Sullivan, NU 1959, Oral History Interview April 23, 2015 Interviewed by Sarah Yahm GORDON SULLIVAN: I have often talked -- I talk a lot to troops and groups and so forth and so on and I'm very quick to tell them that I have been in and around the United States Army since 1955 in one form or another, either as a cadet at Norwich when I took my oath in the summer -- late summer of 1955 -- and obviously as a commissioned officer in the United States Army since 1959, 1995. Then, in my retired life, other than a two-year period when I was doing something in the commercial sector which I frankly didn't -- it wasn't for me. I knew it wasn't for me. I did okay at it but I didn't want to continue doing it. The job was open as the president of the Association of the United States Army, which is the Army's professional association, designed to tell the story of land power and the story of the Army and to do whatever we could to help soldiers and their families. So, in reality, I've spent my adult life in or around the United States Army. Since I retired, in addition to the association and the United States Army, I've done a couple of things which, to me, fit with the way I wanted to live my life. One was to create with three other retired officers an organization known as the Marshall Legacy Institute, Marshall being General George C. Marshall, former Secretary of State who, in 1948, created the Marshall Plan; he and others who worked for him. The essential nature of the Marshall Plan was to help war-torn nations recover in a collaborative way, not in a Big Brother way where we went in and did all the work and they stood by and watched us. It was where we collaborated with them and enabled them to help themselves. So, by happenstance, I was asked, since I had been the chief of staff of the Army to help commemorate the fiftieth anniversary of the creation of the Marshall Plan. I found out that what they wanted was celebratory activities; a cocktail party and so forth and so on, which didn't interest me. So, I found some kindred spirits and we created the Marshall Legacy Institute, which has been around since 1997, and we have over 200 mine detection dogs out around the world. We have raised the money. The State Department has supported us, and these dogs are in some of the worst places in the world, enabling others to take landmines, a silent killer, out of the ground, and to provide safe living and a way of being; food, commerce, and so forth in war-torn countries such as in the Balkans, in Afghanistan, Iraq, African countries like Angola, one of the most mine-infested countries in the world, Cambodia, Sri Lanka, so forth and so on. We have -- those dogs have cleared, along with their indigenous handlers, millions and millions of square you-name-it -- square kilometers or yards or whatever, whatever metric you want, ground for people to live safely. I view that as sort of right up along with everything else I did when I was in uniform. It's the same kind of a business, making the world safe for others to live, save lives, not take lives, save lives. As a part of -- for some reason, let's put it this way. Sometimes in life, things happen that you really don't -- you didn't expect and so forth. I was asked to be a part of a study group in 2006. The study group was on -- conducted by CNA. That's otherwise known in a previous life as the Center for Naval Analysis. Well, I'm an Army general and it was kind of odd to be asked to do something 2 with the CNA but I was asked to do it and I did. It seemed like a good idea at the time. It was to look at the national security implications of global climate change. Well, the implications of global climate change, no matter how you feel about it, the trends of anything related to climate are going in the wrong direction; not the specifics. If you argue point data, there is always someone who has better data or different data. So, that becomes very contentious. All right, I think it was twelve retired admirals and generals were on this study group and by some fluke, I guess, I became the chairman of this group. We published a study in '07 which said that climate change is a national security threat or presents a national security threat to the United States of America. Failed and failing states, whether they failed because of drought or political reasons or why they failed, become like a Petri dish within which extremist groups grow, and that goes from Somalia to the Sudan and you name it; Syria and so forth. Syria was later but the ones we were dealing with at the time were mainly in the Middle East and Africa and we could see it. So, we published that study and it got some attention. Actually, we, within reason, steered away from the maelstrom of political stuff because we were the least likely people to say it. All of us were mostly operators. Now, we had one astronaut, a naval officer, and one of them was a nuclear -- you know, you would expect the Navy because of the nuclear-powered submarines and ships and so forth. So, they were scientists, really, and they had access to data and they knew about the phenomenon. But, the rest of us were either fighter pilots or I'm a ground combat guy or Marine -- Marines; you know, just people with a lot of experience in international stuff and defense and security. So, anyway, that study was replicated in '14 and said, "Well, this is what we said in '07. It's worse." Things got worse, and that's what we said; that not only was it bad then, but it's worse today. Obviously, we had Syria and various other garden spots on the table; Syria, Libya, on and on and on. Arab Spring was caused, in many places, since -- Arab Spring, what became known as Arab Spring, was caused by drought or one of the causes was drought in Russia, which -- and the Russians stopped exporting wheat because they had to -- they had a shortage of wheat so they stopped exporting it. That caused ripples throughout North Africa and Mesopotamia, specifically, Syria. SARAH YAHM: So, I have a couple questions for you, and I do want to -- you know, I feel like we're talking now for a little bit and I do want to sit down when I have more time to prepare and really give a couple hours. GS: I want you to do that. What I'm telling you is I put it all together and my time here at Norwich here as the chairman and it's all a piece. SY: Well, that's what I sense is that you felt this urgency to come in today. GS: I want you to know that in case -- I'm now 77, almost 78. I want to take advantage of you being here, me meeting you, so that you know how I really feel about it. SY: So, yeah, so you feel this urgency about your legacy. So, what -- so, you're telling me something now that it seems like you're afraid isn't in the historical record or won't be in the historical record. GS: It's not. SY: So, is it the idea that this global warming work, this landmine work, that is all part and parcel -- GS: That's all a part and parcel of how I view my life.3 SY: OK, and so you see this linear thread that goes through your life. GS: Yes. SY: So, if you were to articulate the values of that linear thread, how would you articulate it? GS: I think -- I don't know it. I think that when I sit here today, this morning I was talking about -- I was introducing these 200 things that you don't know about Norwich, and I said to myself, well, there's a lot I don't know about Norwich but I know about myself. I don't think I'm unique, by the way, in the history of Norwich. I think I'm just one of the people who went here. So, you have this museum which, you know, is -- I find this hard to say, but, okay, there's this museum here, and you've got some of my stuff. It doesn't -- it's hard -- yeah, how do -- what do I think? How do -- there's some stuff out there. There's nobody but me who could tell you why I think some of those artifacts tell the story. SY: No, you need to interpret the story of your life. GS: Yeah, I need to interpret it. SY: You need to interpret it. GS: It's me. I don't think -- SY: Absolutely. GS: I don't think -- I can go to things out there. I can show you one panel that shows me as a young man struggling to figure out who I am and Norwich, my buddies, this institution enabled me to mature and they didn't throw me out, because I was, struggling. I don't mean that in a -- I was struggling to figure out how I would fit in the world, and I don't think I'm unique and Norwich helped me do that. Okay? SY: Absolutely. GS: So, on the same panel, it goes from me being, you know, this guy I was who was whatever. I'm not apologizing for any of it because I don't have anything to apologize for. But, I can tell you it went from somebody who was immature to the chief of staff of the Army with the woman I was married to for 49 years standing beside me when I became the chief of staff in the Army. I will tell you, I'd do it all the same way and marry the same woman. SY: I think your vulnerability matters, and I think that's something that needs to go in the record, too -- the confusion of being a 20-year old, right? GS: Yeah, the confusion of being a 20-year old and now 70 -- in my late seventies. I'm reasonably healthy but I know my own -- I mean, I'm human. I've figured it out obviously since my wife essentially died, you know. I mean, well, she did die. I'm also struggling. I'm not struggling with it. I think I've accommodated. I understand it all but I know, okay, that's the way it is, and I want you to know it. SY: Yeah, and you're evaluating. You're in a moment in your life of evaluation, right? GS: Yeah, right. What did I do? What did I do with my life? SY: Yeah, and that has to be richer than a list of accomplishments, right? GS: It's not the accomplishments. It's what do you -- how does it fit? I think I am occupying a very large part of the space there, and there are many people like me and I know that, and they should be here, too. SY: Yeah, and we're actually -- I mean, we are collecting their voices, but maybe the key is to figure out how you're representative of a moment.4 GS: Yeah, whatever. You're the expert. I'm just here, and I don't think for one minute -- I have a hard time telling people. I talk about this as 'the museum.' SY: Not the 'Sullivan Museum.' GS: No, no, I don't say that. I have never said it. SY: So, we'll sit down and we'll talk and we'll have you curate the story of your life, you know, and that will help enrich our museum. I also think -- I mean, you oversaw a messy century, you know. The second half of the 20th century was a messy century, right? GS: Well, yeah, here's the cycle, though. I just came back from Germany. I was in the headquarters of the United States Army Europe. I went to Europe for the first time in 1965, 50 years ago, when the Soviet Union, the Warsaw Pact, was right up against the border. I went up into a part of Germany. I was about 40 miles from the inner German border in a tank battalion. I later commanded a tank brigade -- an armored brigade -- in the same division, the largest brigade in the US Army at the time; five maneuver battalions, three tank battalions, two mechanized infantry battalions, about 5000 men and women. There were some women. The Cold War -- so the Cold War is over. I go 50 years later. Twenty years ago, Russia was sort of off the screen militarily. So, I'm sitting in the room and I look out at this expanse of Europe and in Eastern Ukraine, there's this major penetration, this major red thrust. What goes around comes around. In my life, I have gone from an officer who spent twelve and a half years in Germany during the Cold War, became the chief of staff in the Army. I saw the Wall come down and now this, where the Russians are back moving again. I mean, it's -- what goes around comes around, and I'm seeing the nation-state, the concept of nation-states being questioned. Will the Middle East unravel so that it's just tribes? This is -- I mean, this has been in my lifetime, and I've been a part of it, in a sense. SY: No, in a very concrete sense. Does it lead you to despair? Does it lead you to -- GS: No, it doesn't lead me to despair. It leads me to understand that the cycles of history have a way of repeating themselves and it's the human interaction. That's missteps. Did we handle it right? Did we appreciate how -- well, how Russia would perceive what happened when the Cold War ended. How would the Russian people perceive it? Clearly, as an amateur looking at it, people say, "Well, Russia needs --." Russia has needs like any country, and they have always wanted to have the near abroad as a buffer. So, let's say that's real. Let's say that's true for the sake of argument. Then, now we have a nationalist. That's what he is. Putin is a nationalist and he has turned the switch. They sign up politically. They sign up. SY: Yeah, they always do. GS: They always do. They always have, and they are again, and here it is. So, look, that doesn't -- I don't think I'm the first Norwich grad to figure that out. I don't -- I wouldn't -- but it's been a part of my life, and I am what I am. What I am, for better or worse, is a soldier. I'm just a soldier that's retired. SY: Yeah. Could you talk a little about the connection -- so, you know, most of your life was concrete soldiering, right? GS: Yes, real soldiering. SY: Real soldiering. Now, you're talking about specifically this landmine work. How do you see the two as connected, because in one part of your life, you were in charge of --5 GS: Putting landmines in the ground. SY: Yes. GS: Right, and I wasn't -- I am a defender of that because it protects soldiers and so forth and so on because they do protect soldiers. It's one of these strange weapons. They protect soldiers and they kill soldiers. OK, so, in 1997, when I and three combat arms colonels -- retired colonels -- created this thing, this entity, we wanted to do something to help others and it was the mines. Get the mines out of the ground. Everybody was talking mines are bad but they were talking about it. Mines are bad, right? Got it. What are you going to do about it? We wanted to do something about it. It wasn't to philosophize. It was to take them out of the ground, help other people take them out of the ground; like to make things -- make something happen, action-oriented. That's more important to me than all the great ideas of the world. Yeah, global hunger -- I've got it. You know, make the world mine-free. Well, okay, if you want to take mines out of the ground, you can. We've actually, along with others -- there are other ways to take mines out of the ground mechanically and that's a lot of what Princess Diana was involved with -- Princess Diana was involved with and now Harry -- Prince -- SY: Yeah, the royal British family, yeah. GS: So, anyway, we -- so that's -- to me, that fits, okay? SY: Yeah, it's not something -- GS: Now, whether anybody else thinks it fits or not, I don't know, but to me it does. SY: But, to you, it doesn't seem like a contradiction to you? GS: It's not a contradiction to me. SY: Could you talk more about that? GS: Why? What? SY: Well, because I'm curious about getting at your sort of philosophy and understanding so that it does seem part and parcel of the same work. GS: It seems part and parcel of the same work because the country says -- I don't know where we are on the treaty, whether -- the chiefs have said, of which I was one; you know, in my former life, I was one of the Joint Chiefs, a member of the Joint Chiefs. We're protecting South Korea. We're partners with the South Koreans -- Republic of Korea -- and the UN protecting South Korea. Part of that defense involves the demilitarized zone, which is heavily mined. At certain points in Afghanistan and Iraq, I would suspect that there are mines which are -- you can turn them on and off. That type of protection is used, not much but it is periodically. It's there. It's available if they want to use them. I don't view that as much of a contradiction. These things are, as I say, you turn them on and you turn them off. You put them back in your rucksack and unless somebody hits one with a round or something, they're not going to detonate. SY: Yeah, they're safer. GS: Safer. SY: They're not going to get women and children 20 years later. GS: No. That's not -- no, that's not going to happen. SY: You know -- GS: So, anyway, I guess I'm a theory to practice guy. Okay, I've got the theory. I've got the concept and, okay, let's do something about it then.6 SY: That's the thread that goes through your life. GS: That's the thread for me. Let's do something about it. So, global climate change -- national security issue. I came up here and talked about that. You have the speech that I gave down here, and I gave another one at the Society of American Military Engineers, which -- a national security issue for the United States of America is -- and an economic issue and a health issue is we're running out of water -- fresh water -- fresh, potable water. Now, the Corps of Engineers, which US Army Corps of Engineers is responsible for a lot of that in some sense. So, I represent -- I'm trying to tell the Army story, right? It's my job -- Association of the United States Army. The Corps of Engineers is a part of it. The Army Medical Department -- just the researchers and medical researchers just discovered a vaccine which prevents Ebola. Walter Reed was an Army officer. So, we -- Lewis and Clark were Army people. SY: Do you remember, you know, the kid you were at Norwich -- the 20-year old kid -- and the world you lived in then? GS: Yes. SY: What do you think he would have thought of this particular world we're in now, of this US, of this globe? GS: Well, there's some that wouldn't have surprised him, given that I was a history major. I was quoted in the Boston Globe in 1989. I was giving a talk in Cambridge, Massachusetts in the Sonesta. I was at a conference. I was a three-star at the time. I was the chief of operations in the United States Army and before I got up to speak -- I was to speak on doctrine, Army doctrine -- I was handed a note that said, "Heads up. The Wall just came down and people are streaming and streaming into Berlin -- West Berlin." The heads-up was that the press was in the room. So, anyway, I gave my -- whatever I was going to say. The first question I was asked was, "The Berlin Wall just opened. What do you think?" I gave an honest answer. SY: What did you think? GS: I said, "I don't know what I don't know." I didn't. I mean, I was -- you know, I was obviously pleased. That was apparent, but in the back of my mind, I didn't -- you couldn't -- I couldn't predict it. SY: You couldn't -- GS: I couldn't then -- I couldn't predict it and I wasn't going to. SY: Your whole life had been a Cold War world. GS: Yes, I understand that, and I couldn't -- I didn't know what it would mean. Well, what it meant was genocide in the Balkans. What it has meant is a lot of things that aren't good. The whole world that we knew is over time coming apart, like the nation-state. Remember what I said earlier here? Will the nation-state, which was created by -- at the end of World War I -- will those boundaries hold in the Middle East? What about the Balkans? What about the Baltic nations? It's all a part. My uncertainty then -- it's all -- it's still playing out. What's the role of the United States of America? I have no idea. SY: What do you think it should be? GS: Well, I think everybody expects the United States of America to be what it has been since the end of World War II, like the United States of America, the leader; in some sense, the leader. I think we're struggling with that. Are we? Do we really want to be the leader? 7 What about a world where the United States is a reluctant leader? What kind of a world is that? I don't know. That's beyond me. All I know is what I know. That, by the way, if you can figure that out, all I know is what I know or what I feel -- SY: Yeah. Did you have any moments when you had -- when you were talking about you feel gut reactions that really helped you out, that steered you in the right direction? GS: A lot of time, a lot of time. I suppose there is some type that you could say this guy is this type of person. I'm pretty good at reading people. I can read -- I think I am, anyway. That may be a conceit of mine, but I think I am, and I can -- I don't -- yeah, sometimes I go by feel. Sometimes, when I'm doing things, which is why I like the give and take in a meeting, why I need to hear, I want to hear from people. I like ideas. I like the dialog because I learn from it. SY: Yeah, we're thinking a lot about this citizen soldier idea, right, which means a lot of different things to different people but to some people it means having the courage to stand up for what you believe in in moments where it's scary. Can you think of moments like that in your life where you pushed back out of your gut and it was scary? GS: Yeah, well, when you go up to Capitol Hill and you tell people things that politically they don't agree with or if the senator comes from a coal-producing state and you're there telling him that, hey, this climate change is serious, and certainly, one of the causes is carbon, hydrocarbons, whatever, in the air, okay, now don't ask me how many parts per million but for some reason, it's warmer in the last 10 years, like 4 or 5 of the years have been the warmest in recorded history. Something is going on which is warming the planet up. Is that a part of it? Perhaps, probably. You know, he's going to come back -- he or she is going to come back at you and say, "Well, you're smoking dope but it's not. It happens all the time, right?" Well, yeah, but you've got a lot of trends that are going in the wrong direction. Okay, but at any rate, yeah, sure, you know. People said, "Well, we need -- the country needs a peace dividend," which is all well and good. Right after the Cold War, the country did need a peace dividend but at some point, you get so small -- the Army gets so small that you wind up fighting wars. You fight two wars and the strength of the Army -- active Army -- was such that you asked too much from too few and you wind up with soldiers who are psychologically damaged because the same men and women went back and forth and back and forth. You think that's popular to say that? I don't care. It's true. SY: Yeah, I mean, right. You spent a lot of time in Capitol Hill, obviously the most partisan place in the country and you served under -- you were chief of staff under a Republican and then a Democrat, right? GS: That's correct. SY: How did you navigate that partisan world? GS: You just -- well, you know, first of all, you don't -- you're not partisan. I'm not partisan. Nobody knows what I am and that's the way I like it. I'm my own person. I'm essentially an independent and I decide. Frankly, many people like me -- I didn't vote when I was a chief of staff and before. I just didn't vote. SY: Talk about that. GS: Well, I think that that's fine. I mean, I didn't vote. I could have voted but I elected not to because I'm nonpartisan. I'm serving the country. Now, I know people would say, 8 "Well, you know, it's your duty to vote." Yeah, but when I -- the more senior I became -- first of all, I was overseas 17 years out of 36. In spite of what everybody says, getting absentee ballots to some of the places I was -- give me a break. It's not going to happen. You know, all the paperwork; who are you? What do you mean? Who? It wasn't worth it. Then, the more senior I became, it just became -- to me, it didn't make any difference. I was not going to be known as a Democrat or a Republican or anything. I didn't want to be known as anything other than as a soldier. But, I understand very clearly. There is a distinction between citizen soldier and soldier citizen. I always felt I was a citizen first. SY: What's that distinction? GS: Well, the distinction to me was that when I was retired that it was not -- I knew -- I always knew that I would leave the Army some day and that I would do something. Well, it just so happens so when it came, it came. I mean, I knew I was so I got a job. It just so happens that the job I ultimately have is related to the Army. SY: When you were here at Norwich and you were struggling just like any kid struggles, what were you struggling with? What were your ambitions? What were your visions? GS: I didn't know. I didn't know. I told somebody last night that, you know, one of my friends -- he's still a close friend of mine; like I talk to him once a week, anyway. He said to me -- I don't know whether I was a junior or a senior, but he said, "Well, what do you want to do?" I said, "Well, maybe," I think I answered him, "Well, maybe, I'll go in the Army," or maybe at that time I was writing a column for the newspaper for -- SY: The Guidon. GS: -- the Guidon. Sully's -- it was called Sully's Scratchings. I said, "Maybe, I'll get into the newspaper business or something, become a columnist or whatever." I mean, that seemed like a good idea at the time, you know. Whether I could have done it or not, I don't know but I thought it. Well, as it turned out, you know, as it turned out, it turned out. I found what I really liked. SY: When was the moment that you realized you had this passion? GS: In summer camp -- ROTC summer camp. SY: What -- GS: Went to Fort Knox. Well, I was very -- I found it very attractive what -- the kind of people I met there, the noncommissioned officers who were teaching the courses. Officers were sort of distant to cadets. It was the NCOs and I found that relationship in keeping with what I had done during the summer, working. I worked construction jobs and so forth and so on. I liked that kind of stuff, being outside and most of them were men who were doing labor and building things and making things. So, I think I found that attractive. SY: It seemed honest to you? GS: Well, it was honest. Yeah, it was an honest way of making a living, you know, but I knew I didn't want to do it for the rest of my life but -- and I liked that relationship. So, anyway, one thing led to another and I became a commissioned officer and I didn't want to stay a reservist because I thought that being a reservist was -- I mean, I didn't have anything against being a reserve officer but it was just I wanted to be a part of the -- in it, committed to being a soldier. Immediately upon becoming a regular Army officer, I was sent to Korea, and that's where I really, really knew that I was -- had chosen correctly.9 SY: Was there a moment when you knew it? GS: Well, I knew it as soon as I got there because it was -- first of all, the country, at that time -- it was in June of 1961. I had been at Fort Hood for a while but that was sort of kind of getting my feet on the ground. It was very, very under-resourced units and there was not -- it was not fulfilling at all. When I arrived in Korea, we were full up. We were up close to the DMZ. It was real soldiering, and that's where I learned how much I liked it. SY: Did you also learn that you were good at it? Was there a moment when you were like, oh, hey, I'm good at this? GS: No. I felt I was -- probably felt at that time I was a good platoon leader and company commander and I had a staff job for a while. Then, I volunteered to go to Vietnam and you can see a picture of me in that passport I gave yesterday. So, I went from Korea to Vietnam. Some people say, "Well, you know, why?" I said, "Because that's what I thought soldiers did." The chief of staff of the Army asked for volunteers and I thought that's what you do. You volunteer to go to war. That's what I was -- a professional soldier. So, I did that for 18 months and then I came back home. I didn't meet my wife. I knew my wife. I had gone to grammar --I'd gone -- I knew her. We grew up in the same town so I knew who she was as a kid. Then, we were in the same junior high school class. You know, like I'd known her forever. I knew her forever. Then, I went to public school, public high school. I blew that. My mother said, "This is not going to work out," so I wound up at what we called then a country day school -- a private school but not a live-in school. Gay was my classmate in summer school because she couldn't do math either and neither could I so I had to take a summer course. SY: Did you need more structure? Is that what happened with you and public school? GS: Yeah, it's probably the same thing. I mean, it was the same thing that you saw here. I had -- I'm the kind of guy that they would say, "Well, he has lots of talent but he doesn't apply himself because he's with his buddies and doing other things while he should be studying or something else." SY: You were like that at Norwich, too? GS: The same thing. It was the same thing. SY: What were you doing? GS: Well, I was working in the mess hall, selling sandwiches at night to make a couple of bucks for my buddy, actually, my buddy who I memorialized a building for him last week. I was a eulogist at his funeral. One of the things that's sort of fallen to me, you know, whatever, it's the sad kind of stuff is being the eulogist at two -- Jack (Dirgins?) who I came up here as a senior in high school when we both decided to come here. I went to high school with him and Norwich with him, and I'm the godfather of one of his children and I buried him. That's -- you know, that's hard duty -- SY: Yeah, it is. GS: -- because they're my buddies. I also -- my wife told me the day she died -- she said -- she gave me instructions. She said, "I want you to speak at my funeral service, not as an army general, as my husband." SY: Those are good instructions. GS: That's different. I said, "Are you sure?" She said, "I'm very sure." SY: What did she mean?10 GS: She meant she didn't want me to give some Army kind of speech. She wanted me to tell them what kind of a person she was. SY: She wanted you to be vulnerable. GS: Yeah, well, sure, sure. SY: It sounds like she was a good counterbalance. GS: She was a great counterbalance and a huge part of my life. SY: Yeah, 49 years? GS: Forty-nine years. One night she told me -- I was -- oh, I had something going on professionally and so forth and she was -- she said, "Look," we were in the kitchen, just the two of us. I think all the kids had gone by then. She said, "Look, I'm going to bed. I'm tired of listening to you, you know, sort of fuming around and stumbling around." She said, "Just remember this -- suck it up. It's a test." That was it. "Suck it up. It's a test," and it was and she was right, and how I handled it was a test and it all worked out. When I woke up the morning of her funeral and I had been through about eight drafts of what I was going to say, I had papers and notes all over the place. I laid in bed and I said to myself, "What would Gay have said?" She would have said, "Suck it up. It's a test." SY: That's beautiful. GS: Life's a test. I don't know whether I passed or not. It's a test. SY: Do you have doubts? GS: I have no doubts. That's false modesty. That's really not me. SY: So, you do think you passed. GS: I passed. (laughter) I passed. SY: All right! GS: OK? SY: OK. GS: I don't want Norwich -- anybody at Norwich University to think I think I failed. SY: Yeah. What are you proudest of? GS: I'm proud to say I'm a Norwich University graduate. I'm proud to say I was an American soldier and I don't care who knows it. SY: Proud of being a good husband? GS: I'm proud of being a good husband, and a good father, and a good grandfather. I'm proud of all of it. Was I as good a father as I could have been? Probably not. SY: Is anyone? GS: I don't know. I'm sure everybody has their doubts about that. Being a parent never ends -- never ends -- and being a grandfather is a joy. SY: Did you have to be away from them a lot? GS: Well, my children, I did, yes. My wife and I actually raised one of our grandchildren and that was the joy, extra joy, in our life. He's now a junior in college and doing pretty good. He's a good boy, thanks to his grandmother and me to some extent. Anyway, so that's what I wanted you to know, okay? SY: OK.11 GS: Now, I could show you some things in there which are more meaningful than others to tell that story but personally, frankly, I don't think that story holds. I don't think that what's in there -- I'm not arguing for any more space. You could probably do less and do the same thing. You've got some stuff. I mean, I can tell stories about almost everything you've got and how it all fits. SY: But, it sounds like, yeah, you have a slightly different narrative, so what -- GS: I have a different narrative than what a historian would pick out. SY: So, what would your narrative be? GS: Well, I think my narrative would be I can take you right in there right now and start -- and show you stuff that supports what I just told you. SY: All right. Do you want me to take the microphone and we can go in there? END OF AUDIO FILE
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Karen Litfin on Gaia Theory, Global Ecovillages, and Embedding IR in the Earth System
This is the third in a series of Talks dedicated to the technopolitics of International Relations, linked to the forthcoming double volume 'The Global Politics of Science and Technology' edited by Maximilian Mayer, Mariana Carpes, and Ruth Knoblich
Many debates in International Relations concern struggles regarding what should be the autonomous limits and focus of the discipline itself. However, increasing environmental and climate concerns challenge the self-contained nature of IR on discrete political phenomena, because what IR considers it's exogenous context is threatening to destabilize the premises of the content of international political practice itself. While such concerns often lead to a securitization and politicization of the environment and climate in IR, some scholars argue we should work towards the exact opposite. In this Talk, Karen Litfin—among others—elaborates on the kind of theory in which IR is embedded in, rather than applied to, natural systems; discusses examples of social arrangements that try to translate that theoretical insight into practice; and engages with questions of secularism and mysticism that irrevocably accompany those efforts.
Print version of this Talk (pdf)
What is, according to you, the biggest challenge / principal debate in current IR? What is your position or answer to this challenge / in this debate?
The fact that we can today truly speak of something of a global economy, the central problem now is to formulate the political institutions that are commensurate to these globalized economic institutions. We have far to go on that project. It also means doing so within the carrying capacity of the earth—that is, politically configuring that global economy in such a way that it doesn't exhaust ecological resources. So I would say that the challenge, in terms of actual politics, is to find those institutions.
The challenge for the discipline of International Relations is to do the necessary thinking to facilitate that institutional transition, but few IR scholars even acknowledge that political institutions must attend to the carrying capacity of the earth. In general, the discipline of International Relations, Political Science and even most of social sciences more generally behave as if there are no natural constraints to our behavior. Yet our freedom to even be able to theorize about the international system is completely dependent upon a vast web of life, other people growing our food, and a whole technological infrastructure that we had nothing to do with creating. International Relations talks a lot about interdependence, but do we really take it seriously?
How did you arrive at where you currently are in IR?
I've always been interested in science and technology. As an undergraduate, I studied physics and astronomy, but I didn't finish those majors because I realized, that if I graduated with those degrees I would most likely be working indirectly or directly for the military. I got politicized and I began to see that the political agenda drives the scientific agenda. This was in the 1970s and it was possible at that time that we were going to have an all-out nuclear war. I did not want to be a part of that.
I began to see that there is a dialectical relationship between science and politics. Because science facilitates the technological changes, which make the basic backdrop for politics, it's very important. For instance, the defense department was funding DARPA, which led—without them fathoming that at the time—to the development of the Internet—now a key site where global politics plays out.
Science also provides metaphors through which we understand politics. I did my Masters thesis on the mechanistic worldview and the devitalization of nature in the 17th century—that is, taking living nature out of our systematic theorizing. While others had written on this, I traced it back to the ancient Greek philosophy. A reductionist and mechanistic worldview underpins a lot of IR theory, as well most of our political institutions. We need to really start questioning that. Another way this plays out is that the notion of the global really had a huge jump when we got the image of Earth fromspace. The idea of Earth Day was really closely aligned to the fact that the image of the earth from space just had come out. Gaia Theory came about because James Lovelock was looking for signs of life on Mars. We were interested in extra-planetary life, but weren't looking at our own system or planet. So basically it turned all that science back on the Earth and said 'Oh my Gosh, we do have this kind of atmosphere that has the telltale science of life in it', which tells us that life is hoping to create the atmosphere. Then to have the human mind to conceptualize that is really huge. The idea that we are the Earth becoming conscious of itself is basically what science is telling us. These monitoring systems are one means by which we have the possibility of becoming conscious of that fact.
In terms of personal trajectory, when I started teaching International Relations back in the early 1990s, I started realizing that petroleum holds the whole thing together, the whole global system was held together by petroleum. (You could also say fossil fuels, but coal and natural gas don't power that much transnationally; it's really the petroleum.) Yet hardly anybody in IR talks seriously about petroleum—or energy or biodiversity or soil or the atmosphere. That's what I mean about getting to the material basis. But having said that, I think how we interact with the material basis is a reflection of our consciousness. So I'm not a material reductionist. Rather, I'm looking for a wholeness that understands our approach to material reality as being a reflection of our consciousness.
So this was why I have become interested in biological metaphors. I still think the leaning edge of human thought is understanding human systems as living systems. From this vantage point, we can begin to reshape our institutions in ways that mimic, sustain, and regenerate living systems. There's a long history of natural law and I don't exactly put myself in that camp, but I think there are ways that we need to understand ourselves as thoroughly embedded in natural systems and then move consciously from that place.
What would a student need to become a specialist in IR or understand the world in a global way?
To my mind, these are very different questions because, at least at many universities, becoming an IR specialist often entails ignoring some fundamental global realities. For one, even though most of humanity lives in so-called developing countries, most IR theory pays attention only to the Global North. Likewise, IR is fairly blind to the fact that the lifestyles of the Global North, if globalized, would require between three and six Earths, depending upon whether you are looking at Europeans or North Americans. Again, there is only one Earth! Fortunately, an important subfield has emerged with IR—global environmental politics—that is helping to rectify the situation.
The question I would prefer to answer is: what would a student need to know in order to understand the most pressing challenges facing the world system? To this, I would advise three things. The first would be to dive deeply into a broad and critical reading of the history of modernity, including the interpenetrating scientific, political, commercial, theological and industrial revolutions that characterize the modern era. The second would be to learn about the primary international institutions (the WTO, World Bank, IMF, EU, UN Security Council, etc.), and ask what is working, what isn't, and why? The third would be to do all of this learning while simultaneously learning to think systemically. Take at least one good course on systems theory; one that specifically offers a strong grounding in living systems, and start making connections. Why, for instance, do 'ecology' and 'economics' share the same root (oikos, Greek for household)? What would it mean to consider the international system as a living system and a subset of the Earth system? If we think this world system that we've created of a globalized economy and rudimentary international law is not a part of a living system, we are living in a big delusion. So to actually understand how living systems function, we need the literature on system theory that of course has been used in biology and ecology, but has also been applied a lot in the business world and organizational development. I think it's making its way into IR.
The world is full of technologies and technological systems (and getting more so each day). Could you elaborate on how this is relevant for IR?
I think that's a huge gap: IR doesn't pay nearly enough attention to technological systems—and when they do, it's generally from an uncritical and mechanical perspective. Even though much of the constructivist critique of liberal institutionalism is that the latter is overly materialistic, it actually isn't as if institutionalists talk about economics as if that were a material reality. Economics is a secondary human system overlaid on, but abstracted from, material systems. I think that IR needs to get really serious about understanding the actual material basis for politics. Climate change will probably be the issue that drives that.
So what kinds of technologies and institutions are we going to have to facilitate a global civilization? Now that's a worthwhile question! As I indicated, we now have a more or less globalized economy, but we don't have a global polis; we don't have the institutions that are commensurate to the economy that we have got. So the question is: can we sustain current civilization on the energy budget that is available to us and not wreck the climate?
Technological systems are driven by energy; energy is the master resource. Some energy analysts say that in order to have a global civilization, we need to have an energy return on energy investments of something like 5 to 1—meaning, for instance, that for each barrel of oil we put into getting more oil, we need to get five back. Right now petroleum is getting—depending on where you find it and how it's getting to you—somewhere between 15 and 25 to 1. That's the Middle East. It used to be 100 to 1 at the beginning of the 19th century. And now we are getting, say, 20:1. I've seen analyses of tar sands that put that energy source at somewhere between 3 and 5 to 1. Solar panels, if they work well, they are maybe getting 5:1. So the trend is worsening and we are starting to push that envelope of 5:1 energy return on investment. And if we exploit some of the new unconventional hydrocarbons—like fracking and, worse, methane hydrates—to their maximum potential, we'll fry the planet.
My question is how we can leverage existing technological, economic, financial and political resources to sustain a global civilization. I dearly wish more people were putting their attention on that question. The underlying assumption for most people is that business as usual can continue. Maybe, but not for long.
I'd like to throw in one little term coined by Stephen Quilley, an environmental sociologist: 'low energy cosmopolitanism' (read the paper here). I think this is a huge challenge for us. If it's possible to have a global civilization on the energy budget that we have available, it's going to be some form of a low energy cosmopolitanism, where we make some very conscious choices about what we are going to globalize. For instance, Germany probably wouldn't be importing grapes from Africa and none of us would be going on luxury vacations. We would be making a lot of conscious choices, but if we want to have a global civilization we have to be globalizing something, so what is it that we are globalizing?
How do you see the question of technological determinism when studying technologies?
This is really important to note, because if you just look at human systems as living systems there can be a kind of materialistic reductionism there. People who think like William Connolly, the new materialism understands that we should not be materialistic reductionists and that there is this wildcard of human consciousness. The fact of the matter is, we can assemble all the data we want but we don't know where we are going. But what we do know is that we've created a tremendously complex and complicated world that nobody can actually understand!
I think we need to address that question in a very specific way with respect of specific technologies, but if we stick to one example—satellites—I think the technologies do have certain properties embedded in them. I have written a feminist theoretical critique of earth observing satellites, where I argued that this kind of gaze from space actually does downplay or preclude certain perspectives. But as I thought about it more deeply, I saw very concretely that a lot of people are using those technologies to do what they want—not what the centralized political and scientific institutions that gave rise to the satellites wanted. So I would say the wildcard here is consciousness and human inventiveness, because that's what will shape how people deploy the technologies once there are on the ground.
For example, satellites were devised for spying and are certainly still being used for spying, but they are being used for so much else, such as Google Maps. I think some people might have been able to foresee that kind of development, but most of us didn't have a clue that this sort of thing could come about. Or that you could have indigenous people mapping their traditional lands in order to make land rights claims. So the wildcard really is human consciousness and that's why nothing really is deterministic. The greater the complexity in a living system, the more surprising its emergent properties. Seven billion human brains linked together in global technological and ecological systems are bound to yield surprises!
You indicated that you use biology and living systems as a reservoir for metaphors. Could you elaborate on that?
If I speak about living systems I usually do so through work called Gaia Theory. Looking through the lens of Gaia Theory, we would first understand that we exist within certain spheres such as biosphere, atmosphere and hydrosphere. We have taken geological time and inserted it into human time by digging up fossil fuels. As a consequence, we have kind of checkmated ourselves and are now forced into having to think in geological terms. We have to start thinking in geological time scales, which was never the case before. If we are going to find a way of inhabiting this planet sustainably, particularly if we are going to have anything approaching a global civilization, we have to understand that we live within a living system and then go about the rather daunting but exciting project of developing international law and institutions that reflect that reality.
There is a whole subfield of earth system governance in which Earth system scientists, IR theorists and international legal experts are coming together to think through these questions. The literature on earth system governance starts from the premise that the Earth is a living system and draws heavily on earth system science, which draws heavily from Gaia theory. You cannot separate atmosphere, oceans, lithosphere, and biosphere: they are all intertwined as one big living system—and now humanity is functioning as a geophysical force on a planetary scale. That's the meaning of the Anthropocene, and it will require an entirely new way of going about politics and economics.
So how can we bring the concept of Gaia Theory into practical reality? Besides the emerging field of Earth system governance, we can also do this in a very personal way by beginning to really internalize what it means being a human being at this time. A few years back, I came to the point where I decided that I did not want to theorize about anything I could not live. That turned out to be a huge challenge. After I wrote the 'integral politics' piece (see links below)—and I really do love that piece!—I saw that I couldn't fully live it. It was so big. For me, one of the most important implications of Gaia Theory is that we are the Earth becoming aware of itself. That's a huge implication. If you merely think of it conceptually, it is wonderful mind candy; but if you actually take it to the heart and try to live it, it changes your life. I challenged myself to do this and, at some point, it occurred to me that there must be other people who have traveled farther down that road than I had—in other words, people who had radically changed their lives to reflect their growing awareness that human beings are the Earth becoming conscious of itself. So I found myself traveling around the world to ecovillages which, for me, helped to tie it all together. Why is somebody who's teaching international environmental law and politics wandering around the world visiting these little tiny micro-communities? Because these people are taking the radical implications of Gaia Theory to heart (even if they've never read about it) and collectively changing their material, economic and social lives. That's why I spent a year on the road living in ecovillages. It's a strange thing to be an IR theorist who doesn't want to theorize about anything that she can't live!
Bringing up the issue of how to live your research, could you elaborate on what kind of outlook is necessary to live in accordance to Gaia Theory?
So this leads to the importance of humility for me. The value of humility is that it comes naturally as a consequence of understanding. You do not have to value it in advance; it comes automatically from understanding ourselves as part of this larger living system. In my experience at least, as soon as you grasp that, you automatically have an enormous sense of humility and gratitude. Those two qualities just spontaneously arise from truly grasping that reality. Going back to ecovillages, I asked myself who is living in ways that can actually work for the long run. The result became the eponymous book. I wanted to see collective efforts and particularly larger communities that were generally at least a hundred people, because you can do a lot more collectively, than you can on your own. Some of these communities are reducing their ecological footprint radically. In some cases, we are talking about per capita reductions in material consumption and waste production of 80-90% as compared to their home country averages.
This is very big news—especially given that these communities are still tied to the larger system. They are not tiny isolated enclaves. For instance, they're still using the mass transit of the larger society; most of them have Wi-Fi and high-speed Internet. They're not living in caves and many of them are very much globally engaged. On a material level, they're much closer to living within the Earth's carrying capacity. So in that way, I was very interested in just seeing what are their physical systems. But I began to see that their physical systems were only made possible because of the degree of trust and reciprocity that they have created.
That entails doing a lot of personal work. Diana Leafe-Christian, who has written a number of books on communities, says that 'community life is the longest and most expensive personal growth workshop you'll ever take'. It's true! If you're willing to do the personal work and hang in there through the difficult times and conflicts, you can develop the kind of self that's willing to do some very deep sharing. I would add, though, that this level of sharing is done best when it is respectful of the individualism that we have developed. I don't think that communities should be running roughshod over individualism. There needs to be some balance of privacy and communal life. The communities that work well have figured out a way to do this. To my mind, the communities that work really well are the ones who are working on developing collective forms of consciousness. Which means actually I think going beyond the separative rational mind: it doesn't mean demeaning those qualities, it means using them, but using them in the service of something larger. As I said earlier, progressive change entails transcending and including. Individualism, for all its negative consequences, is a genuine historical achievement.
And I would say on a very practical level, one of the ways that they reduce their footprint is by withdrawing to some extent from the global economy. Having very low consumption and being fairly energy efficient and self-reliant, reliance on food self-sufficiency, but withdrawing from global society. To me, they are answering the question I raised earlier: What would a low-energy cosmopolitanism look like? And they are doing this not just because they consume less and live more simply but because by and large ecovillagers actually have a cosmopolitan identity. They might be growing their own food and composting their shit, but they're also tied into the global system. They're actively engaged in the Internet, sometimes attending global conferences and many of them are politically active on issues such as genetically modified organisms and nuclear waste disposal and human rights.
They are little nodes of positive examples, but they're very small. In fact, hardly anybody lives in an ecovillage, which is why the last chapter of my book is called 'Scaling it up'. I basically look at the underlying principles of ecovillages and talk about how these principles could be scaled up to the level of cities, regions, national government and international norms. I realize this is a big stretch, but I felt that as an International Relations scholar, I at least need to try it. The important misconception you run into that moment is the idea that sustainability needs to be expensive—the idea that somehow we can consume our way into sustainability. Actually, the most sustainable form of consumption is no consumption! Yet this is not what all ecovillages do. There is one community that I visited in up-state New York, in Ithaca, this is the same city that Cornell University is in, where two thirds of the residents have masters degrees or PhDs and their homes are worth more than the average in the area. They have a pretty middle class lifestyle, yet their average ecological footprint is about half the American norm. So they're not sustainable, but they are definitely moving in the right direction. They hired architects and have nice homes, which is a very different approach than that of most rural ecovillages.
In the Global North, the smallest footprints that I saw tended to be in the rural off-grid ecovillages that were more or less self-sufficient in food, energy, and water. In some of these communities, residents were living on as little as 25% of their average national incomes. This is impressive because it tells us that people in affluent countries can live well on far less money and with far less environmental damage than is considered normal in those countries.
Yet the fact of the matter is that most people today live in cities, so it was important for me to also look at urban ecovillages. Los Angeles Ecovillage, for instance, has a very small footprint because it is high-density and automobile use is discouraged. If you lower your transportation footprint by not driving or sharing vehicles, and if you grow your own food or rely upon locally produced food and have and passive solar construction and renewable energy for your buildings, you can dramatically reduce your energy consumption. You can have a much smaller footprint and still have a very comfortable life. People think that you need money in order to live. It seems that we need money in order to live, but actually what we need is food and shelter and transportation and relationships. So if you figure out ways of getting those things without money, you've made a huge step to getting out of the global economy. In a nutshell, that's what ecovillages are doing.
So are ecovillages all the same across the globe? Is it a new 'social form' emerging?
It is different in the developing countries and in the affluent countries, and I think it's important to clarify that at the outset. I visited a number of ecovillages and ecovillage networks in both developing countries and affluent countries. In the latter, there is a greater possibility for what I consider 'post-individualist' that both transcends and includes individualism. A very simple 'post-individualistic' approach to property rights, for instance, would be co-housing, where the land is owned in common and people own their own homes. But their private homes would be a lot smaller because so many amenities are shared. The common house would have a community kitchen, so that, depending upon how much people are willing to share, private kitchens can be very small. If there's a collectively owned guest space, then you don't need a guest room in your house. And if you do a lot of your socializing together, then you can do that in the common house. So your own house could be quite small but you would still have access to all the comforts of a private existence and more. The more people are willing to share, the more will be collectively owned. And that really does require trust, because it's a big problem if the relationships blow up and you have your finances entangled with those people! This is just one example of how property rights can coexist with the softening of boundaries between individuals.
The flipside of this is occurring in developing countries, where the post-individualistic arrangement that I've been making doesn't really apply. And this is important because that's where most people in the world live. There you have cultures where people already have much more of a collective orientation. So we really need to pay attention to what's happening there. Actually, in many cases, their developmental task is to become more individuals. And the question is: how do they become more highly-individualized rather than being subsumed by traditional moral codes—how do they that without over-consuming. In the west, we had a fossil fuel subsidy that enabled us to become highly individualized, as I said before, the only reason we can be having this interview is because somebody else is growing our food.
In developing countries, the real task is to find a way for people to become more individualistic without over consuming. And so this is why I was impressed by the model I saw in Sarvodaya, a Sri Lankan participatory development network that belongs to the Global Ecovillage Network. There, fifteen thousand villages are trying to apply ecovillage principles to create what they call a "no-poverty/no-affluence society." Their programs in micro-finance and women's literacy, for instance, give villagers—especially women—an incentive to stay in the village because they have a livelihood. And when people stay in their villages, they tend to live a lot more sustainably. As the women becoming literate, they begin making choices for themselves and therefore becoming more individualized. So it's a way of hopefully leap-frogging urbanization in order to sustain rural village life.
I should say that you can apply these principles anywhere you live, in cities as well as rural areas. I visited quite a few ecovillages in cities. One of the most important things that the Global Ecovillage Network is doing is training people, wherever they live, to apply ecovillage principles in their urban neighborhoods or wherever they find themselves. There have been some amazing projects coming up in the Brazilian favelas and in China. GEN has developed a course called 'Gaia Education' that's being offered all over the world and especially in developing countries. There's now a Global Ecovillage Network for Africa. There are basic principles of sustainability that, if you live in an ecovillage, you can apply more intentionally, but they are applicable everywhere.
In a way, 'Gaia theory' sounds very spiritual—and for that reason the Gaia concept was initially very much opposed by many physicists and climate scientists. In a way, Gaia theory entails a critique of modernist secularism and faith in technology; how do you see that in your work?
I have mentioned the critique of mechanization in the early modern era, but in fact the early modern scientists, such as Newton, were all looking for God. Now many of the hard sciences are moving in the direction of mysticism—I would speak of mysticism rather than spirituality—but it's not a mysticism that is simply a projection of the human psyche onto the cosmos; rather, it is empirically derived. I think that's a kind of postmodern development that would have been impossible in the pre-modern era. That's what I was saying about transcending and including, that the ideas that we have of who we are in the cosmos are so different as a consequence of modern science. We can transcend those ideas but also include them. From the Big Bang and the evolution of species, we came out of all of that! And implicit within this fact, if you take it deeper, is that there is a secret oneness to it all. I think that the lessons we have to learn politically and economically now are about interdependence. But if you take interdependence to its depths, it too implies a secret oneness. Most importantly for the current evolutionary crisis: that oneness is embedded in our consciousness and we can access that. That is the reason why I don't want to theorize about anything that I can't live; I'm working at that level as well.
It's interesting, because that also has implications for my teaching. I teach in a fairly direct way when I have living bodies and inquiring minds right in front of me and can engage them at a personal level. I give them my big picture view of politics as a subset of living systems and also being a kind of living system. I get them to inhabit that in themselves through doing contemplative and reflective exercises in the classroom. For instance, I'm teaching a class called political ecology of the world food system and we talked about the globalization of different food commodities and where chocolate comes from for instance, where it originally came from, who processes it, how much do the farmers get from all of that. I brought in raw cacao nibs, which most of the students had never tasted before. We talked about where these came from and how expensive they were even though cacao is not processed, because raw cacao is a something of a delicacy. Then I gave them this very highly processed chocolate without sugar and with alternative sweeteners in it. I invited them to really be present to tasting each of these things as I talked about them and I left some significant gaps of silence, they could actually be present to experience of themselves inhabiting the living system and now being the beneficiary of a world food system. How did we come to have cacao from West Africa and stevia from Paraguay in our mouths? What are sociopolitical and biotic networks that have made this possible? And can we allow ourselves to truly experience what it means to be the beneficiary of these living systems? And what of our own as living system? When I am in the classroom it is actually quite easy to teach what I call person/planet politics. I never teach anything as if it is just 'out there'. Whenever I teach anything, I want the students to inhabit it in their bodies, in their experience. And I try to do that as best as I can by living what I teach as best I can.
It is a little embarrassing, but I don't know how all of this applies to IR; I am just trying to do it as best I can in my own life, as it is presented to me. And I write about it and I publish things—I have a piece coming out on localism that basically makes the case for what I call organic globalism, which is a globalization that is premised upon the earth as a living system and international institutions being designed very consciously on that basis. I don't quite know what it looks like but I have a sense of its rightness. To be honest with you, I am better with that in the classroom that I am at the level of large-scale institutions. Because I am beginning to inhabit this in my own being and I can communicate it to students. Maybe the next challenge is to be able to communicate it at a larger level.
So isn't there a tension between living sustainably and participating in a globalized world that is hard-wired in terms of technology?
Consciousness does not at all preclude technology. For example, I think us having this dialogue is on some level contributing to a certain kind of consciousness and it's completely facilitated by technology. Without Skype we wouldn't be having this conversation. What's helpful to me, about what I call E2C2 (ecology, economics, community and consciousness) is that these are four lenses through which to view any phenomenon—and that includes technology. For instance, we can view our Skype conversation through the lens of ecology in terms of the amount of energy that's used. Economically, we might consider what is being produced and what its value is. It's probably a pretty good economic deal since you and I are virtually paying nothing for it! So economically it's a good deal. In terms of the communitarian lens, we are developing a dialogue that will hopefully be in a relational field with many other people, perhaps thereby also contributing to a certain growth of consciousness.
E2C2 offers four lenses through which we can look at technology; they are not mutually exclusive. For me, the question is: to what extent are our technologies beneficial in terms of each of the lenses. Denis Hayes, the guy who started Earth Day, said the basic principle of sustainability is that you leave your molecules at home and export your photons. This brings us back to the concept of low energy cosmopolitanism. It's a huge question: what are we going to globalize? If we are going to have a global civilization we need to have global communication. The Internet is a tremendous achievement in that regard, and could to function as a kind of global brain, though its roots are in its military applications and today it is primarily dominated by commerce. (And I understand that pornography is a big part of it as well.) Despite its limitations, the Internet provides an infrastructure that could enable us to be in communication globally, which is very important if you want to develop a global consciousness and a global civilization. But we need to understand that our technologies must operate within the limits of the Earth system. In other words, technologies—like all human systems—are also living systems.
Last question. So how can we relate this back to IR?
I think one of the ways this is happening is that some pockets of IR are actually returning to foundational concepts. For instance, Alexander Wendt (Theory Talk #3) has started this Journal International Theory. People are seriously looking at the bigger and deeper questions, so uniting more with political theorists for instance. This idea that we are coming up against real limits is a very frightening idea from the perspective of a certain idea of freedom rooted in liberal politics. We really need to rethink the meaning of freedom in an era of limits. My own feeling is that human beings are kind of hard-wired towards unlimitedness—but the world is now pressing us to interrogate this impulse. We don't do well with limits. But the fact of the matter is, we are not evolutionarily adapted to abundance, we don't even know what to do with abundance. We are squandering resources in the most absurd ways. So we really need to rethink what freedom is in a world of limits.
It's not all together a bad thing that we are facing these limits. Those of us who have at least the privilege of being well fed and reasonably comfortable, can actually turn our attention to this question of consciousness. Because this question of 'what is freedom' is a problem of human consciousness. Rather than turning our desire towards mastery—I think as human beings we have an innate desire towards mastery – rather than turning that desire onto the external world, we've pretty well mastered it; except turns out that we live in it so it's coming back to bite us and we are facing huge climate change most likely. When we shift the focus of this desire for mastery to our own psyches, then lots of things open up. And I don't think only people who live in industrialized countries need to do this or are doing this. One of the things I saw in my ecovillage book is that people living in developing countries are also quite aware of it and are doing it at the places they live as well. There is a global awakening, at least in small pockets, to the fact that we live within a limited Earth system and a serious inquiry into what it means to be a human being at this juncture between modernity and the Anthropocene.
Karen Litfin (Ph.D., University of California, Los Angeles, 1992) is an associate professor in the Department of Political Science at the University of Washington. She specializes in global environmental politics, with core interests in green theory, the science/policy interface, and what she calls "person/planet politics." Her first book, Ozone Discourses: Science and Politics in International Environmental Cooperation (Columbia University Press, 1994), looks at the discursive framing of science in the ozone treaties. Her second book, The Greening of Sovereignty in World Politics (MIT Press, 1998), explores how state sovereignty is being reconfigured as a consequence of global environmental politics. Some of the topics of her recently publications include: the politics of earth remote sensing; the political implications of Gaia Theory; the relationship between scientific and political authority in the climate change negotiations; the politics of sacrifice in an ecologically full world; and holistic thinking in the global ecovillage movement.
Related links
Faculty profile at the University of Washington Read Litfin's Thinking like a planet: Gaian politics and the transformation of the world food system (2011 book chapter) here (pdf) Read Litfin's Towards an Integral Perspective on World Politics: Secularism, Sovereignty and the Challenge of Global Ecoloy (Millennium, 2003) here (pdf) Read Litfin's The Status of the Statistical State: Satellites and the Diffusion of Epistemic Sovereignty (Global Society, 1999) here (pdf) Read Litfin's The Gendered Eye in the Sky: Feminist Perspectives on Earth Observation Satellites (Frontiers 1997) here (pdf)
In this dissertation I explore the co-emergence of multinational corporations and the consolidation of the discourse on human rights at the level of the United Nations throughout the second half of the twentieth century and analyse the resulting conceptual gap that created tensions in the international legal order. Despite attempts by developing countries to alleviate this imbalance through the New International Economic Order (NIEO), a multitude of soft law initiatives and the reluctance to address human rights issues in MNCs at the level of the United Nations failed to make MNCs incorporate human rights standards in their operations. The merging of the two concepts became increasingly more challenging throughout the 70s and 80s when the world was faced with the oil crisis and the rise of neoliberalism. This shift in the global legal architecture forced the Third World to take a new approach to tackle the conceptual gap, this resulted in the emergence of the Third generation of human rights and ultimately, the concept of Corporate Social Responsibility (CSR). CSR is a concept of international private business self-regulation that aims at merging human, socio-economic, and political rights into the world of the corporation. As a response to the concerns for human rights violations by corporate actors, CSR slowly came to the forefront of the global business scene to enable the continuation of the operation of multinational enterprises. CSR presented a platform for global soft law initiatives to minimise the conceptual gap they had created over throughout the preceding decades. This allowed people such as John Ruggie to develop the Guiding Principles, the most successful initiative to date. This dissertation will provide its readers with a fruitful understanding of the crucial role that international law played in this development and further, what implications this had on the political and economic level. - Introduction In the words of Sundhya Pahuja and Anna Saunders, the second half of the twentieth century staged a 'series of encounters between rival practices of world making, each of which travelled with rival accounts of international law'.[1] Anti-colonial disputes, the Cold War, the rise of developmental issues and the increasing popularity of neoliberalism are only some of the events that generated these competing views of the international legal order. These events brought different coalitions across the Global North and Global South, and different 'alliances of interest between 'public' and 'private' actors'.[2] At the heart of the system that emerged lie two fundamental elements: the modern multinational corporation and human rights. How to conceptualize multinational corporations (MNCs) and how to define their relation to the law and the State was part of these rival stories. In this paper I explore the co-emergence of multinational corporations and the consolidation of the discourse on human rights at the level of the United Nations throughout the second half of the twentieth century and analyze the resulting conceptual gap that created tensions in the international legal order. In particular, I examine how this encounter, which became evident as calls for a New International Economic Order (NIEO) were being advanced within the UN, came to produce the idea of 'Corporate Social Responsibility' (CSR). I show that CSR emerged from the failure of the NIEO, particularly in relation to the roles and responsibilities of private actors in the global economy and how this can be traced to the limits of initiatives addressing the tensions between human rights claims and the interests of multinational corporations. In so doing I provide an understanding of the crucial role that international law played in this development and the implications this had at the political and economic level. The first section of this essay examines the lack of direct use of human rights language in the UN literature focusing on MNCs and their role in world development from the 1960s to the 1970s. This includes an analysis of the report entitled 'Multinational Corporations in World Development'.[3] I demonstrate the emphasis and enthusiasm for multinational corporations displayed at the level of the United Nations and how the concepts of the corporation and human rights were kept separate due to their respective supporters during the Cold War. I then focus on the attempts by the Organization for Economic Co-operation and Development (OECD), the International Labor Organization (ILO) and the 'Group of 77' (G77) to bridge this conceptual gap through the imposition of policies and initiatives, though without major success. The second section analyzes the influence of the oil crisis and the rise of neoliberalism on the shift of the global legal architecture, ultimately promoting the birth of the new developmental state. Here concern is with the new legal structures' attempt to merge the concepts of multinational corporations and human rights through a third generation of human rights, [4] and I engage in theoretical approaches by legal scholars such as Samuel Moyn and Antonia Darder. In the third section investigates the concept of Corporate Social Responsibility (CSR) and analyzes its application and limitations. CSR is a concept of international private business self-regulation that aims at merging human, socio-economic, and political rights into the world of the corporation. As a response to the concerns for human rights violations by corporate actors, CSR slowly came to the forefront of the global business scene to enable the continuation of the operation of multinational enterprises. I demonstrate how CSR aspired to close a gap between human rights and corporate action in a way that would harmonize them through a multitude of soft law initiatives. This leads to the question of whether direct regulations can apply to MNCs under international law and a discussion of the UN Global Compact, at the time the world's largest and most far-reaching CSR initiative.[5] Finally, this paper closes with the most recent developments in the global legal order designed to tackle the conceptual gap between MNCs and human rights, namely through the United Nations Norms on the Responsibilities of Transnational Corporations and Other Business Enterprises[6] and the development of the Guiding Principles. Dawn of co-existence The United Nations lies at the heart of the international regime with its normative, institutional and procedural human rights activities.[7] By adopting the Universal Declaration of Human Rights in 1948, the UN created a milestone document in the history of human rights. The Declaration has had an enormous influence on the world both in terms of 'spreading the philosophy of human rights, and in terms of inspiring legal texts and decisions'.[8] New states have used the Declaration as a basis for their constitutions, while domestic and international courts have invoked the Declaration in their judgments.[9] As human rights law developed, the International Covenant on Economic, Social and Cultural Rights, followed by the International Covenant on Civil and Political Rights, were both drafted under the auspices of the United Nations, adopted in 1966 and entered into force in 1976. Together, these three instruments make up the 'International Bill of Human Rights'.[10] Throughout the 1960s and 1970s, the world became a stage for global changes that altered the legal order. The end of colonialism dawned in the Global South, and during the height of the Cold War the West faced the Soviet Bloc and its mission of 'exporting revolution'.[11] Leaders of nationalist resistance movements received military as well as financial aid from the Soviet Bloc which intensified anti-colonial mobilization for self-determination.[12] Simultaneously, globalization was increasing rapidly, with multinational corporations emerging onto the global scene with heightened awareness of their existence as an entity with legal personality. As outlined by Sornarajah, their distinct bases of power allowed them to assert their interests through the law. With economic resources often exceeding those of their host state, MNCs had the ability to sculpt and manipulate legal outcomes through arbitration processes concerning foreign investment protection. This was done by exerting lobbying pressure on a host state which might be reluctant or even unable to object to the activities of MNCs.[13] The 'Multinational Corporations in World Development', report drafted by the UN Secretariat's Department on Economic and Social Affairs in 1973, considers 'the role of multinational corporations and their impact on the process of development, especially that of developing countries [.] [and] international relations'.[14] From the outset, the Report identifies the emerging phenomenon of the MNC in international economic affairs, how its size and spread has increased, and identifies the wide array of its activities and its use of natural resources which 'rival traditional economic exchanges between nations'.[15] It is surprising therefore, that a Report from the Department on Economic and Social Affairs, does not contain the term 'human rights' throughout the entire document. In the Report's introduction the UN makes a clear distinction between the differing views of impacts MNCs have on host countries. While 'depicted in some quarters as key instruments to maximizing world welfare, [they] are seen in others as dangerous agents of imperialism'.[16] The fact the United Nations recognized the potential neo-colonial nature of multinational corporations further highlights the need for guidance on human rights violations by MNCs. Yet the Report's reluctance to engage in the area of human rights provides a first glimpse into the divergence of the concepts of multinational corporations and human rights. An explanation for this can be identified by analyzing the Conventions, on Civil and Political Rights and on Economic, Social and Cultural Rights, with the UN's reluctance to avoid tensions between the supporters of both Conventions, respectively the United States and the Soviet Union. The US pushed for the development of civil and political rights, reflecting the protection of the freedom and liberties of individuals. Stemming from a Western philosophy, John Locke identified that in a 'state of nature' humans had 'natural rights' including the right to life, liberty and property. Similarly, French legal philosophers such as Rosseau, Montesquieu and Voltaire argued that such rights emerge from the inherent nature and virtue of man.[17] As Joseph and Castan argue, 'natural rights theories were highly influential [.] particularly in the revolutionary fervor of the United States'.[18] The advancement of civil and political rights reflects the capitalist ideology of the United States, conforming to the libertarian nature of Western capitalist societies.[19] In contrast, the Soviet Union pushed for the advancement of economic, social and cultural rights. These included the right to work, the right to an adequate standard of living, and the right to physical health. Contrary to the civil and political rights, these rights were based on the idea of equality, one deeply rooted in the political ideology of socialism. As the US would not commit to a proposition that there is a right to social goods, the US has never ratified this Convention.[20] The Soviet Bloc promoted the right of self-determination by providing military and financial aid to indigenous political activists in their fight for independence; an idea enshrined in Article 1 of the Covenant which states that: 'All peoples have the right to self-determination'.[21] For the Soviets 'national self-determination was an adjunct to revolutionary communism'.[22] They envisioned self-determination as the tool for the transition from dismantling a colonial empire to establishing a socialist state.[23] However, while the United Nations was reluctant to adhere to human rights in the framework of multinational corporations, other international institutions were motivated to develop this area. The OECD attempted to impose human rights on MNCs by adopting the Guidelines for MNCs (hereinafter 'OECD Guidelines') in 1976.[24] These were 'voluntary recommendations for business practices relating to human rights, disclosure of information, anti-corruption, labour relations, taxation, the environment and consumer protection'.[25] The Guidelines were intended to strengthen the international investment climate by improving the relationship and confidence between MNCs and host countries. National Contact Points (NCPs) were created that bore the responsibilities of enforcing and promoting the Guidelines, and any natural person could make a claim related to the violation of the Guidelines.[26] This aspect of the Guidelines provided an enforcing mechanism accessible to the public. But although the Guidelines were formally adopted by member states as a corporate responsibility instrument, they were subject to widespread criticism in the international legal order. As explained by Cernic, the Guidelines are ambiguous while the NCPs are limited in their influence on host states. Even though they outlined the need to respect human rights, the obligations were not framed in mandatory terms.[27]. Since the Guidelines lacked legal basis, the OECD was unable to assert sanctions on non-compliant corporations, and critics labeled them weak and ineffective. However, it was the intention of the OECD to guide rather than to legislate, because they saw voluntary versus legally binding standards as less of a dichotomy and more a continuum.[28] Although voluntary, corporations would be under scrutiny and potentially harm their reputation if they violated the Guidelines.[29] Yet, the Guidelines were hardly successful in the international legal order. A year later, in 1977, the ILO attempted to bridge this gap by adopting the Tripartite Declaration of Principles Concerning MNCs and Social Policy. These also attempted to 'encourage the positive contribution the MNEs can make to economic and social progress'.[30]. Article 8 emphasizes the respect for the Universal Declaration and the International Covenants. However, its voluntary and non-binding nature, as well as its weak monitoring process made this instrument as frail as the OECD Guidelines.[31] The lack of responsibility and perseverance stemming from international organizations and their disappointing attempt at bridging the gap between multinational corporations and human rights forced national and regional change. On the one hand, developing nations began taking matters into their own hands. To portray unity and solidarity throughout the 'Third World' the G77 coalition, formed in 1964 by developing member countries with the primary intention of promoting its members' economic and humanitarian interests through cooperation at the level of the United Nations, took a strong initiative. In the late 1970s the Group expressed its concern at the 'imbalance of negotiating power between TNCs [transnational corporations] and their host countries and inability on the part of the latter to control the activities of the TNCs within their territories'.[32] Simultaneously, home countries wanted to ensure their investments abroad would be protected, 'specifically from expropriation without a commitment to compensation based on international law'.[33] In accordance with the principles and concerns of the freshly adopted NIEO, developing countries raised the issue of the dominance of MNCs over natural resources and strongly urged the UN for a reaffirmation of their sovereignty over their resources. The NIEO was an attempt by Third World developing states, in the wake of decolonization, to deploy international law to achieve economic justice and improvements in the areas of development and socio-economic rights.[34] Pushed by the G77, the United Nations General Assembly (UNGA) member states devised a set of NIEO proposals in 1974 including (1) that developing states are entitled to control and regulate all activities of MNCs within their territory; and (2) that international trade must be based on equitable, stable and remunerative prices for raw materials.[35] Despite its impressive aims and careful compilation, the NIEO was unsuccessful. It failed 'to displace the power and advantage held by influential states', it failed to alter international law which favoured the economic interests of capital-exporting states and, most importantly, it demonstrated the Third World's acceptance of the economic ideology of the capitalist mindset, inflating the value of foreign capital including the exploitation of local labour in developing countries.[36] Consequently, the UN set up the United Nations Commission on Transnational Corporations which drafted a code of conduct for TNCs, one of the first formalized instruments drafted by the UN that set an obligation upon MNCs to respect human rights in host countries.[37] However while developing countries insisted on the idea of adopting an international instrument that was binding on MNCs, developed countries were not prepared to go beyond the voluntary sets of guidelines already in place.[38] On the other hand, due to the ineffectiveness of the international institutions, some MNCs that sought to abide by human rights law attempted to create some provisions themselves. An example is the Sullivan principles designed by Leon Sullivan, former member of the General Motors' Board of Directors. These principles included the elimination of discrimination based on race, and the concept of equality in the workplace. The objective was that by engaging in human rights concepts like dignity and respect, MNCs could be a lever for the elimination of apartheid in South Africa. However, like the previously established soft law on obligations on multinational corporations, these principles were voluntary and unlike the OECD Guidelines which had the NCPs, there was no enforcement mechanism. The great majority of MNCs that adopted his principles did so with the sole motive of being able to continue to prosper in South Africa.[39] In summary, throughout the 1960s and 1970s, there were attempts at a variety of levels to bring together the concepts of human rights and multinational corporations. Though it was largely absent on the level of the United Nations until the late 1970s there were many first steps by international institutions to bridge this gap. The NIEO was the first set of concrete economic principles that were prescribed in international law 'articulating a form of justice based not on domination of one people over another'.[40] It was an 'effort to assert the sovereign autonomy of the non-western world',[41] exemplifying the importance of linking human rights and development, and the fundamental values of duties of international cooperation. However, there was still much to be done as the new decade of the 1980s saw a drastic restructuring of the global trade and investment system - ultimately ending in massive international debt and a dramatic increase in foreign direct investment. A Change in the Global Legal Architecture An accumulation of capital obtained by the main oil producing states in the Middle East led to the establishment of the Organization for Petroleum Exporting Countries (OPEC) Cartel in 1972. With the intention of creating a monopoly and obtaining major profits, OPEC raised the price of oil by approximately 400%, with its members keeping revenue in US or European banks, from which developing countries regularly borrowed in the form of aid and loans.[42] However, banks were now lending at higher interest rates to these countries as they were deemed less creditworthy. As a result of sovereign debt and the surplus problem in the international banking system, developing states were forced to rely on foreign direct investment (FDI), as opposed to private borrowing. The very principle that developing states wanted to control with the establishment of the NIEO was now negated by Western states selling MNCs to the developing world as necessary for their survival.[43] Simultaneously to the effects of the oil crisis, the political ideology of neoliberalism emerged on the global scene. Conservative governments gained power in western countries, communism collapsed in Eastern Europe with a move towards market economics, and Latin America implemented stabilization policies to boost their economies.[44] This process saw neoliberalism became an enemy for structural equality, political inclusion, economic access and human rights.[45] Prior to the implementation of neoliberal policies, the relationship between multinational corporations and their host state was formed through the conflict between the host country's national developmental interests as opposed to the corporation's global investment interests. The state being the more powerful actor, attempted 'to channel its private investments to serve its own developmental objectives'.[46] However, as Michael Peters argues, neoliberalism provides 'a universalist foundation for an extreme form of economic rationalism'[47], which according to Paul Haslam, was a re-forming of the modern state rather than the perceived notion of the state 'unambiguously withering away'.[48] As a result, power shifted from host countries towards multinational corporations as the era was characterized by liberalization of foreign investment rules.[49] As the United Nations World Investment Report of 2000 showed, out of the 1035 changes made in national legislation regarding Foreign Direct Investment (FDI) from 1991 to 1999, only 5.9% were directed at restricting FDI.[50] Now more than ever before, the existence and nature of human rights were jeopardized in the sphere of multinational corporations led by neoliberal politics. Yet when analyzing human rights and neoliberalism, the two concepts have a plethora of similarities that run counter to this assertion. Samuel Moyn states that human rights and neoliberalism share (1) a predecessor and (2) a target, namely the welfarist West and the post-colonial nation state seeking economic autarky respectively.[51] Both concepts emerged and were formalized in the West. As a target, developing countries need both economic (neoliberalism) and social (human rights) elements to establish economic control. Furthermore, the two concepts share key foundational building blocks. Firstly, the principle of prioritizing the individual 'whose freedoms matter more than the collectivist endeavours' and secondly, their shared antipathy toward the state due to their rejection of its moral credentials.[52] As described by Darder, neoliberalism is characterized by a rampant greed that subsumes any notions of equality and public responsibility.[53] At the heart of this lies the ultimate subversion of human rights. When faced with the powers of global capitalism, human rights struggle to maintain themselves in the Third World. A prime example countering this thesis is the idea that human rights are a handmaiden to neoliberal policies. The argument follows that human rights are so tightly related to the role of a freely functioning market that there could be no socio-economic rights without extreme capitalism.[54] Unfortunately under this notion, human rights fall victim to being seen as dependent upon the capitalist order, creating the illusion that multinational corporations enhanced and promoted human rights in the developing World. What Wolfgang Streeck termed as 'non-market notions of social justice' became impossible to secure. Any attempt to place social commitments over economic ones were expelled, leaving market pressures to form human obligations and be governed by the dictatorship of neoliberalism.[55] The World Bank and the IMF, backed by the United States and other western states, became key in the project for liberalization, privatization, and market-friendly policies, known as the Washington Consensus. MNCs were given the protection they needed to flourish, be it proprietary or intellectual property rights. The interests of human rights on the other hand were not regarded. Though excelling and growing more than ever before, human rights had done so 'on a discrete track spearheaded internationally through the UN'.[56] Directed by developing states, human rights were intentionally dealt with by the United Nations while international economic law was being dealt with by the international institutions where they hold the balance of power.[57] Simultaneously, the developing world saw the third generation of human rights emerge as a result of anti-colonialist movements in the post-Second World War era. Newly born independent nations voiced their concerns over repeating their colonial past and demanded a new set of rights. These included the right to self-determination, the right to a healthy environment and the right to participation in cultural heritage. These are reflected in Declarations and Conventions such as the Declaration on the Granting of Independence to Colonial Countries and Peoples of 1960, the Proclamation of Teheran of 1968 and the Stockholm Declaration of 1972.[58] What makes this generation of human rights exceptional however is that while they reflect neither the traditional individualistic approach of the first generation, nor the socialist tradition of the second generation, they simultaneously demand certain recognitions from the state while being able to be invoked against the state. Most importantly though, as articulated by Vasak, the third generation of human rights 'can be realized only through the concerted efforts of all the actors in the social scene: the individual, the State, public and private bodies and the international community'.[59] In other words, these rights belong to the community as a collective, rather than to an individual.[60] Drafted in 1986 by the UNGA, the Declaration on the Right to Development [61] (DRD) calls for effective international cooperation towards development objectives through the enhancement of human rights and the distribution of benefits.[62] The DRD gained inspiration from the NIEO as it relied on providing equal national opportunity through measures of fair distribution of natural resources and income. Alongside neoliberal policies, the two contradicting concepts were forced to work in tandem. Foreign investment in the developing world could proceed under the neoliberal ideology as long as it did not infringe the DRD. Interestingly, the right to development was coined by the former UN Independent Expert on the Right to Development, Arjun Sengupta, as 'growth with equity'. Growth should not only focus on the economic aspect, but also emphasize human rights and the principles of justice. This focus on equity, would require a 'a change in the structure of production and distribution in the economy to ensure growth was equitable', including the required international cooperation and not having to rely on the market.[63] Though the United Nations are promoting and enhancing the development of human rights, they are disregarding the fact that their work should be focused more on the human rights aspects entailed in the market, rather than solving human rights issues outside of the market framework. The development of human rights and the regulatory frameworks supporting multinational corporations attended very different interests. The new global legal architecture born of the oil crisis and rise of neoliberalism reorganized the relations between the Global South and Global North. At this point human rights and the regulation of corporations, with their distinctive genealogies, were forced to come together, but the failure of this exercise could not be challenged until the late 1980s when the third generation of human rights provided another opportunity for the merging of the two concepts. The outcomes of these new sets of discussions produced a more clearly defined relationship between human rights and multinational corporations which, although more sophisticated, was still unable to produce a satisfactory result. Nevertheless, the right to development began to take root in the corporate world. For the sake of their reputations, corporations were forced to appreciate the power held by vulnerable individuals that could act together as a strong collective.[64] As Claire Dickerson argues, multinationals became more aware of their relationship with human rights not only in regards to the individual, but rather to the society as a collective.[65] These were the first formalized steps to the recognition of what came to be known as Corporate Social Responsibility (CSR). The Heterodox Approach What became apparent in the sphere of business and human rights were two situations, (1) that states were either unable or unwilling to implement human rights; and (2) that multinational corporations acting in such states were unprepared to deal with the risks of harming human rights through their activities. This was seen especially in the private extracting sector, such as oil, gas and coal, using aggressive means to exploit remote areas and leaving large physical and social 'footprints'. Local communities began resisting the activities by the multinationals and the language of human rights became increasingly popular in challenging corporate norms.[66] Some of the world's largest MNCs had become culprits of violating human rights standards, including Nike, Shell or Yahoo. Nike was guilty of using child labour, while Shell misused public funds to practice corruption and theft at all levels.[67] The effects were reflected in local communities that resorted to violence and criminal behaviour, significantly affecting the living conditions of these areas. In the early 1990s, some corporations began adopting measures to comply with responsible business conduct. CSR was a voluntary form of business self-regulation that attended the current societal goals. It involved the creation of monitoring schemes that regulated the workplace standards and policies of the global supply chains. However, what caused CSR to emerge, was not only pressure exerted by nations that felt their human rights had been impinged, but also a wider global political ethos. With its emphasis on privatization and deregulation, neoliberalism promoted CSR initiatives in order for corporations to gain self-control and rely less on direct government initiatives. Due to its voluntary nature, CSR was not conceived as a regulatory instrument but as a learning forum to promote strategies that enhanced socially responsible policies. This included the enhancement of human rights, environmental protection and anti-corruption efforts. [68] CSR had now progressed to the forefront of the global business scene by morphing out of corporate philanthropy.[69] Corporations began adopting voluntary schemes that not only adhered to social policy, but at times even went beyond the standard set by local requirements, which occasionally created conflict between the two.[70] Unilateral corporations produced company codes, with companies such as Gap and Nike adopting theirs in 1992. This involved internal audit teams and ethics officers to be established, verifying that contractors were complying with their company's codes of conduct. Gradually, social audit teams emerged onto the global scene. As one of the most prominent, the Fair Labour Association (FLA) monitored the working conditions for some of the top athletic brands such as Nike, Puma and Patagonia. In the food industry, the label of Fair Trade emerged, ensuring for local farmers the social, economic and environmental standards they deserved. Corporations adopted CSR measures mainly to improve their reputation. However, perhaps a greater incentive for corporations to adopt CSR measures lies in the financial risks posed by community pushback as a result of human rights violations. These pushbacks cause delays in design, operation, construction, siting, granting of permits etc. Further, they can create problems and relations with local labour markets, higher costs for financing, insurance and reduced output.[71] In a study of a large multinational company that wished to remain anonymous, Goldman Sachs found that it had accrued $6.5 billion in such costs over a two year period.[72] A great percentage of these costs could be related back to the staff time in managing conflicts that arise in communities as a result of human rights violations. In some instances between 50% and 80% of an assets manager's time can be devoted to these issues. Thus, it is clear that in this lose-lose situation, where MNCs violate human rights and thus incur losses, it makes sound corporate sense to adopt some sort of CSR measures.[73] Despite the improvements and the clear step forward the business world took in addressing human rights, CSR involved limitations and fragmentations that challenged its success. It was built on the assumption that it is an effective mechanism for a corporation to positively reconnecting with the community it is based in. Thus, in practice, CSR operates under the presumption that society has granted authority to corporations with naturally applying legal responsibilities.[74] In 2000 John Ruggie conducted research in the Fortune Global 500 and a wider range of corporations to assess the extent and success of voluntary initiatives promoting human rights. Staff monitoring schemes had evolved, demands by socially responsible investors had grown, and large public sector funds all aided in this development. However, the research also found 'company-based initiatives fell short as a stand-alone approach'.[75] Most companies still did not have the capabilities of managing human rights risks and instead were acting on a reactive based notion. Moreover, it was within the company's discretion to decide which human rights the company would address and furthermore how to define its measures. Thus, their voluntary nature could often be used as a camouflage to delay real reform.[76] A logical response to such a broad limitation would be to impose direct obligations under international law upon MNCs. Though only states and international organizations have legal standing in international law, the general view on this contention is that it would be possible to impose obligations upon MNCs due to their major economic and political influence as explained earlier, and their capabilities of influencing the enjoyment of human rights.[77] However, as explained by Zerk, the challenge lies in 'developing jurisprudence which refines and makes precise the vague aspirational statements [.] in the CSR debate'.[78] However, as the law stands, the most promising and efficient method for applying obligations on multinational corporations remains to be the national courts. Yet the fact that claims must be raised as a tort-based litigation proving a violation of domestic tort principles rather than claiming a violation under international human rights casts doubt over this method. An interesting exception to this is the US Alien Tort Statute of 1789. The tort states that district courts 'have original jurisdiction of any civil action by an alien for a tort only, committed in violations of the law of nations or a treaty of the United States'.[79] The original intention of the statute was to establish a civil remedy for violation of international law norms such as piracy, mistreatment of ambassadors and the violation of safe conducts.[80] This piece of legislation lay dormant until the 1980s when human rights lawyers discovered its potential for foreign plaintiffs to raise a claim for certain human rights abuses against an individual of any nationality, or a corporation as long as they had a presence in the United States. The question whether the Act could be enforced against a corporation was considered in 2012 in the U.S. Supreme Court case of Kiobel.[81] The court held that there was a presumption against extraterritoriality applying to claims under the Statute. There is therefore no application of the statute abroad unless it is explicitly stated in the international law which is the subject of the claim.[82] As stated by John Ruggie in his advice to the Human Rights Council in 2007 'no single silver bullet can resolve the business and human rights challenge. A broad array of measures is required, by all relevant actors.'[83] Ultimately, as a measure to seek guidance on the matter, this led to the UN Global Compact in 2000, the largest global CSR initiative.[84] The UN Global Compact was a strategic policy initiative posed by the former UN Secretary General Kofi Annan that aimed at improving corporate conditions in areas such as human rights, environmental protection and labour rights.[85] It was a prospective and hopeful initiative that was designed as a learning forum to develop, implement and disclose sustainability principles among corporate actors.[86] At its time, the Global Compact was the most far-reaching, non-governmental set of policies aimed at catalyzing the voluntary nature in the corporate citizenship movement.[87] Legal scholars such as Meyer and Stefanova felt the Global Compact could shape the relationship between MNCs and human rights through 'rewarding responsible TNCs [MNCs], while shaming at least some of the irresponsible TNCs [MNCs] into better promoting human rights'.[88] Their only concern about the extent of the success of the Global Compact lay, in the Global Compact's voluntary nature. Comparing it to the OECD Guidelines implemented 25 years earlier, an initiative like the Global Compact will only be successful if there is commitment to the initiative at all levels of the international system. Thus, the main task is to put a human face on globalization through the values and principles shared by the people, the corporation and the state.[89] However, Aravalo and Fallon dispute this. Published in 2008, their Report uses the Compact Quarterly and UNGC Annual Review to critique the Global Compact's activities and practices throughout its eight years of existence. Published by local networks and the UN respectively, they evaluate new businesses adhering to the Global Compact, as well as Global Compact practices and responses. Aravalo and Fallon found that after evaluating the various progress reports, the Global Compact falls short of being a successful initiative. According to the UNGC Annual Review, there are a multitude of gaps existing in the Global Compact framework. Research instruments for instance, under the principles of human rights and labour protection, have been deemed as inadequate as participants have failed to voice their concern over the protection of such rights within their corporation. The Global Compact has solely used online surveys to administer data, which smaller businesses are often unwilling or unable to provide. The methodology applied by the Global Compact was ambiguous and did not show the extent of the success of CSR initiatives.[90] Alavaro and Fallon argue that it would be highly beneficial for the Global Compact to re-think its methodology process of evaluating its success by introducing a chronological component into its future research models. [91] It would allow for a clearer comparison not only for participants of the Global Compact, but also for the comparison with non-Compact companies in the area of corporate responsibility.[92] As a result of this poor research methodology, the Global Compact has difficulty assessing its direct influence on the broad and voluntary concept of CSR. There are key principles of CSR that fail to receive the attention they deserve in the scope of the Global Compact. However, this is not to say that the Global Compact has been an outright failure. The Annual Review, though lacking quantifiable data, has provided a wide array of case studies providing evidence for the practical influence of the Global Compact on participants. These include programs in education and working relationships the Global Compact has encouraged and facilitated. It can be said therefore, that the Global Compact is making a difference, even if only in these cases. Until shortly after the turn of the millennium, neither company codes nor multilateral initiatives such as Global Compact, successfully achieved the necessary, concrete obligations in regard to human rights and environmental protection demands. This was set to change with the arrival of the United Nations Norms on the Responsibilities of Transnational Corporations and Other Business Enterprises (Norms). Drafted in 2003, the United Nations Sub-Commission on the Promotion and Protection of Human Rights attempted to merge the concepts of MNCs and human rights and transform these newly developed principles into hard law. The intention was to impose human rights obligations upon companies through the domestic legal systems of their host countries. The Norms clearly express that 'states retain primary, overarching responsibility for human rights protection' and that corporations are identified as 'Duty-bearers' based on that expectation of following human rights principles.[93] The expectations expressed by the Norms are supported by enforcement mechanisms for their implementation which address the requirements that MNCs must adopt in terms of their internal practice. Furthermore, there are a multitude of rights that go beyond what is traditionally accepted as international human rights law. Examples include rights associated with consumer protection, the environment or corruption which are covered by different areas of the law.[94] However, the Norms failed to achieve promising results. Described as a 'train wreck' by John Ruggie, the Norms fell under heavy criticisms for a plethora of reasons. Firstly, the Norms fall under heavy scrutiny for attempting to impose obligations upon corporations, while simultaneously imposing parallel obligations on the state. The intention was to address the fact that MNCs operate in a legal vacuum due to their status of acting as a multinational. To alleviate this issue, it was thought that binding MNCs to hard international law would be the best option. On the one hand, minimalists argue that binding multinational corporations to international law is not an appropriate method as this would go beyond the concept of soft law initiatives such as Global Compact. This argument is developed by stating that binding corporations to international law would 'privatise human rights'. The Norms would be placing obligations on an entity that was never democratically elected, nor eligible to make reasonable decisions in regard to human rights at the level of international law.[95] On the other hand, maximalists lobby for a judicial body solely focused on the practice of multinational corporations and argue that corporations should be bound by international law.[96] Secondly, there was severe backlash against the Norms from states, corporations and businesses who argued that there was a lack of consultation from the Sub-Commission when drafting the Norms. However, this argument has since been disputed by institutions such as the Corporate Europe Conservatory or the scholars Weissbrodt and Kruger.[97] In regard to the discontent presented by states, many argued that there was a lack of involvement on their behalf in the Norms' development. As stated by Kinely, Nolan and Zerial, it is of vital importance that in issues revolving around CSR and their wide variety of stakeholders, everyone's voice must be heard when protecting human rights.[98] Thirdly, issues were raised regarding the language used by the Norms. Terms like 'sphere of influence'[99] and 'complicity' were deemed as vague and unclear.[100] It is agreed upon, even by supporters of the Norms, that such terms must be defined more definitively and where possible, draw definitions from more grounded areas of the law like criminal law, tort or contract law. This attitude towards the Norms from corporations shows the extent of their distrust and the scare factor used to attempt to dismantle the Norms.[101] However, even though the Norms failed as a concept, as Kinley, Nolan and Zerial maintain, 'the Norms have been a beneficial and fruitful initiative, reinvigorating debate on business and human rights'.[102] Previous to the imposition of the Norms, CSR had found itself in a position that was stagnant, focusing solely on codes of conduct that should be implemented by corporations using a bottom-up approach. The Norms altered the position of CSR to now provide a top-down approach and provided human rights activists with hope that human rights protection in regard to multinational corporations was now in the hands of the United Nations. However, the reactions to the Norms from the CSR community varied. CSR had been a newly emerging concept which was still unclear when fitted into the international legal order. It was still in its early years of development with highly broad-reaching initiatives in the fields of both soft and hard law. The playing field for CSR was simply too big for such an underdeveloped concept to handle. Further, it was attempted to implement CSR through domestic laws and quasi-legal initiatives raised to the level of international law. It is therefore often perceived that the implementation of the Norms were an attempt to remedy CSR by uniting these various aspects into one document at the level of the United Nations. The Norms conjoined national and international levels of CSR while maintaining that states continued to hold the primary responsibility of ensuring that businesses protect human rights. The world was a 'deeply divided arena of discourse and contestation lacking shared knowledge, clear standards and boundaries; fragmentary and often weak governance systems concerning business and human rights in states and companies alike'.[103] A range of governments still expressed their demand for further attention to be given to the relationship between human rights and the practices of multinational corporations. Thus, the United Nations appointed a team led by John Ruggie to establish the Guiding Principles. Rather than establishing a new international framework as was previously attempted with the Norms, Ruggie was 'urged [.] to focus on identifying and promoting good practices and providing companies with tools to enable them to deal voluntarily with the complex cluster of business and human rights challenges'.[104] Ruggie moved away from the traditional 'mandatory approach' which involved the compliance of national laws in correspondence to a corporation's voluntary measures and practices, to a heterodox approach. This heterodox approach was devised to create an environment of mixed reinforcing policy measures that provided cumulative change and large-scale success. The Guiding Principles lay on three foundations: (1) the state duty to protect against human rights abuses; (2) the responsibility by corporations to respect human rights and the implied obligation of acting in due diligence; and (3) the need for greater access to remedies for victims. However, there are two things that the Guiding Principles fail to accomplish. Firstly, to create binding international law and instead rely on normative contributions which further elaborate the implications of existing standards. Secondly, the Guiding Principles 'fail to ensure the right to an effective remedy and the need for States' measures to prevent abuses committed by their companies overseas'.[105] Amnesty International goes further by reiterating that aside from lacking accountability measures, the Guiding Principles should mandate a due diligence approach rather than only recommending it, as this would solve internal as well as extraterritorial accountability issues. Alongside Amnesty International, Human Rights Watch criticized the Guiding Principles for not adopting a global standard in corporate responsibility, and instead resort to a 'sliding scale' based on a corporation's size and geographic location.[106] However, when compared to other governance regimes in the past and present, the Guiding Principles seem to be a robust framework. Although various human rights organizations and NGOs identify neglect of human rights in the framework of MNCs, the Guiding Principles reiterate business as an instrument to contribute to societal welfare.[107] Thus, it acts as a basis for the empowerment of society and a benchmark to judge practices and conduct of corporations and governments.[108] Conclusion The discourse of the co-emergence of multinational corporations and human rights took the world by storm. The ongoing globalization of multinational corporations and the evolution of the concept of human rights were born attending different aims in the global legal order. Their greatest challenge however was not necessarily their harmonization and co-existence, but more importantly co-existing under the intentional gap created through the world's largest and most influential actor, the United Nations. This was clearly visible in the 1960s and 1970s. Throughout the various Reports and Declarations that were passed through the international institution, the two concepts were kept separate. While the United Nations was enthusiastic for the growth of both MNCs and human rights, it intentionally avoided discussing the harmonization of both concepts. Due to the underlying pressures imposed on the United Nations by the tensions from the Cold War, the UN was left in a legal vacuum unable to merge the two distinctive genealogies. The global international legal order was unaware of the extent of the importance of such a gap being eradicated before adopting a resolution as complex as the NIEO. Thus, from this point onwards, the NIEO was therefore already bound to be unsuccessful. Not only had international law not developed enough to impose such obligations upon MNCs, the corporations themselves were not aware of the ramifications and necessity for abiding human rights obligations as I showed in the third section of this dissertation. Enthusiasm for further initiatives such as the push by the G77 or the United Nations Commission on Transnational Corporations was only short lived. The events of the 1980s greatly disrupted the already turbulent environment of the global international legal order creating a greater gap between the concepts of multinational corporations and human rights. The 1980s became a stage which saw a great change in the global legal structure. The NIEO was an already broken concept from the outset as the conceptual gap had already created a disparity in the relationship between MNCs and human rights. This meant that although they were not aware of it at the time, the Global South could not rely on the imposition of the NIEO. Fostering the Western neoliberal policies, the conceptual gap between MNCs and human rights was now well established. For human rights to become a globally instructed concept, MNCs are a useful tool to spread, promote and enhance human rights across the globe. This of course is under the condition that the MNC does not violate human rights. From the other perspective MNCs rely on human rights in terms of their societal and financial risks. It becomes clear that when this is not realized by the proponents of both concepts, it can lead to major discrepancies and disparities as was proven in the Global South during this period. If there had not been this conceptual gap, and instead there had been a clear and devised relationship between MNCs and human rights, the effects of the oil crisis and neoliberalism would not have left the detrimental mark in developing countries that they did, potentially allowing the NIEO to prevail. However, the ongoing persistence of developing countries and their call for the third generation of human rights to gain prominence forced MNCs to catch up with their relationship to human rights. What emerged, were essentially the first initiatives and practices of CSR. CSR was heavily affected by the fact that it relied on the voluntary nature of businesses to adhere to as well as practice CSR. Even though corporations had an incentive to adopt CSR measures, weak monitoring systems allowed violations to still occur on a grand scale. The issue was that the multinational corporation as a concept was still unclear and lacked definition and that tying MNCs down with hard international law was not possible due to the diversity of MNCs. CSR allowed for too large a divergence from the issue at hand and required to approach human rights at a different angle. This was the key reason for the partial success of the Guiding Principles. Ruggie's unconventional, heterodox approach provided clarity and distinct concepts that individuals, business and states could adhere to. Although the conceptual gap has still not vanished, the UN has after an array of various attempts, managed to narrow the gap that it had created almost sixty years ago by continuously forcing society to rethink and redefine the relationship. What exactly lies in the future is uncertain and impossible to foresee. It can be said with great certainty however, that if initiatives such as Global Compact or the Guiding Principles are enhanced and given more attention, the world will be faced with a much clearer and concise relationship between multinational corporations and human rights. Focusing on monitoring mechanisms, methodological research and greater transparency and accountability among all actors involved will undoubtedly seal the conceptual gap that has caused the international legal order to experience such unsettling times. [1] Pahuja, Sundhya. Saunders, Anna. Rival Worlds and the place of the Corporation in International Law in Dann and Von Bernstorff (eds). Decolonisation and the Battle for International Law (OUP, 2018) p.1 [2] Ibid. [3] UN, Multinational Corporations in World Development ST-ECA/190 [4] Linarelli, John. Salomon, Margot. Sornarajah M. The Misery of International Law. (OUP, 2018) p.245 [5] Ruggie, John. Just Business. (W.W. Norton & Company, 2013) p.70 [6] United Nations Norms on the Responsibilities of Transnational Corporations and Other Business Enterprises E/CN.4/Sub.2/2003/12/Rev.2 [7] Alston, Philip. Mégret, Frédéric. (eds) The United Nations and Human Rights: A Critical Appraisal (Second Edition, OUP, 2020) p.1 [8] Clapham, Andrew. Human Rights: A Very Short Introduction (OUP, 2007) p.42 [9] (n.8) p.108. [10] ibid . p.109 [11] Allina, Eric. Imperialism and the Colonial Experience in Paul A. Haslam, Jessica Schafer and Pierre Beaudet, Introduction to International Development (3rd Edition, OUP, 2017), pp. 24-42. p.39 [12] Ibid. p. 40 [13] Sornarajah M. International Law on Foreign Investment (CUP, 2010) p.5 [14] United Nations Department of Economic and Social Affairs, Multinational Corporations in World Development, 1973 ST-ECA/190 p.VI [15] ibid. p.1 [16] ibid. [17] Joseph, Sarah. Castan, Melissa. The International Covenant on Civil and Political Rights: Cases, Materials. (3rd Edition, OUP, 2013) p.4 [18] ibid. p.5 [19] ibid. [20] Alston, Philip. U.S. Ratification of the Covenant on Economic, Social And Cultural Rights: The Need for an Entirely New Strategy. The American Journal of International Law Vol.84, No.2 (CUP,1990) pp.365-393, p.4 [21] UN General Assembly, International Covenant on Economic, Social and Cultural Rights, 1966, Article 1 [22] Simpson, Gerry. The Diffusion of Sovereignty: Self-Determination in the Post-Colonial Age (Ashgate Publishing, 2000) p.266 [23] Ibid. [24] Organisation for Economic Cooperation and Development, OECD Guidelines for Multinational Enterprises, 1976 [25] Carasco, Emily. Singh, Jang. Towards Holding Transnational Corporations Responsible for Human Rights. European Business Review Vol.22, No.4, (Emerald Publishing Group, 2010). p.4 [26] Cernic, Jernei. Corporate Responsibility for Human Rights: A Critical Analysis of the OECD Guidelines for Multinational Enterprises Hanse Law Review, Vol.4, No.1, (2008). p.16 [27] Ibid. p. 12 [28] Sanchez, Juan Carlos Ochoa. "The Roles and Powers of the OECD National Contact Points Regarding Complaints on an Alleged Breach of the OECD Guidelines for Multinational Enterprises by a Transnational Corporation." Nordic Journal of International Law (2015) Vol.84, No.1, pp: 89-126 p. 18 [29] Bolt, Cassidy. "Leveraging Reputation in Implicit Regulation of MNEs: An Analysis of the OECD Guidelines for Multinational Enterprises' Capacity to Influence Corporate Behavior." Corporations and International Law, 20 Jan. 2018, Available at: sites.duke.edu/corporations/2018/01/20/leveraging-reputation-in-implicit-regulation-of-mnes-an-analysis-of-the-oec
Social Class in Arundhati Roy's The God of Small Things TomyPriyoUtomo English Literature Faculty of Languages and Arts State University of Surabaya tomy.priyo@gmail.com Prof.Dr. FabiolaDharmawatiKurnia, M.Pd. English Department Faculty of Languages and Arts State University of Surabaya fabkurnia@gmail.com Abstrak Karyasastraadalahrepresentasikehidupansosial.Di dalamkehidupanmasyarakattertentu, seperti India, adasebuah system yang dinamakankelassosial.Kelassosialmembawamasalahsebagaidampak yang tereflekisdalam novel The God of Small Things karyaArundhati Roy.Tujuandaripenelitianiniadalahuntukmengungkappenggambarankelassosialpadatokoh-tokohdandampaknya.Dalamskripsiini, data yang digunakanadalah novel The God of Small Things karyaArundhati Roy yang diterbitkanpenerbit Flamingo.Dalammenyelesaikanmasalah yang sudahdipaparkan, penggunaanteorikelassosialmilik Karl Marx akandiaplikasikan. Penggambarantokoh-tokohkelassosialdianalisadenganmenggunakandefinisikelas yang didukungolehpelbagaiaspeknya.Sedangkandampakdarikelassosialdianalisadenganmenggunkankonsekuensidarikonsepkelassosial.Tokoh-tokohsosialkelasdigambarkanmelaluibeberapapoin yang mencangkupkekayaan, pekerjaan, danpendidikan.KelassosialatastergambarpadasosokPappachi,Mammachi, Baby Kochama, danChacko.SedangkanKelassosialbawahtergambarpadasosokAmmu, Velutha, Rahel, danEstha. Olehkarenaitu, kelassosialpadatokoh-tokohtersebutmemeberidampakpadakesehatanfisik, kesehatanjiwa, kehidupankeluarga, pendidikan, agama, dansistemkeadilanpadakasuskriminal.Jadi, halinisepertiduridalamdaging yang sudahmengakarpada system kehidupansosial di India. Hal ininampakpadakasusAmmu yang haruskehilangan status sosialnya, hargadiriPappachiterhadapMammachi, dantokoh-tokohlainnya yang meenghadapimasalahkelassosial. Kata Kunci: India, masyarakat, kelassosial. Abstract Literary work is the representation of social life. In a particular social life, such as India, there is social class. The social class dribbles the ball of problems as the impact in Arundhati Roy's The God of Small Things is one of the representation of it. This thesis is aimed to reveal depiction of character's social class and impact of their social class. In this thesis, Arundhati Roy's The God of Small Things published by Flamingo is used as the main data source. In answering the statement of the problems, theory of social class based on Karl Marx's view is applied. The depiction of the characters' social class is analyzed using definition of social class and supported by aspects of social class. The impact of the characters' social class is analyzed using the consequences concept of social class. The main characters' social class is portrayed through several points. They are wealth, occupation, and education. The Upper social class is portrayed on Pappachi, Mamachi, Baby Kochama, and Chacko. Then, The Lower Social class is portrayed on Ammu, Velutha, Rahel and Estha. Therefore, social class on the characters gives impact on Physical health, mental health, family life, education, religion and the criminal system justice. So, this thesis portrays the intimate enemy of the system that has been rooting in India that always brings problems caused by it, the social class. It can be looked at the fall of social status of Ammu, the dignity of Pappachi toward Mammachi, and other characters who face the same problem of social class. Keywords: India, society, social class. INTRODUCTION In social life, people are demanded to live in integrated individuals where each individual delivers different characteristics. These differences finally construct a problem within the social life, especially economic problems. Economic problem has been classic problem that cannot be avoided in modern life, thus people are categorized by their capability in economic status or class. This categorizing unconsciously creates a phenomenon where society is sorted. The sort of society based on the economic capability seems to have been articulated by Karl Marx, where society with low capability to product will be dominated by the society with high capability to product. Marx exclusively distinguishes three major classes, each of which is characterized in its role in the productive system by 'the factor of production' it controlled –the land-owners, obviously, by their ownership of land; the capitalists ('bourgeoisie') by their ownership of capital; and the proletariat (working class) by their 'ownership' of their labor-power (Worsley, et al., 1970: 302). Finally, social class turns to be tight and the distance among classes go further. In modernism, construction of society is shaped by the demands to live better. This way indirectly emerges competition that a one should defeat the other one just to earn the economic status. This also becomes the base of Western to colonize and dig the domination to Eastern and African. Indeed, colonization has been passed, and all people has freed, but it has not been clear at all. Behind this fact, colonization has leaved behind the effects toward the people who have been colonized. Sometimes, this fact slaughters keenly the problem of the post-colonized people, for instance in India. In India, there is known system of caste, Brahman, Kshatriyas, Vaishyas, and Sudras. Some 3500 years ago invaders from the north, known as Aryans, imposed the caste system; there is no conclusive evidence that they originated the idea of caste in India, but it seems to be the most likely explanation. The Hindu religion divides the population into five basic groups. The highest groups are known as Varnas (colors) and beneath them come a group without caste, the Untouchables. The four Varnas consist of: Brahmans (a priest caste), Kshatriyas (a military caste), Vaishyas (a merchant or agricultural caste), Sudras (a laboring caste). These caste has been like a stamp to people's destiny and it impacts to their statues in society. These statues are not decided by what they have economically but from what caste they are. Then, it turns to be interesting thing when this system is faced with the problem of economic in modern life (Nobs, 1980: 30—31). As modern people, ability of delivering feeling is not only through direct utterance. The freedom to think, to articulate what they feel finally reach the world of literacy based on the experiences. In the literacy, meanings are accommodated with the beauty of words. Hence, in literary work, especially novel, the view of society including the problem of class can be mediated. It is added by Richard Taylor's Understanding the Elements of Literature, he says that literature is art that essentially created by imagination of the author's experiences (Taylor, 1981: 1). Wellek and Warren even assert that literature can be treated as a document that contains of historical idea and philosophy (Wellek& Warren, 1984: 111). Subsequently, literature work can be something important, crucial, and even interesting thing to dig up with interpretation. The crucial things can be seen in Arundhati Roy's The God of Small Things. TheGod of Small Things depicted the life Indian society. The setting of the story takes place in Kerala. The story tells us that comunism or even religion which teach us about equality in human rights in the reality it can not change discrimination and patriarchy in society. The main characters in this novel are Estha and Rahel. They are twins. Their grandfather is the owner of a company from Christian which is very high class (touchable). But their mother has marry with the Hindust man, it means she must change become lower class (untouchable). Max Weber stated that the social class is divided into trhree layers- the upper class, the midle class and the lower class. The higest level is held by educated and wealthy family. This includes Pappachi family. Their social classes are in the high social classwhich gives the member of this class has different life styles,attitudes, educations, and opportunities in the society. The next class is lower class (untouchable), untouchable person can not touch high class. They are uneducated person. They are not allowed to work in high position. In this novel untochable personis Velutha. Velutha is a paravan. Paravan is the lowest caste in Indian. Furthermore, the richness of this novel has glimpsed on the awards that attaches on Arundhati Roy herself and hers. It needs to know that The God of Small Things has won The Man Booker Prize for fiction in 1997. Arundhati Roy herself is a famous Indian novelist and social activist. In 2002, she won the Lannan Foundation's Cultural Freedom Award for her work "about civil societies that are adversely affected by the world's most powerful governments and corporations," in order "to celebrate her life and her ongoing work in the struggle for freedom, justice and cultural diversity". In 2003, she was awarded 'special recognition' as a Woman of Peace at the Global Exchange Human Rights Awards in San Francisco with Bianca Jagger, Barbara Lee and Kathy Kelly. Roy also was awarded the Sydney Peace Prize in May 2004 for her work in social campaigns and her advocacy of non-violence. In January 2006, she was awarded the Sahitya Academy Award, a national award from India's Academy of Letters, for her collection of essays on contemporary issues, The Algebra of Infinite Justice, but she declined to accept it "in protest against the Indian Government toeing the US line by 'violently and ruthlessly pursuing policies of brutalization of industrial workers, increasing militarization and economic neo-liberalization". In November 2011, she was awarded the Norman Mailer Prize for Distinguished Writing. It shows that she is one of important writer in India. Her literary works always tell about social and tradition also symbols to be analyzed. In the instance Roy shows Indian culture as the identity in her literary work. Most of her master piece is showed about social class, tradition in Indian culture. She wrote many books such as an ordinary person's Guide to Empire, War talk, Public Power in the Age of Empire, Power Politics, The Checkbook and the Cruise Missile and The Cost of Living. After all, it is unarguable to be questioned that Arundhati Roy's The God of Small Things is full of crucial issues. Based on those facts, the crucial issue that emphasizes on this thesis is in the social classes, thus the potential title that can be put on it is "The Intimate Enemy of Social Class in Arundhati Roy's The God of Small Things". RESEARCH METHOD The used method is descriptive quality; it means that the essence or the quality of the data becomes the reference to work rather than the quantity of the data. With interpretation toward the data, the analysis can be worked. Interpretation becomes crucial step because with regardless this, the analysis cannot be maximally operated. It is also as the technique of the study. Then, the approach of the analysis sharpens to mimesis where the universe is used as comparative literature toward the result of the analysis. Indirectly, it includes in extrinsic approach where the sociality is referred as the universe. SOCIAL STRATIFICATION In social life, they always have something that is appreciated. That can be wealth, knowledge, education or economic. In Narwoko&Bagong'sSosiologi: TeksPengantardanTerapan, SoerjonoSoekanto states that in rural society, land and livestock are often considered more valuable than education. On the contrary, it does not happen in modern society. In society, people who have valuable goods in large quantities will be more appreciated rather than people who have a small amount. Thus, they will be considered as low class (Narwoko&Bagong, 2004: 152). This low class construction, because there is characteristic of "not" low class. This construction finally creates categorizing that can be called as stratification. Sorokin states that 'Stratification' is a term used to characterize a structure of inequality where individuals occupy differentiated structural positions and the positions are situated in layers (or strata) that are ranked hierarchically according to broadly recognized standards. The implied reference to sedimentary layers from geology reflects the relative permanence of the posited structure and the long history that is assumed to have generated it. Stratification researchers focus primarily on the empirical study of the sources of the rankings that generate the hierarchy of strata, the mobility of individuals between strata, and the mechanisms of integration that allow societies to cope with the existence of persistent inequalities between strata (Narwoko&Bagong, 2004: 153). Aristotle observed two millennia ago thatpopulations tended to be divided into three groups: the very rich, the very poor and those between. It shows that in ancient times people have come to know and recognize the hierarchy system in society. Social stratification can basically be distinguished into three kinds. They are Class, Status and Power (Worsley, 1970: 288). SOCIAL CLASS According to Karl Marx's Theory of Class, as quoted by Chris Livesey, it is stated that class is the motor of social development. Marx argues that society has developed through four main epochs ("period time"). They are Primitive Communism, Ancient Society, feudal Society, and Capitalist Society. For him, only the first epoch (the "primitive communism") is free from some form of social stratification on the basis of class. This is because, for Marx, class forms of social stratifications only come into existence once people start producing more goods than they require fulfill their everyday needs and gatherer society are basically subsistence societies; that is people can only manage to hunt/ gather enough food for their everyday needs (sociology.org.uk). To describe in detail this theory, it needs to be classified based on the definition, aspect, and consequences of social class. Karl Marx is one of the first writers who analyzes class differences. He sees class as a phenomenon of any society where the ownership of wealth and the means of production, factories or land, gives an economic basis for stratification. Marx also outlines different stages in history in which the ownership of property gives one group control over others. The group, which controls and owns the means of producing food and goods, is the dominant class. Furthermore, Marx argues that there is a constant struggle, a class struggle, and this conflict between the different classes brought about changes in society (Nobs, et al., 1980: 28). Therefore, the conflict among classes are grounded by the domination of a high class over the low class. Class itself, as Lenin says, is large groups of people differing from each other by the place they occupy in a historically determined system of social production, by their relation (in most cases fixed and formulated by law) to the means of production, by their role in the social organization of labor and consequently, and by the dimensions of the share of social wealth of which they dispose and the mode of acquiring it (Collected Works, Vol. 29: 421). Furthermore, Karl Marx divides social class into two classes. They are Capitalist class (or "bourgeoisie") and Working class (or "proletariat"). Capitalist class is those who own and control the means of production (which involves ownership of such things as land, factories, financial institutions and the like). And working class is those who own nothing but their ability to sell their labor power (that is, their ability to work) in return for wages (Henslin. 2003: 284). Similar to Karl Marx in discussing about social class, Max Weber tries to generate it with defining social class as a large group of people who rank close to another in wealth, power, and prestige. These three elements separate people into different lifestyles, give them different chances in life, and provide them with distinct ways of looking at the self and the world (Henslin, 2012: 276). Aspects of socials class are classified referred by wealth, by occupation and by educational level. Each can be used for different purposes or they can be combined (Worsley, 1970: 292). According to Henslin, the primary dimension of social class is wealth. Wealthconsists of property and income. Propertycomes in many forms, such as buildings, land, animals, machinery,cars, stocks, bonds, businesses, and bank accounts. Incomeis money received as wages, rents, interest, royalties, or the proceeds from a business (Henslin, 2003: 276). Furthermore, the spread of material resources among the population is an important indicator of social inequality, while changes in this distribution over time indicate whether society is becoming more or less equal. The investigation of the spread of personal income and wealth, however, is fraught with difficulty because of inaccuracies in the data, the problem of deciding the relevant unit of analysis (whether to use individuals, families or households), how to assess the non-monetary benefits derived from government expenditure, and the way individuals' positions may change over the life-cycle (Abrecombie, 1994: 120). Occupation is another aspect of class that definitely can be included as the ground of belonging to a class.People give less prestige to jobs that are lowpaying, require less preparation or education, involve more physical labor, and areclosely supervised. For example, people in every country rank collegeprofessors higher than nurses, nurses higher than social workers, and social workershigher than janitors. As soon as people develop of being specialized kinds of work, they also get the idea that some kinds of work are more prestige than others. The high prestige occupations generally receive the higherincomes; yet there are many exceptions. The next is factor is education. According to Lindemann, as quoted by Sharon Link & Alexandra Howson in Sociology Reference Guide: Defining Class, it is stated thateducation plays a significant role in one's social position, that is, to aperson's place in the social hierarchy and ultimatelyin stratification. Education also can provide equalityof opportunity and contributes directly to social mobility (that is, to one'sability to move upwardly from one's social class of origin). Social and economic indicators such as income and occupation are typically used to measure social class, and education plays a significant role in determining one's employability, employment, and income (Danziger& Reed, 1999). Education therefore plays a crucial role in the likelihood of people being able to improve their social class location by moving into higher occupational classes. Education is seen as having different functions. Within a consensus or functionalist perspective, associated with the work of Talcott Parsons, education is seen to have a role in socialization; it contributes to ensuring that children are 'trained' to comply with the demands of the social system. Indeed, for many people, education exists to ensure that individuals learn how to be good citizens and thereby maintain an efficient, stable social order. Consequently this view of education emphasizes merit, ability and effort and the needs of society or the economy. Such a view also expresses in the idea that education is about individual opportunity (Raines & McAdams, 2006). When social class exists in society, there will be many impacts given. According to Henslin (2003: 288), consequences of class are divided into six categories. It is very good to be applied as the impact of the social class in The God of Small Things. They are: (1) physical health (2) mental health (3) family life (4) education (5) religion and (6) criminal justice system. SYSTEM OF CASTES IN INDIA India is a country where system of caste grows basically. There were four original castes, separately created by Brahma: Brahmans, Kshatriyas, Vaishyas and Shudras. This fourfold division has its origin in the Vedas, the sacred books of the Hindus, and one of the 'most ancient books in the library of mankind'. They are admitted by all the adherents of the Hindu system to be the primary and infallible authority on the origin of the castes (Keanne, 1978: 24). Senart defines a caste as a close corporation, in theory at any rate rigorously hereditary : equipped with a certain traditional and independent organization, including a chief and a council, meeting on occasion in assemblies of more or less plenary authority and joining together at certain festivals : bound together by common occupations, which relate more particularly to marriage and to food and to questions of ceremonial pollution, and ruling its members by the exercise of jurisdiction, the extent of which varies, but which succeeds in making the authority of the community more felt by the sanction of certain penalties and, above all, by final irrevocable exclusion from the group. While, according to Sir. H. Risley, a caste may be defined as a collection of families or groups of families bearing a common name which usually denotes or is associated with specific occupation, claiming common descent from a mythical ancestor, human or divine, professing to follow the same professional, callings and are regarded by those who are competent to give an opinion as forming a single homogeneous community (Ambedkar, 1916: 3—5). In India, there is known system of class based on the caste. Thus the caste is having seemed to a thing that is flown in people's blood. Hindu religion divides the population into five basic groups. The four highest groups are known as Varnas (color) and beneath them come a group without caste, the Untouchables. The four Varnas consist of Brahmans (a priest caste), Ksathriyas (a military caste), Vaishyas (a merchant or agricultural caste) and Sudras (a laboring caste). Within these groups there are thousands of subdivision; among the Brahmans there are more than 500 subdivisions and there are over 200 divisions of people without caste (Nobs, et al., 1980: 31). India's majority population is Hindu (although it is worth noting that Hinduism is highly variable). Caste is often regarded as a social structure arising from Hindu practices and ideas. But, other religious groups in India also make caste distinctions. Muslims, Christians, Sikhs, Buddhists, and Jains have historically recognized and reinforced caste and/or varnadistinctions (Mines, 2009: 67). SYRIAN CHRISTIAN AND KERALA HISTORY Kerala provides a particularly interesting case study on race because religions are divided from each other based on caste. That is, not only do Hindus follow the caste system, but Christians as well (Sonja, 2001: 129).The Syrian Christians pride themselves on being one of the earliest Christians in the world and trace their conversion to the year 52 AD, when the Apostle of Jesus, St. Thomas arrived on the Kerala port city of Malankara near the bustling trade hub, Muziris.19 According to Syrian Christian communal history, after the death of Christ, the apostles went to different lands to spread the Word of God. St. Thomas went east through Babylon, present day Iraq and onto India. On arriving at the Kerala coast in 52AD, St. Thomas reportedly performed a miracle in front of Brahmins taking a ritual bath. He threw the water in which the Brahmins were bathing into air and it stayed there (Chittilaphilly, 2000:14). Then, The Brahmins impressed by this miracle, immediately asked to be baptized. St. Thomas established churches at Kottaickal, Kokamangalam, Paruetta, Chayel, Kurukkanikulam, and Palloor. He also established chapels and erected crosses at Niranam, Pallipooran, Vattamarry, Cranganore, Palloor and Kuthamana before he was martyred outside Chennai. During St. Thomas's tenure in Kerala, he performed miracles and acts of penance that draw pilgrims to St. Thomas sites to this day (Sonja, 2011: 31). "When I was young, low-castes had to get out of the way of an upper-caste. They would know to get out of the way because the upper-caste would travel with a servant. Every now and again, the servant would call out "hoi". When I was a young girl, I would hear that. "Hoi…" and then a little while later, "hoi". If the low-caste was on the path, he would hide off the path until the upper-caste passed. They used to get out of our way too. My mother told me that us Christians would have servants to sweep the ground before us as we walked so we would not step on any bugs. We were just like upper-caste Hindus" (Sonja, 2011: 36). Restrictions were also placed on worship—lower castes were not permitted to worship the 'high' Hindu Gods (Shiva, Vishnu, and Krishna) but were relegated to demon worship. Temple entry for low-castes was denied. Low-caste Hindus and Christians were prevented from obtaining and education and excluded from public service and government positions (Sonja, 2011: 36). Namboodiriswere exempted from land taxes while low-castes had to pay taxes and fees for even the right to use an umbrella or a palanquin. Namboodirisalso controlled the informal judicial system. While they were exempted from the death penalty, low-castes could receive the death penalty for ordinary offenses such as theft. The sentences of low-caste criminals were brutal: death by elephant trampling, blown from mouth of cannon, hung for 3 days, and mutilations (Sonja, 2011: 36). Historians have conjectured that regulating the oldest son to marry within the caste ensured that the illam(Brahmin property/residence) was kept caste pure (Sonja, 2011: 38). Only converted upper-caste Hindus would be accepted as part of the Syrian Christian fold (Palakunnel, 1999: 221). THE UPPER CLASS Characters who are Upper Class in the God of Small Things are: Pappachi, Mammachi, Chacko, BabbyKochama, Estha and Rahel. The novel tells us about social life in Ayemenem, a rural area in Kerala, India. Pappachi is one of the richest people in the area. He lives in a good wealth. Every single thing that he does shows that he is a rich person. Thus, Pappachi belongs to the upper social class. The higher class people, such as working class women or women who has rich husband usually have a higher life-style. It can be seen from the way of their life. Appearance becomes the most important thing for upper class women. They usually wear expensive clothes or expensive stuff to show off to other people that they are upper class. Mammachi here, in the novel, in the reality of the novel, is told as the wife of Pappachi, a Syrian Christian with high social class. Becoming a wife of the man from high class, indirectly, will lift up her status in front of the society's eyes. With that fact, Mammachi "should" have a life as upper class, with glamour life style, exclusive life, and everything with highest quality. Expensive, that is the proper word for her jewelries, as been exposed to this statement, "Margaret Kochamma took Mammachi's hand. The fingers were soft, the ruby rings were hard" (Roy, 1997: 83). There, the fact is barely exposed, how Mammachi's passions and desires toward jewelries, especially for the expensive ones. Wherever her body exists, wherever her feet step up, wherever her life strolls up to her social life, the jewelries never go to waste to be leaved, it is always following to decorate herself to become "like" upper or high class as usual. Probably, it can be related to the characteristics of women universally, that they likely to show off their jewelries to appear the impression of their status, class, and wealth. Chacko is the first child of Pappachi. As the oldest child, plus a fact of his sex is men, Chacko has privilege. Furthermore, in India, men are having high position especially in social life. It can be understood that India is Patriarch Country where men must have privilege to control everything including women. Going back to Chacko's fact, in the family system, Cahcko can claim to own all properties in the family. As Mamachi's Pickles company, the controller, the manager, the one who has major right is the oldest men child, and he is Chacko, it can be read on this statement, "Legally this was the case, because Ammu, as a daughter, had no claim to the property" (Roy, 1997: 28). Based on that fact, it can be supposed officially that Pappachi's and Mammachi's wealth will be inherited on Chacko, while Ammu, as the women child, has no right on that privilege above those wealth or properties. It presents that Chacko has a govern of Pickles Factory. It is strengthened with the statement of Chacko confesses that the factory is his own. That is clear factually that Chacko has good wealth that means he is a high-class man. Actually, it is important to add that Chacko also has a potential to manage the factory because Chacko has been educated, he has good level of education. Thus, it drives his brain being clear of thinking cleverly, managing something in a god way, and giving good profit. For additional information that supports it, "Chacko had been a Rhodes Scholar at Oxford and was permitted excesses and eccentricities nobody else was (Roy, 1997: 19). Baby Kochama is the sister of Pappachi, John Ipe. She is the most famous person in Kerala. "He was a priest of the Mar Thoma church. Reverend Ipe was well known in the Christian community as the man who had been blessed personally by the Patriarch of Antioch, the sovereign head of the Syrian Christian Church—an episode that had become a part of Ayemenem's folklore" (Roy, 1997: 12).John Ipe is not common priest, she becomes famous because she has been blessed personally by Patriarch of Antioch. Patriarch of Antioch is the Head of Christian Syrian Church. Because of that, after John Ipe has been blessed by the the Head of Christian Syrian Church, John Ipe is respected by the people around her. It means that John Ipe has high social class, especially for people in Ayemenem. Ammu is the last child from Pappachi's family. As the child of high-class family, Ammu automatically belongs to be high-class one. Her life, lifestyle, and education have shown that Ammu is high-class one. Education is something important for a one with high social class. It is usually considered as he step of a one to be high-class one. It is also a factor that can support a one to be high-class one because it can influence the sight and the view of people around him or her to consider as high-class one. Ammu is drawn as a woman that has good education, this educated woman continuously affects her status. It is seen by this statement, "Ammu finished her schooling the same year that her father retired from his job in Delhi and moved to Ayemenem." (Roy, 1997: 19). After finishing her education, Ammu marries to someone. Ammu marries to someone with good wealth. Ammu meets with her husband in a party, the party where rich men jostle and show their wealth off. It is accepted when it is called as a party where rich men assemble, because the irrational thing must be happening when the party is for poor men or low class because the Touchable and the Untouchable must not be touched each other. While Ammu is high-class one, and she comes to a party. The party logically must be a party for high class, and the man that marries to Ammu must be a man from high class. Several weeks pass, Ammu marries with him. "He was on vacation from his job in Assam, where he worked as an assistant manager of a tea estate. His family was once-wealthy zamindars who had migrated to Calcutta from East Bengal after Partition." (Roy, 1997: 19). THE LOWER CLASS Characters who are Lower Class in the God of Small Things are: Velutha, Ammu, Estha and Rahel. Lower social class in this novel is strongly drawn in Velutha's character. Velutha is black but he is so smart. Social class rises strongly through his life. He lives in poverty. As the main character, Velutha belongs to the lower social class. Life background has significance role and it makes his having lower class level as poor people. "He was called Velutha-which means White in Malayalam-because he was do black. His father, Vellya Paapen, was a Paravan. A today tapper (Roy. 1997: 35).The quotation shows Velutha's life background. Velutha is a son of Vellyan Paapen whom a Paravan. So, it automatically makes Velutha become a Paravan too. Paravan is the lowest caste in India. It is also called Untouchable. A Paravan contains of poor people because usually Paravan only work as a lower labor. Velyan Paapen works as a maid in Pappachi family, it means that he cannot deserve his son to get a good financial condition. It brings Velutha living under poverty. Social class rises through his poor condition, because the economic condition he has, indicates that Velutha belongs to lower class people. Ammu is a Christian Syrian from upper class. However, after she gets a divorce with her husband, her status also changes. From being a high class, he turns it in to lower class. After divorcing, Ammu comes back to Pappachi's home in Ayemenem, Pappachi welcomes it because of his compassion toward Ammu, his daughter. But, it does not take to many time for Ammu to decide to get off of the home. Because Ammu "secret" love with Veluthe has been revealed up, thus it drives Pappachi angry and Ammu gets off. Ammu has to fulfill all necessity for her life, she has to work to earn money. Before that, she works at the Pickle factory of her family, but when she has been dropped out of her home by Pappachi, Ammu search for other job in other place. Job is the important factor in dragging the strata in front of the eyes of society socially. People from high class usually have prestige job with good salary. Because it can influence to what life they choose, by buying everything, shopping everything, and establishing their arrogance of the wealth. Following that, the impression of being an upper class can be sought and decided. However, behind that fact, the lower class only has lower jobs, those lower jobs jail their economy. The limited economical conditions will never change their status and strata in front of the society's eyes, thus, their status will keep being lower and never being changed. Ammu, then decides to work at a hotel as a receptionist, and working as a receptionist is not a prestige one. Additionally, the hotel is not five stars hotel, it is only a small hotel with low standard, as has been quoted on this statement, "Ammu had lost the latest of her succession of jobs—as a receptionist in a cheap hotel—because she had been ill and had missed too many days of work." (Roy, 1997: 76). Nevertheless, working here has dropped the health of Ammu down. Probably, it is caused by her changing life, from living in good house with good treatment to living in a low life. His illness finally sharpens to the way she works, she often gets the absences on working, and it makes her getting the fire as a receptionist in that small hotel. Furthermore, working at a small hotel will not give gret significance of changing for a woman like Ammu, particularly for what she gets on his salaray. This quotation can be regarded, "On that last visit, Ammu spent the morning with Rahel in her room. With the last of her meager salary she had bought her daughter small presents wrapped in brown paper with colored paper hearts pasted on." (Roy, 1997: 77). 'Meager salary' explains clearly how small the salary that ammu gets, and it must not fulfill enough for her necessity. The work of Ammu like this is not the prestige one and the salary is too small. That is the main point of this talk, it is concluded that Ammu becomes a lowe class after facing divorcing. The divorcing is added by her love with a low class, Velutha, that facts slap her status in front of the society. Socially, her status collides and becomes one of low class masses. Estha and Rahel are the twin of Ammu with Baba. Estha and Rahel have unique life in this novel. When they are still child, Estha and Rahel are treated by Ammu in her family life that is from upper class. However, although they are live there, there is an unsaid rule that sets Ammu and her children have no right anymore to live in Pappachi's house. But, Pappachi's commission breaks that rule, so that is why they can still enjoy to live in Pappachi's house. It is clear to be understood that Estha and Rahel can be put in to a detail that they are children from upper class. Estha and Rahel can enjoy a trip with family private car that for low class that is the most greatful trip. The trip that they will ever enjoy. The trip they never imagine. The trip they never fantasize because they have been adapted to jostle in the public transportation with the bad smell and disgusting sweat of poor people. Their life is painted in that public transportation and tripping with privacy car is only a part of their fantasy. Estha and Rahel also often go to cinema, it is even told that they have watched film entitled "The Sound of Music" three times. After watching it, they go home to Ayemenem, with one night over sleep in a great hotel. Plus, the smell of food, their trip becomes perfect. The fact like that, is something that is only for upper class, it is important for low class of having it. This lifestyle, indeed, need much money, thus it belongs to upper class with good condition economically, besides that, it is also becomes the viewpoint of valuing the strata of a class. Rahel is a daughter of Ammu. After being left by her brother, Estha, who is sent back to his father, Rahel becomes sad, the sadness grows peaking up when she has to be leaved by Ammu. Rahel, then is treated by Mammachi. All the need of Rahel is fulfilled by Mammachi. As the grand daughter who grows in upper class family, Rahel gets good education. "She spent eight years in college without finishing the five-year undergraduate course and taking her degree. The fees were low and it wasn't hard to scratch out a living." (Roy, 1997: 9). Rahel then continuous her school to a university, and it is not a big problem for Mammachi to pay all the charge of the school. Rahel spends eight years in that university and ends it with no graduation, or it means that Rahel drops out. She even decides to marry to a man from America and go with him to America. Actually, that is not good marriage for Rahel. She is too hurry up to marry. "Rahel drifted into marriage like a passenger drifts towards an unoccupied chair in an airport lounge. With a Sitting Down sense." (Roy, 1997: 10). After deciding to marry and move to America, Rahel does not enjoy her life, because she is not treated as an upper class. Because Rahel has married, her life burden goes to her husband's own. Thus, Mammachi does not pay anything of Rahel's life anymore. However, the age of the marriage is too short, not long after that, the marriage is broken down. Rahel divorces with her husband, and it insists Rahel to work to stay alive and fulfill all necessity for her life in America. It is clear to see that Rahel live in the circle of low class life. She works as a waiter in an Indian restaurant in New York. It is easy to be classified that working as a waiter is one of low class job, it has no any prestige. That job just give little earn for her life daily. Life he has to pass is different with the life he gets in Ayemenem. Rahel also ever works as an employee in a gas station. This job is not a job that can give her good earn in salary. This fact, one day, makes a procure offers Rahel to become a sexual worker where she can get more money. This is simply clear to understand, how low Rahel life in America, and she can be put in to one of low class people. THE IMPACT OF THE SOCIAL CLASS In this section, the impact of social class will be explained. The impact of the social class will be revealed through several characters that have connection each other. The consequences of social class by Henslin (2003) will be used to analyze the impact of the class. The consequences of class that will be used to explain are family life, education, religion, and criminal justice system. Pappachi, the character who is drawn as Upper Class has some impact in his social life. Those are family life and mental health. Papachi has good education, he has prestigious job, besides that, he also has good wealth. It makes him becomes a character or a one who is upper class. The wealth and the prestigious job he has makes him always looks prefect. He desires to be looked as the perfect one around the people. As a man with upper class, Pappachi becomes very famous in Ayemenem. It can be seen to the quotation above, when Pappachi passes away, Indian Express, a newspaper with English letters, writes the news about the death and the funeral of Pappachi. It means that, Pappachi is not only an upper class one, he is more than that. However, the important part that can be informed in this fact is, the class of Pappachi. It is not easy for low class to be put on the newsletter, only important information that can be considered as the important news to be informed, and low class does not belong to. Mammachi is an Indian woman character. As an Indian woman, Mammachi receives all things happen to her. Mammachi marries to Pappachi who is an upper class. Thus, it can be seen that it is not easy to have a couple from different class, especially upper class. However, Mammachi has been ready of facing all the risks, the risks that bring the consequences of social class.Mammachi is accustomed to get hit from Pappachi. Mammachi does not do anything because for Indian women, women, as a wife,have to serve their husband. So whatever her husband does to his wife then his wife must accept it. "He never touched Mammachi again. But he never spoke to her either as long as he lived' (Roy, 1997: 23). So, Mammachi is never really touched or talked at all to Pappachi until Pappachi died. Besides family life, Consequence of social class also influences to the religion. People who are Christian Syrian, are supposed to be upper class than Hindus. In an intriguing chapter of Modernization and Effeminization in India, Anna Lindberg discusses how jobs within cashew factories in Kerala are dependent on one's caste. The dirtiest job, shelling the cashews, is done by the lowest castes of the factories. Shelling is the most unhealthy job as it involves removing the roasted nuts from the corrosive black oily shells. The next step up is peeling, or removing the brown skin from the cashews and is performed by both the scheduled castes and the Ezhavas caste (Linberg, 2005: 55). That quotation explains indirectly how caste affects the job of people in India. People with upper caste will throw the obligation and duty of the job to the lower caste, and people with upper caste prefer choosing clean and light works. Thus, the lower caste, people with the lower caste always works with dirtiness job, and low class job. Chacko is the first son of Pappachi and Mammachi. He was born from upper class family, and it makes the life of Chacko is surrounded by the wealth that can sink himself in the sea of this life. Upper class is portrayed clearly in this novel and it is reflected by Chacko's character. It can be looked at the background of education and of lifestyle of Chacko. The background of education of Chacko that is laid on Oxford and marries-divorces-re-marries, and gets back to Ayemenem, and ends it with heading the Pickle factory, have proven that it is the interesting life to have. However, this social class, finally affects his mental health. As the head of the Pickle factory, Chacko actually can do everything he wants, he has that chance. As has been exposed on this follows statement, "He would call pretty women who worked in the factory to his room, and on the pretext of lecturing them on labor rights and trade union law, flirt with them outrageously." (Roy, 1997: 31). Chacko has a habit of calling all beautiful women who work at the Pickle factor. He invites them with reason to teach them about the rights they have to have. However, Chacko does not do that, it is just a reason. Chacko tries to sleep those women with giving them money. For Chacko, spending much money for sleeping with women, is not a great problem. The condition of his economy, especially money, can guarantee it. Baby kochama is a character who has upper social class in the novel. Her social class then gives impact toward criminal justice system. One with upper social class is usually respected. Once, when Baby Kochama arrives at a police station, she is treated as if a queen. The police treat her very well, with great attitude, and so much respect that is never hidden in the police's mouth. She ever sells a lie to the police, and the police trust it by taking it for granted. Based on that fact, it can be articulated that the impact of Baby Kochama as the upper class is really affecting to her life, her life that is full of respect by the people or the society around her. For the support to proof it, this statement can be supposed to, "Baby Kochamma misrepresented the relationship between Ammu and Velutha, not for Ammu's sake, but to contain the scandal and salvage the family reputation in Inspector Thomas Mathew's eyes." (Roy, 1997: 122). It is clear when it is known that Baby Kochama sells the lie to the police just because she does not want her family gets down of reputation. The way Baby Kochama utilizes her status in the society is very tricky. She reconstructs the story of Ammu and Velutha because the relation between the two is such a shame thing for the family, especially for Baby Kochama's family that is from upper class. With no having any choices to save the reputation, Baby Kochama finally does the lie, with regardless the value of lying is lower than lower class status. Impact of Ammu as lower social class is drawn in physical health and criminal justice system. Ammu suffer from many diseases after he gets out of Ayemenem's house. As has been exposed on this follows statement, "Who came back to Ayemenem with asthma and a rattle in her chest that sounded like a faraway man shouting" (Roy,1997: 76). Her weak economical condition grave illnesses suffered by Ammu. There is not much that can be done by Ammu. Eventhought she is sick, she still has to work to meet all her needs. Living in poverty make Ammu can not treat her disease. Her physical changes occur from groomed Ammu and beautiful become Ammu who has disease and ugly. Ammu physical changes that profoundly changed drastically make her looks very different. When Baba, who is a Hindus, marriage with Ammu that makes the church doesn not want to bury Ammu. because for the church Ammu has different class from them. So, Chacko dicides to bring Ammu's bodies to the electric crematorium. Ammu's bodies are treated very badly, they wrap the body of Ammu on a dirty mattress. How Ammu's bodies are treated very clearly illustrates how Ammu's social class. Her marriage that is considered wrong, living in poverty and disease she has, it all led to Ammu suffer until she dies. Cremation place that is used to burry Ammu's bodies is very dirty. From the above quotation clearly seen what people is burned in that place. Only the bodies of beggars, criminals and police custody are burned on the ground. It is impossible for bodies of people wiyh high social class and have good econmomic condition is buried in that ground. Unfortunately again, no more families are present in addition to the ground except Chacko and Rahel. Impact on the character Velutha great looks of the criminal justice system. Velutha as a lower social class is treated badly in the criminal system. When velutha is accused of making a mistake then the police catch him in a bad way. They do the violence which is not a procedure of arrest. They woke Velutha with their boots (Roy, 1997: 144). The police wake Velutha who is asleep with their hard shoes. The police do not want to touch velutha because he is a lower class. Velutha gets injustice. The police directly commit violence on Velutha without asking first what happen actually. On Estha's character, social class gives impact on his mental health. Estha who is accustomed to luxury living in Ayemenem's house. One day he has to move because his mother send him bank to his father. Where the condition of his father is different with condition in Ayemenem's house. Estha finished school with mediocre results, but refused to go to college. Instead, much to the initial embarrassment of his father and stepmother, he began to do the housework. As though in his own way he was trying to earn his keep. He did the sweeping, swabbing and all the laundry. He learned to cook and shop for vegetables (Roy, 1997: 6). His mental health is disturbed after he decides not to continue his education into college. Estha starts doing what he should not do. He does all the homework that should be done by women. And since then Estha starts rarely speak until one day he really stop talking altogether. Estha performs regular activities without spending a single word. He does not care what the people around him are doing. He will still silent. Although his twin sister, Rahel, is next door and talk, then Estha still keep silent. This condition sometimes makes Rahel think whether Estha become mad, as has been exposed on this follows statement, "Had be seen her? Was be really mad? Did be know that she was there? They had never been shy of each other's bodies, but they had never been old enough (together) to know what shyness was" (Roy, 1997: 44).EStha's mental condition shows that social class can also give impact on mental health. Rahel is raised by mammachi after Ammu die. Of course being raised by mammachi will make life in very good socio economic condition. Raised by Upper class lifestyle makes an impact on family life of rahel. Rahel who has been abandoned by both parents become a very naughty girl. Because she never get a good attention from all her family. Uncle Chacko and Mammachi just give her all the material only. Rahel gets all the facilities that she need so she can reach high education. it is clearly explained how Rahel who are not given attention by all her families. They are just busy with their own affairs without considering the love that needed by Rahel. She is just given all the material she needs such as clothes, food, and money. That all makes Rahel become a naughty girl. Rahel is actually a beautifull smart kid, but she often makes the act that make her eventually are punished and expelled from the school. In the above quotation illustrated how Rahel delinquency in schools. Rahel is first convicted when she is at the Convent of Nazareth. She is caught decorate dorm room door with a flower head. And the next day she is tried and given punishment by the head monastery. Six months after, Rahel is expelled from school because she is already given many punishments and she still keeps naughty. It is all because of Rahel ever caught smoking, she also ever steal and burn bun of Houseministers. Rahel becomes naughty because of she never gets a good attention. Here, it clearly shows that social class olaso give impact to family life. Rahel eventually grows into adulthood without attention and affection of a family. As an Indian women, Rahel's future is determined also by her marriage. CONCLUSION Based on the recent analysis of the data, the result can be concluded that all the issues that have been revealed by statement of the problem can be drawn. There are two conclusions which can be concluded. The first is about the depiction of the social class, the second is about the impact of the social class on the character. The first conclusion is about the existence of social class experienced by the character in the novel. Karl Marx divides social class into two classes. They are Capitalist class (Upper Class) and Working Class (Lower Class). The existence of social class can be seen by wealth, occupation and educational level. As Worsley says that each of the aspects can be used for different purposes or they can be combined. So the character in the novel is divided into two classes. Upper class's characters are Pappachi, Mammachi, Chacko, BabyKochama. And the lower class's characters are Ammu, Velutha, rahel and Estha. The social class can be identified by their economic background, their way of life, their way of dressing, and the standard of living. The second conclusion is about the impact of social class on the character. The impacts of social class are divided into six categories. They are: physical health, mental health, family life, education, religion, criminal justice system. Every character has different social class impact. Furthemore, the writer also find some characters who have different social class. Here, Ammu, Rahel and Estha are Upper social class. Because of some problems, their social class is changed from Upper social class to Lower social class. And it also makes different impact for them. REFERENCES Abrecombie, Nicholas. et al,. 1994. The penguin dictionary of sociology (3rd edition). New York: Penguin Books Ltd. Al-Qudaeri, Golam Gaus & Muhammad Syaiful Islam. 2011. "Complicity and Resistance: Women in Arundhati Roy's The God of Small Things". ISSN No. 1948-1845 (Print); 1948-1853 (Electronic). Ambedkar, BR. 1916. Caste in India: their mechanism, genesis, and development. Julundur City: The Awami Press. Chittilapilly, Paul. 2000 The Life and Nature of the St. Thomas Christian Church in the Pre-Diamper Period. Kochi: LRC Publications. Chu, Yu Ru.2006. Recasting India: Caste, Trauma, and the Politics of Transgression in Arundhati Roy's The God of Small Things. Hegel, Georg Wilhelm Friederich. 2001. The Philoshopy of History. Ontario: Batoche Books. Henslin, James. 2003. Sociology. Boston: Pearson. Hornick, Barbara. 2011. Sociology Reference Guide: Defining Class. New Jersey: Salem Press. Keane, David. 1978. Caste-based Discrimination in International Human Rights Law. Hampshire: Ashgate Publishing Limited. Khori, Moh. 2010.Social Class and Political Satire in Mark Twain's The Prince and The Pauper. Lawrence, Wishart London. 1965. V. I. Lenin: Collected Works Vol. 29. Moscow: Progress Publisher. Mines, Diane P. 2009. Caste in India. Michigan: Association for Asian Studies, Inc. Narwoko, Dwi., Bagong Suyanto ed,. 2007. Sosiologi: Teks Pengantar & Terapan. Jakarta: Kencana Prenada Media Group. Nanda, Silima. 2012. "Women as the Oppressed in The God of Small Thing". ISSN 0976-8165. Neil, Stephen. 1984. A History of Christianity in India. Cambridge: Cambridge University Press. Nobs, Jack. Et al,. 1980. Sociology. London: Macmillan Education Ltd. Palakunnel, John. 2003. Christianity is Truly Indigenous inSt. Thomas Christians. Kochi: LRC Publications. Rao, Anupama. 2003. Introduction in Gender and Caste. New Delhi. Kali for Women. Renou, Louis. 1961. Hinduism. New York: George Braziller, Inc. Richards, WJ. 1908. The Indian Christian of St Thomas. London. Bemrose& Son Limited. Roy, Arundhati. 1997. The God of Small Things. London: Flamingo Taylor, Richard.1981. Understanding the Elements of Literature. New York: Palgrave Macmillan. Thomas, Sonja. 2011. From Chattas to Churindas: Syrian Christian Religious Minorities in a Secular Indian. New Jersey: The State University of New Jersey Wellek, Rene., Austin Warren.1984. Theory of Literature. New York: Mariner Books Worsley, Peter. 1970. Introducing Sociology. Baltimore: Cox & Wyman Ltd.
Issue 33.2 of the Review for Religious, 1974. ; Review ]or Religious is edited by faculty members of the School of Divinity of St. Louis University, the editorial offices being located at 612 Humboldt Building; 539 North Grand Boulevard; St. Louis, Missouri 63103. It is owned by the Missouri Province Educational Institute; St. Louis, Missouri. Published bimonthly and copy-right (~) 1974 by Review ]or Religious. Composed, printed, and manufactured in U.S.A. Second class postage paid at St. Louis, Missouri. Single copies: $1.75. Sub-scription U.S.A. and Canada: $6.00 a year; $11.00 for two years; other countries, $7.00 a year, $13.00 for two years. Orders should indicate whether they are for new or renewal subscriptions and should be accompanied by check or money order payable to Review ]or Religious in U.S.A. currency only. Pay no money to persons claiming to represent Review Jor Religious. Change of address requests should include former address. R. F. Smith, S.J. Everett A. Diederich, S.J. Joseph F. Gallen, S.J. Editor Associate Editor Questions and Answers Editor March 1974 Volume 33 Number 2 Renewals, new subscriptions, and changes of address should be sent to Review for Religious; P.O. Box 6070; Duluth, Minnesota 55802. Correspondence with the editor and the associate editor together with manuscripts, books for review, and materials for "Subject Bibliography for Religious" should be sent to Review for Religious; 612 Humboldt Building; 539 North Grand Boulevard; St. Louis, Missouri 63103. Questions for answering should be sent to Joseph F. Gallen, S.J.; St. Joseph's Church; 321 Willings Alley; Philadelphia, Pennsylvania 19106. Directed Prayer and the Founding Charism Norbert Brockman, S.M. Father Norbert Brockman is a staff member of the Marianist Center; 4435 East Patterson Road; Dayton, Ohio 45430. Among the growing movements among American religious in the past few years has been the directed retreat. In increasing numbers, religious have placed themselves under a director who has guided their meditation for periods as long as thirty days.1 The movement owes much to the Jesuits, who have taken leadership throughout the countr~ in reviving an approach to the retreat that is closely linked with their own renewal and spirituality.2 There have been spinooffs from the directed retreat movement that sug-gest that directed retreats are much more than a passing fad, although for some they will take on that character. The first of the side benefits of the directed retreat movement has been that religious of a number of congregations, especially women, are being trained in the method and approach of directing prayer. The Jesuits have established centers for this purpose, and programs for training, using the Ignatian retreat, are well patronized. A congequence of this is the flowering of directed retreats among women religious,, and the better training of for-mation personnel capable of working with mature nuns. Secondly, the directed retreat seems to bring many religious to long-term spiritual direction. Foi" the first time, for many religious, ~it has been possible--in a directed retreat--to consider spiritual direction as some- 1See, for example, Margaret Baker, H.V.M., "My Experience of a Directed Retreat," Review for Religious, v. 31 (1972), pp. 573-7; Sister Christine Freed, R.G.S., "I Feel like Singing Forever," Review ]or Religious, v. 32 (1973), pp. 1379-1384. '-'Thomas E. Clarke, SJ., "The Ignatian Exercises---Contemplation and Discernment," Review ]or Religious, v. 31 (1972), pp. 62-9. 257 258 / Review ]or Religious, Volume 33, 1974/2 thing other than crisis intervention. While one can comment only impres-sionistically, it seems that a real phenomenon of the past three years has been the increased desire among religious for spiritual direction.:' While the pattern is not so clear as to the expectations.of the religious seeking direction, the question of growth in prayer is always a serious considera-tion. The direction of prayer itself has an ancient and honorable tradition in the Church. From the earliest days of Christianity, the spiritual novice submitted himself or herself to a spiritual guide under whose direction growth in the life of prayer was undertaken. The stories of the fathers of the desert reinforce this strongly, and direction in prayer was for them an all-important issue in the relationship between novice and adept Chris-tian. The origins of this are obscure, but it would seem that the earliest forms of direction in prayer come from the baptismal catechesis, where the person responsible for the conversion of a neophyte not only helped in the education of the candidate for baptism, but particularly assumed the task of.teaching them the spiritual life. Together the two shared a period of prayer and 'fasting before the administration of the sacrament." In modern times, with the structure of the annual or other periodic retreat, various forms or styles of retreats came to the fore. The Ignatian r~treat has always had, in this period, a special place. It has been widely used b~, religious whose congregations are not Ignatian in spirituality, and its very basic Christian themes have made it equally.popular among lay-people. Although the preached retreat had become the predominant form, the notion of the directed retreat never died out, and its revival on such a large scale is in reality a return to an earlier Ignatian tradition. The Notion of the Directed Retreat The focus in the directed retreat is on the notion of "directed." It is a retreat in which the pfirticipant works with the retreat master in the man-ner of a s~iritual director. There is normally an hour-long interview each day, during which the retreatant's prayer is evaluated, directions and themes are~ given for further meditations, and the quality of the retreatant's prayer' is developed? As indicated above, although the nature of the directed retreat has ancient roots in the Church, it has been most characteristic o~ Jesuit re-aSee Sandra Marie Schneiders, I.H.M., "The 'Return' to Spiritual Direction," Spiritual Lile, v. 18 (1972), pp. 263-78. 4Michel Dujarier, Le parrainage des adultes aux trois premiers siO(les de l'Eglise (Paris: 1962), p. 377. 5Herbert F. Smith, S.J., "The Nature and Value of a Directed Retreat," Review ]or Religious;,v. 32 (1973), pp. 490-7. This article is available from Review ]or Religious as a separate reprint. Directed Prayer and the Founding Charism / ~259 treats in recent years. The point needs to be made that the nature of this retreat is simply the direction of prayer itself, adapted to the peculiar de-sign of a retreat, a period of time in which a person withdraws from ordi-nary pursuits to develop more consciously and deliberately in the spiritual life. Admittedly, among American religious other values have also entered in,, but this has always been understood as the essential purpose of retreat. For, a religious working far from the center of his province~ in a small community, the value of fellowship is a real one, for example. Some province retreats resemble a tribal gathering in this regard, and others use a workshop model rather than the traditional one of withdrawal for prayer. The comments that follow will be placed in the context of directed re-treats, but they might as easily apply to much of the real work of spiritual direction. Direction in prayer, even the special, concentrated form of di-rected meditation used in directed retreats, is the heart of spiritual direc-tion. An aspect of regular ~direction, even if relatively infrequent, is sug-gestions for prayer, the joint evaluation of movements in prayer, the dis-cernment of these movements, and help in heeding the call to new levels of prayer. The purpose of this article, however, is not to explore the nature and values, of the directed retreat, but to discuss its use to inculcate the values from the founding charism of a particular ~religious congregation. The question of the nature of th~ directed retreat has been explored in depth elsewhere." What has not been investigated at any point is how the tech-nique of the directed retreat can contribute to the deepening of the ~ommit-ment of a religious to his/her °founding charism. Because non-Ignatian development of the directed retreat has been so°limited, the paucity of in-formation on the topic is understandable. What follows here is based on the author's study within the documents of his own order, as well as at-tempts to work with sisters of two other,groups attempting to find better means for developing their own spirituality within their members. The Founding Charism .In recent attempts among religious to heed the directives of Vatican II that they renew .themselves in the spirit of'their founders and foundresses, the emphasis has been placed upon research and the question of teaching the proper spirit of the order to cb.ndidates,r Along with this has gone the concern for finding newer expressions for the origina! teaching of the founder, while remaining faithful to his/her intent. This has produced some valuable materials in some groups, some false starts in others; there ~William A. Barry, ~S.J., "The Experience of the First and Second Weeks of the Spiritual Exercises," Review ]or Religious, v. 32 (1973), pp. 102'-9. See also the same author's "Silence and tl~e Directed Retreat," Review ]or Religious, v. 32 (1973), pp. 347-51; and Smith, "The Nature and Value of a Directed Retreat." rVatican Council II, The Renewal o/Religious LiIe, no. 2. Review [or Religious, Volume 33, 1974/2 have been elements of both renewal and deception in the experience of getting in touch with one's roots. In the directed retreat, the issue changes somewhat. The purpose of the retreat is not to analyze, speculate, or study. It is to experience the meaning of the life of the Lord in a renewed sense. It is to deepen one's prayer, and to deal with issues that affect the spiritual life. When we speak of a directed retreat designed to inculcate the values of the spirituality of a religious congregation, therefore, the point is that the important elements of that spirituality must be assembled in what may be new ways, intended to move the soul through prayer more than grouped in perfectly logical structures. The experiential dimension, and the very goal of the directed re-treat according to one's own charism, is to bring the retreatant to the ex-perience that the founder had in founding the congregation. One must experience the foundation within oneself as a truly authentic, congruent integration of the spiritual life. It should make sense, bring an interior peace, and strongly confirm one's commitment to this congregation at this time in history. Few religious have taken themselves, or been taken, through the experience of the founder or foundress.'By this is not meant that the privations or sufferings of the founder--the more dramatic ele-ments of his/her life--need be reproduced in some sort of role playing. Indeed, the point is the reproduction of the insight and inspiration of the founding charism itself. What elements of the Christian experience brought about the development that the religious knows as his/her spiritual legacy? How were the evangelical counsels and the gospel message ex-perienced by the founder in such a way that the foundation of this group became a means of incarnating these values? If the congregation is the incarnation of the values of the founder--an extension of his/her charism into history--how is it to be experienced, personally by the members and corporately by the community as a whole? The questions above zero in on the issues that the directed retreat can deal with, in terms of the founding charism of a congregation. What is ob-vious, then, is that the design of the retreat must be developmental, and that might well be, as stated above, quite different from the design used to teach the ideas of the charism, or to study them. Critical Elements of a Founding Charism What, then, are the elements of a founding charism that must be con-sidered in designing such a retreat experience? The Spiritual Exercises are a brilliant example and deserve to be studied, even by those whose spiritual tradition differs sharply from that of the Jesuits. The themes, from the "Two Standards" to the last consideration, are highly developmental. Each builds on what precedes, not so much intellectually, but in the context of faith. It is possible to find all the elements of the Christian life from conversion Directed Prayer and the Founding Charism / 261 to union with God. In short, a spiritual path is described. At the same time, the style of the retreat is congruent with the highly personal emphasis on decision and discernment. The Ignatian directed retreat is characterized (usually, although there are exceptions) by lone meditation, usually at some length, by minimal communal aspects, and by minimal liturgical life. The focus is on the individual coming to grips with his/her personal relationships with the Lord, with an acceptance of that Lordship in one's life, and in the development of a prayer life that nourishes and defines that relationship. What then are the elements of a founding charism that are critical to the development of directed prayer in this ~evelopmental sense? Four ele-ments surface in any investigation of this question: method of prayer, ascetical and/or devotional practices, a spiritual system, and theological concepts. These are the elements that the designer of the retreat prayer experiences needs to coordinate. The study that makes this possible should be on the part of the retreat director, and the retreatant should not be called o'n to do other than move immediately into the prayer experience. .Let us, then, briefly look at each of these elements of the founding charism in turn. Method of Prayer The first critical question is whether the founder taught a method of prayer, particularly a method of meditation. In many cases, what will be discovered is that the founder/foundress did .use a currently popular method of meditation, but that it was a matter of convenience in instruct-ing novices, and not an important element of the spirituality of the con-gregation. Here some communal discernment is necessary. In reading the founder's letters of direction, for example, or instructions on prayer, it is necessary to discover the significance of any proper method to the totality of his/her founding charism. If a distinct approach, emphasis, or technique is present, it should be integrated in the directed prayer of the retreat experience, For instance, a congregation consecrated to Mary might well have developed a receptive approach to prayer based on an understanding of Our Lady's fiat, a disposition of total availabi!ity to the Lord. It would hardly be congruent in such a case to suggest.an aggressive, intellectual type of mental prayer. It would surely conflict with many of the themes that the founding charism will c6ntain. Ascetical and/or Devotional Practices This area, like the last, deserves careful work to determine the con-tinuing value of the ascetical and/.or devotional practices of the founder. Things which are merely characteristic of the nationality or culture of the founder may be safely set aside, and tangential devotions may also be ex-cluded. After all, even founders and foundresses are entitled to devotional 262 / Review 1or Religious, Volume 33, 1974/2 expressions which are uniquely personal, and without having these pro-jected onto their religious foundations! In what sense is the devotion in-volved in the direction that the founder gave his/her early members? What is its theological content? A founder or foundress with a great de-votion to the cross, who writes and speaks of the cross in such a way that it permeates the spirituality of the order, is teaching something of greater import than a founder with a great personal devotion to a. patron saint or to a shrine. Similarly, the practice of taking names in religion may have been merely the religious convention of the time of foundation, or it may have had specific meaning~ Other ascetical practices are.to be similarly evalu-ated. In one tradition, the regulations of the founder about the diet may have been a simple indication of poverty within his .cultural context; in another tradition, the manner in which the question is treated might indi-cate that the retreat should include some fasting, if possible, and with cerr tain goals in mind. A Spiritual System The most obvious element is the spiritual system of the foundation. Did the founder have an approach to spirituality which he taught to the early members? What virtues did he consider important, especially, what aspects of the Christian life did he consider characteristic of his founda-tion? What were his interpretation and understanding of evangelical chastity, poverty, and obedience, and did this differ from the prevailing understand-ings of his time? Did the foundation include any other vows besides the three traditional ones, even though these may no longer exist in the con-gregation? What was the value that the founder/foundress was stressing by having additional vows? What was his/her notion of common life and community experience? What is the role of the apostolate in fostering the spiritual life? All these are part of the questions that must be asked in the process of constructing the spiritual system of the founder or foundress, as, usually in most cases, active founders have not written out the spiritual system in clear fashion. Besides exploring the documents of the congregation, however, the living experience of the early foundation is itself of importance. The story of the life of the founder is often of great value in determining what he meant by a certain teaching. Religious orders are, after all, not only com-munities, but a special modality of community--witness communities that show forth the transcendent dimension of Christian life. The witness of the early foundation, therefore, is of great importance as a form of teach-ing. Theological Concepts Usually, theological concepts do not appear in a founding charism as Directed Prayer and the Founding Charism / 263 such. Founders and foundresses are rarely interested in theology except as it reveals the person :of Jesus Or underlies a religious value. Nevertheless, founders are usually very concerned about fidelity to the deposit of faith. A renewed understanding of theological concepts in recent years may make it possible to enrich the understanding of the founder. The founding charism does not really change, but the religious order is called to fidelity to it, not to literal acceptance in the language, cultural norms, and symbols of the early society. As the Church grows in its understanding, of herself and her divine mission, so 'a religious congregation should show signs of growth in its self-understanding.'To utilize a theological concept such as the Eucharist without integrating the better insights coming from a renewed liturgy of celebration would be more than unfortunate. It would be .a denial of the fidelity'of the founder to the Church's teaching, because as he was faithful to ~the Church's expression of eternal truth in his time and culture, so the congregation, today must reproduce that fidelity. Again, renewed Biblical scholarship has made possible far greater sophistication in understanding the gospel message than heretofore. That cannot be ignored in studying the founding charism, merely because it has happened since the founder died! The °emphasis laid upon the experiential above is not to be interpreted as demeaning the importance of the intellectual as preparation for prayer. Anti-intellectualism is not a mark of the Christian, Quite the contrary, and the directed prayer experience will be the richer for the .hours spent by both ~director and retreatant in studying the basic teaching ,of the Church, especially in those areas that touch upon the founding charism. ~Fhe Retreat ~s Reflection of the Founding Charism The first of the elements of a founding charism was stated as the method of meditation or mental prayer. The idea of the importance of the ,congruence of this with~the total spirituality of the founder or foundress was stressed, but this idea can also be expanded~. The entire style of the directed retreat should reflect the founding.charism. The import/race of this cannot easily be exaggerated because of ~he'experiential nature of:the directed retreat. There" is a profound difference between the directed re-treat., as desert experien.ce (silence, lone meditation at great length, and so forth) and the directed retreat as communal',experience (common liturgi-cal celebrations,' some group discussion, and so forth). In among these contrasts are many modalities of directed retreat, of course. The point is that it is important to include those aspects which will most effectively help the retreatant to gro~w into the values which are the subjects of the prayer experiences. The spirituality that emphasizes a deeply communitarian-or service value will not come through successfully in a desert experience. This i~ not to say that the desert experience is not of value for religious f~'om adtive commui~ities~(far from it!), but only that a limited aspect of their spirituality is likqly to emerge in such a context. Review for Religious, Volume 33, 1974/2 Similarly, methods of discernment should be congruent with the found-ing charism itself. What was the method for discerning the will of God used by the founder or foundress? Was it a communal means, or one based on authority? Discernment itself has become an issue, both within the directed retreat movement and in other contexts? It is an integral part of the Spiritual Exercises, and would seem to be an integral part of the work of the director of prayer. Within a given tradition, the method of dis-cernment might well be prophetic or charismatic. More likely it will reflect an authoritarian tone, which would translate into the directed retreat as a form of obedience to the spiritual guide. This type of obedience itself needs to be understood, as it isnot the same as the obedience owed a superior under the evangelical vow. In some traditions, the means of discernment might be very communal, in such a way that group direction might be a compatible style for certain congregations using the directed retreat. This would be alongside the pri-vate interview, which is essential to the directed retreat. A final word should be added on the place of resolutions. Many re-ligious feel strongly that they should come home from retreat with clear resolutions for the future--a battle plan, so to speak. The presumption is so strong with many that it is an issue that should be frankly discussed with the director. It is certainly not necessary for the directed retreat; it is enough that there be an interior renewal and deepened commitment to the spirit of the foundation. Whether there are "results" or decisions on con-crete action for the future should flow from the needs of the person him-self/ herself. Too often it is merely another expression of a workaholic personality. Conclusion This has been a simple and sketchy view of the development of a directed retreat from the point of view of the goal of growth in the spirit of one's own order. As such, directed prayer is a powerful means of growth toward incarnating in oneself the values of the founding charism. It is a means of renewal that not only affirms one's commitment to religious life, but also goes far toward building and renewing the community through renewed religious, standing firmly in the tradition of the one who brought the order into being under God's grace. 8Criticism has been recently expressed by W. Peters, S.J., "Discernment: Doubts," Review ]or Religious, v. 32 (1973), pp. 814-7. See also James V. Gau, S.J., "Dis-cernment and the Vow of Obedience," Review for Religious, v. 32 (1973), pp. 569-74; David T. Asselin, S.J., "Christian Maturity and Spiritual Discernment," Review ]or Religious, v. 27 (1968), pp. 581-95; and John R. Sheets, S.J., "Profile of the Spirit: A Theology of the Discernment of Spirits," Review ]or Religious, v. 30 (1971), pp. 363-76. The last article (that of Father Sheets) is available from Review ]or Religious as a separate reprint. Prayer: The Context of Discernment Charles J. Healey, S.J. Father Charles J. Healey, S.J., is a faculty member of the Department of Theology; Boston College; Chestnut Hill, Massachusetts 02167. Discernment Today In our attempts to seek and find God in our lives and to live out our Chris-tian lives of faith, hope, and love, we are often involved in a process of rediscovery. There is not that much that is new for us in the sense of dis-covering something for the first time. But often the conditions of the times in which we live and our own felt needs combine to lead us to focus on a particular aspect of the spiritual life. Such, I would suggest, is the case in the area of discernment. It is certainly a term that has deep roots in the history of Christian spirituality. But ours is a period that has seized upon the process of discernment--perhaps too quickly and too glibly at times-- in the hopes that it might aid us in our efforts to love and serve God both as individuals and as communities, and to seek and respond more gener-ously to His will in our lives. This renewed interest in discernment should come as no surprise. First of all, there is the very visible desire of many to deepen their own union with God, to establish or reestablish what they consider the essentials and priorities in their lives, and to make any required decisions in a context of faith and prayer. In a time of great change, many are seeking to find strength and unity within themselves not only to cope effectively with their lives and all their responsibilities, but also. to maintain themselves as lov-ing and productive persons. Secondly, many communities are turning to the process of discernment as a method of helping them in their attempts at renewal as a community and as a basis for group decisions. But whether 265 266 / Review for Religious, ~olume 33, 197.4/2 it is a case of individual discernment or corporate discernment, it is impor-tant to stress over and over that the basis of any discernment has to be the deep and intense prayer of the persons involved in the process. The context of any true discernment is prayer. The purpose of this article, then, is to offer some reflections on discernment, using the word in the broadest sense here and focusing on the intimate connection between discernment and prayer. ontex! Is Prayer Discernment really makes sense only when it is situated in the context of prayer. Unless there is a corresponding desire to seek and find God continually in our lives and to deepen our awareness of His reality and presence, discernment can end up just being talk. The seeking and yearn-ing attitude of the Psalmist must penetrate our own lives deeply: "To you, my heart speaks; you my glance seeks, your presence, O Lord, I seek. Hide not your face from me" (Ps 27:8-9). There is, of course, a renewed in-terest and even a hunger on the part of many today in the area of per-sonal prayer; and this accounts in part for the renewed interest in the area of discernment. There are many indications of this all around us at the present time; and many are definitely expressing a desire for praye~r which springs from a felt human need and the presence of the Spirit in our midst, ever renewing, ever arousing. Recently I was listening to a taped conference on prayer by Thomas Merton in which he mentioned at the beginning that he ~did not like to talk a great deal about prayer. This was certainly not from any disinterest, for if there is any constant preoccupation and interest that emerges in his life and writings, it would be with the value and priority he constantly gives to prayer. But he wanted to stress the point that pr~yer for us should be something simple and natural, something as simple and natiaral as breath-ing. It is hard for us to talk about breathing since it is such a normal process of our lives and one wfiich we can easily take for granted. So, too, he feels should be the case with prayer. At times we can complicate it and make an issue or a cause out of it. But usually when we make a~ca~]se or an issue out of something, we oppose it to something else: "This is.prayer, this isn't. This is something sacred, this isn't." The f~us could then shift to the issue rather than the reality, and prayer could then be viewed as something complicated and artificial. Perhaps we can best consider prayer as the simple, natural, continual response of one who is,. convinced he be-longs to God and seeks to grow in union with Him, and the response of one who realizes he is a person possessed by a loving God. And it is in this climate, this atmosphere of prayer tl~at the whole process of discern-ment should be placed. The context is a very normal, full, and serious seek-ing after God. Pray'~r." The Context o[ Discernment / 267 The Process of Discernment ' Discernment, then, should not be considered a cause or an issue nor ev~en' a method in itself. It is a process in prayer by which one seeks seri-ously to know and follow God's will, to hear His call and faithfully and generously respond in the very real life situation of the person concerned. If l~ra~er should be a very human and ordinary experience, so too should b6 discernment. In this sense, it is a very simple process; and yet, on the other hand, it can be difficult in the sense that it presupposes constant efforts at'a deep and continuous union with God through prayer. This re-quires perseverance, patience, and willingness to expend time and energy. It' cannot be turned off and on like a water faucet if it is to be effective; it presupposes a firm basis of faith and the continuous seeking of the presence of the Lord. ~Alth0ugh discernment is a word that can come easily to the lips, it can still remain a rather elusive concept. Perhaps this is because it pre-soppos~ so much else. At any rate, we might recall Father Futrellrs defi-nition that discernment "involves choosing the way of the light of Christ instead of the way of the darkness of the Evil One and living out the con-sequences of this choice through discerning what specific decisions and ac-tions a~e, demanded to follow Christ here and now.''1 Thus discernment focuses on the ongoing attempts to clarify and ascertain God's will in our lives and seeks to specify what actions and decisions are required in the life of "on'e who wishes to follow Christ tothlly. The process presupposes an int'eflse desire, hunger, and willingness to seek God's will and to embrace it generously once one has come to a reasonable certitude regarding it. W~ might say it all comes down to our attempts to hear and respond to:the wo~'d of God in our own unique lives. But. if we are to be sensitive t~lGod speaking to us in the many ways He does.in our liv6s, we must first hear His call; we must listen quietly and give Him frequent opportuni-ties to speak to us. If we fire to b~ sensitive to God's presence and attentive to His touch, there must be an element of stillness and listening. Since this listening~aspect is so important for discernment, we should not be surprised to find this aspect of prayer being re-e~mphasized today.2 Many are ex-periencing the need today to. take time out from all their activities in order to turn within and seek God's presence within, to contemplate Him and to listen to Him in the stillness of their hearts. It is a kind of active receptivity as we let the radical truth of God shine forth with its own life within us. We seek to make the words of the P~almist our own: "In your light we see light." It is in this atmosphere .of stillness and presence that one can best determine God's call, God's touch, God's will. ~John C. Futrell, S.J., "Ignatian Discernment," Studies in the Spirituality o] Jesuits, v. 2, no. 2, p. 47. '-'See, for example, W. Norris Clarke, S.J., "Be Still and Contemplate,"~ New Catholic World, November-December 1972, pp. 246 ft. 2611 / Review [or Religious, l/'olume 33, 1974/2 Building on the Past As we seek to see clearly where God is touching us at a given time and where He is leading us and asking us to respond and follow, it is very help-ful to grow in the awareness of where God has touched us and nourished us0 in the past. Each of us has his or her own unique history in the hands of a loving God, that is, significant events, persons, books, Scripture pas-sages, and so forth, that have been a source of great strength and help. All of this constitutes our own faith experience of God; and the more it is brought to our conscious awareness, the more it becomes our own. Often in discernment workshops or faith sharing experiences, methods and oppor-tunities are presented to help individuals grasp more explicitly what they uniquely possess of God in their lives. One can call this by various names: one's core experience of God, one's beauty within, one's name of grace, and so forth. But it all comes down to the same reality: we seek to realize what we already possess, what is uniquely ours, and where God has touched us and loved us significantly. Once we are more aware of how God has acted in our lives in the past, we can more easily return in a spirit of prayer to be nourished and strengthened and sustained. What has sustained us in ~the past and what has touched us before, can sustain us and touch us again. This conscious awareness also helps us to be more responsive and sensitive to where God is touching us now, where He is leading us. We can begin to see a pattern and a continuity in our lives of faith. Above all, we be-come more aware of the profoundest reality of our lives, namely that which we possess of the power and love of God that has worked within us in the past and continues to be operative in the present. Discernment in prayer, then, is an ongoing process that seeks to find God and His will in our lives; it involves a constant seeking of God and an awaren(ss of His presence in our lives. Through discernment one seeks to hear God's continuous call, to recognize it as clearly as possible in order to follow it as faithfully and generously as possible. It seeks to answer the question: How can I best love and serve God in the present circumstances of my life. It is an ongoing process because our lives, our experience, our work, our relationship with God is an ongoing process. His Word does not come to us in a vacuum but in the concrete circumstances of our everyday lives. As Thomas Merton says in one of my favorite passages from his writings: Every moment and every event of every man's life on earth plants some-thing in his soul. For just as the wind carries thousands of winged seeds, so each moment brings with it germs of spiritual vitality that come to rest im-perceptibly in the minds and wills of men. Most of these unnumbered seeds perish and are lost, because men are not prepared to receive them; for such seeds as these cannot spring up anywhere except in the good soil of freedom and love.3 aThomas Merton, New Seeds of Contemplation (New York: New Directions, 1961), p. 14. Prayer: The Context of Discernment / 269 In a very true sense, it is only the faith-filled person, the contemplating person that is acutely sensitive to these seeds of God in his or her life. And for the soil of freedom and love to flourish in our own lives, we must con-stantly open ourselves to the Spirit of God through an abiding spirit of prayer. Not only must we seek to grow sensitive to God's speaking to us in the external events of our lives, but we must seek to grow in an awareness and sensitivity to the movements within ourselves as we react personally to the signs of His will and presence. How do my present reactions corre-spond to the felt experience of God that has been so much a part of my life in the past? Are my present movements in resonance with that source of peace, that sense of oneness and wholeness before God that I have ex-perienced before, that sense of belonging to God that has been so nourish-ing and sustaining in my life? Are they consistent with the normal signs of the Spirit working within us, the signs of "love, joy, peace, patience, kindness, goodness, faithfulness, humility and self-control" (Gal. 5:22-3)? These are some of the questions one seeks to clarify in order to fulfill the desire to seek and find the Lord and His will. The spiritual director can play an important role in assisting here, for at times we can be too close to ourselves to have the needed objectivity. The director can aid us in clarifying and objectifying our own experiences and interior movements and aid us to see where God is touching us, loving us, and indicating His presence and His will. A Sense of Freedom In addition to a deep and constant spirit of prayer, discernment also requires an attitude of freedom and detachment. The attitude of freedom I refer to is that which allows a person to give to God and His will the central place in one's life;, it is a freedom and detachment from all other things that would either prevent or hinder one's striving to focus On God. It is the sense of freedom that allows God to become and remain the cen-tral reality in one's life. The Psalmist speaks of this centrality with the words: "As the eyes of the servant are on the hands of the Master, so my eyes are on you, O Lord." It is the freedom that allows one to respond generously to Jesus' invitation to Matthew, "Come, follow me," and His words to the disciples of John the Baptist, "Come and see." Come and see and taste the goodness of the Lord. It is the freedom expressed in the words of the prophet Samuel, "Speak, Lord, for your servant is listening" (1 Sam 3:10), and the words of the Psalmist, "Here am I, Lord, I come to do your will" (Ps 40:7-8). We might note in passing that there can be an intimate connection between this spirit of freedom and a lifestyle that is marked by a spirit of simplicity. How does one grow in this spirit of freedom? Ultimately it is through a cooperation with the power of God's grace and love working within us. 270 / Review for Religious, Volume 33, 1974/2 But one important way is through a deepening realization that one is a loved sinner, that one has been touched and healed. A profound convic-tion of God's steadfast love and fidelity can be a very liberating force that enables one to turn to God and seek Him alone and His service in a spirit of simplicity and joy. This freedom grows in a context of lively faith and is nourished in prayerful reflection on God's goodness, mercy, love, and providence. Conclusion In general, discernment in prayer is an inward looking process; the focus is mainly on the movements and experiences of God within us. But the process must never stop here for there should also be an outward dimension of discernment. First of all, as in so many areas of the spiritual life of man, a healthy norm is: "By their fruits you shall know them." There is a confirmatory aspect of all discernment in the external fruits that are in evidence and the good works that are produced. Secondly, the great commandment,of love must always be kept in perspective, and a deepening union with God should lead to a deepening union with one's fellow man. An increasing sense of compassion for one's fellow man and his needs should flow from one's union with God. Finally, the process should lead to an increasing sensitivity to life and all its mysteries, to an increasing awareness of.God's presence in all things, and to our own growth as-con-templatives in action. A Norwegian Outpost: Maria Einscete M. Basil Pennington, O.C.S.O. Father M. Basil Pennington, O.C.S.O., is a Cistercian monk of St. Joseph's Abbey; Spencer, Massachusetts 01562. Our plane put down at Oslo and I soon bungled my way through customs, only .to find--no one. Communications had gotten a bit confus(d and now there was no one there. But everyone I asked seemed t6 know of him: "Brother Robert, yes, the hermit. He lives up in the mountains near Lake Tinn." And so I began my pilgrimage. Ten o'clock the next night I stepped down from a bus in the pouring rain and made bold to ask the young lady who alighted with me the oft repeated question: "Where is Brother Robert? . That way," she answered with a bold sweep of the arm as her hand pointed up a dark rise of conifers. I turned in the opposite direction to the friendly lights of an inn. It was a good choice. There among the youths gathered around the blazing fire was Jan. A couple years earlier he had been up to see the hermit with his pastor. He offered to be my guide. Good to his word, Jan arrived early the next morning with his little Volkswagen which took us as far as it could. Then we began to climb on foot. I was a bit embarrassed when Jan took my bag, but soon I was very grateful that he had--for otherwise I probably would never have made it. We must have climbed steadily, along an old logging trail, for forty-five minutes or more when Jan sudde.nly stopped and pointed back into the woods. We had actually passed our goal: Maria Einscete--Mary's Hermit-age. Maria Einscete was just a simple log cabin, one just like so many others in those forests. Larid in Norway belongs to the owner by hereditary right. It cannot be "definitively alienated. Most families living in the villages or on the lowland farms own stretches of woodland up on the mountains. 272 / Review ]or Religious, l,'olume 33, 197/.'-/2 In better times they kept men up there ,to care for the woods, but now most of these lumberjack's cabins are empty. One of these landlords, a kindly man, let Brother Robert use his abandoned cabin, plant some vege-tables, and dig a well. From the United States to Chile and to Norway Brother Robert, Father Robert Kevin Anderson, is a monk of St. Joseph's Abbey, Spencer, Massachusetts. He entered the Cistercian Order at the Abbey of Our Lady of the Valley back in 1949 when he was 17. He was one of the first choir novices professed after the community trans-ferred to Spencer. Frater Kevin, as he was called in those days, cared for the newly planted orchards and, after his ordination to the priesthood, for the newly planted brothers--as father master of the lay novices. But he had always experienced an attraction toward a more simple and radical form of monasticism. He went on to pursue this, first at St. Benedict's Monastery in the Colorado Rockies, then at the Monastery of Las Condes in the Chilean Andes. It was at the latter monastery that he first embarked on the eremitical life which he found to be his true calling. Later Father Robert sought deeper solitude in southern Chile; but the bishop there had some ideas of his own about how Father was to lead the eremitical life. So Father moved on to the land of his family's origins, Sweden. Here again, a hard-pressed bishop with few priests had his own ideas how a hermit-priest should live. And again Father moved, this time across the border to the diocese of the sympathetic and understanding Cistercian bishop, John Gran of Oslo. Until he could find a suitable site, Father Robert lived in a distant parish. Soon he found what seemed like an ideal place for a hermit: an island on Lake Tinn. But appearances can be deceiving. Living on an island meant dependence on others for all supplies, or keeping a boat for summer and an ice sleigh for winter. Then, too, the fine summer weather brought traffic to the lake. Father lifted up his eyes to the mountains, and soon ascended to Maria Einscete. The Hermit Life o| Father Robert Although feature articles and TV presentations have made Father Robert known throughout Norway and even throughout Scandinavia, he yet receives few visitors. The Norwegians respect and are inspired by his life of prayer and presence to God. They do not want to intrude. Besides, the ascent is difficult and the way known to few. The Catholic pastor, whose parish extends for several hundred miles, calls in from time to time. And of course, the good sisters find their way there at times; also, the search-ing young--from as far away as south France or America. Priests have occasionally come for retreat. And a pious convert lives not far from Father's mailbox and enjoys having him in to say Mass in her front room. A Norwegian Outpost: Maria Einscete / 273 But usually Bror Robert (as the Norwegians call him) is alone with his goats and his God. He goes down to the road to the mailbox every few days--and the owner of the neighboring box watches to see that the mail is collected, a sign that all is well with their hermit. Once a week or so, on skis in winter and a motor bike in summer, Father will go to the village for supplies. All the villagers know and love their hermit. They expressed real joy when "Brother Robert's brother" came to visit him. From time to time Father goes to Oslo to speak to the Dominican nuns, the only con-templative community in Norway. And once a year he goes south to the French Abbey of Mont-des-Cats to see his spiritual father. This was one of the conditions the bishop placed on his presence in the diocese as a hermit: that once a year he would spend some time in a monastery. Father Robert's life is very simple. He prays the hours quite as they always have been celebrated in the monastery, and offers Mass for all man-kind. He does some wood carving, mounts ikons, and practices the ancient Norwegian craft of weaving baskets from birch roots. He also translates books. He is a gifted linguist and has mastered both new and old Nor-wegian, as well as the local dialect. These occupations, along with Mass stipends, help him to keep body and soul together. At the time of my first visit Father Robert had been living in his log cabin for about a year. The only facilities were the woods. He had dug a well nearby and so had plenty of good water. But he confessed to me that he spent most of his time during that first winter chopping firewood--for his cabin had no inner walls and was very difficult to heat. The Spencer community helped him then to get a logger's caravan, which is not only much more snug and easier to heat, but which Father was able to locate higher up on the mountain where he can benefit from much more sunshine. The view from the new location, looking out across Lake Tinn to Mount Gaustaf, one of the highest peaks in southern Norway, is simply magnifi-cent. As the rays of the sun play on clouds, mountains, lake, and forest one is ceaselessly awed. This is indeed a Godly place--an ideal place for a hermit. The Monastic Presence of Father Robert This extension of Spencer Abbey and of the American Cistercian Re--' gion, this foothold of Cistercian life in Norway, is certainly something for which we should be most grateful and praise the Lord. The effectiveness of Father's monastic presence cannot be fully evalu-ated but it is certainly significant. This is rather surprising in a country where most are at best nominal members of a state church, and the few, very scattered Catholics tax the handful of devouted priests and religious who seek to minister to them. The latter, without exception, seemed to ad-mire and respect Father and find inspiration in his fidelity to his particular calling. But the Lutherans, too, revere him and seem to be grateful and 274 / Review for Religious, Volume 33, 1974/2 happy .that this man of God is in their midst. They relate stories of her-mits and monks who lived in this land before the Reformation and the Danish oppression, even of a particular hermit in the area of Lake Tinn. Even for these apparently religiously indifferent, ,the man of prayer living alone on the mountain is a sign of hope, of something better, higher, tran-scendent. And when the final option comes, hopefully, with perhaps only a vague and confused idea of what he stands for in their minds, and the grace flowing from his prayer in their hearts, they will reach out for that Transcendent Reality. Blessed be the Lord God . . . he has raised up a horn of salvation for Norway. Now that there is a Cistercian bishop and hermit, in Norway may we not soon have a regular cenobitic foundation? It is time the Cistercians returned. The Cistercians first directed their steps to Norway back in the twelfth century, in the Golden Age of the Order. And there are still significant remains ~of their presence. On the Island of HoevedCya in the Oslo Fjord, just a short ferryboat ride from the capital, are the ruins of an abbey founded in 1147 from Kirkstall,. The whole outiine of the regular build-ings is there. The walls of .the church reach up ten and fifteen feet, and higher at the comer tower. Through the insisterice of 'Bishop Gran the government now preserves this site as a national monument. It is a very beautiful site indeed. But historical sites, no matter how beautiful, are not enough. The Church of Norway, like every other, needs for its fullness the presence of living and thriving contemplative communities. Guided by the Lord, Brother Robert has made a beginning. May the Lord prosper what he has begun. Reflections on Bangalore Sister Mary-John Mananzan, O.S.B. From October 14-22, 1973, the Second Asian Monastic Congress was held in Banga-lore, India. Sister Mary-John Mananzan, O.S.B., attended the meeting and gives here her impressions of the Congress. Sister Mary-John is Dean; St. Scholastica's College; P.O. Box 3153; Manila, Philippines. This will not be a report on the Bangalore Congress in the usual sense, but rather a reliving of significant experiences and a sharing of insights gained. No amount of faithful reporting can capture the atmosphere of such a meeting. But .perhaps the sharing of one's impressions can give a glimpse into the dynamics of the ievent much more than a complete but detached description 9f the proceedings. Personalities Let me begin with the significant people who made an impression on me. Among the observers to the Congress were two Tibetan monks who rePr, ds.ehted thee Dalai Lama. They were Lama Sherpa Tulku and Lama Samdong Tulku. The one word that ke'eps coming to my mind to describe them is "genuine." I was struck by their authenticity, their trueness to them-selves, their utter lack of pretense. They went about with serene dignity, quiet friendliness~ and unfailing self-mast6ry. They talked with perfect frankness about the problems of their people in exile with feeling but with-out the slightest rancor againsl~ the invading Chinese. And with disarming simplicity, one of them asked in our small group discussions: "Please ex-plain to us what you mean by a personal God." The theological jar~gon did not seem to satisfy them, so during the coffee break I ventured an explana-tion which ran something like this: "Lama Sherpa, do you sometimes talk to the Absolute Reality?" 275 276 / Review [or Religious, Volume 33, 1974/2 "Yes," he replied. "Do you think he understands you?" "Yes." "Well, that is more or less what we mean when we say that God is a person." He seemed to be more satisfied with this explanation. The lamas had a way of expressing their ideas in an unusually effective way. During the discussion on prayer Lama Samdong Tulku made the following remark: "I.got the impression that when you pray, you send your words to the Absolute Reality. We, we push ourselves to It." Another personality which, for me, stood out, was Abbot Primate Rem-bert Weakland himself. He was a most excellent presiding officer; more-over, his introductory and concluding talks showed his keen intelligence, his versatile scholarship, and his sobriety of judgment. He was most human. He joked with the seminarians of the Kristu Jyoti College where we stayed as though he were one of them but without losing his dignity. In fact I ob-served in him something I seldom observe in many superiors today--an unembarrassdd awareness of his authority and an unapologetic reference to it when he considered it useful to do so. Among the non-Asians who had adopted the Eastern way of monastic life, the one I considered most credible was Father Bede Griffiths. He went about in a most unobtrusive, unostentatious way without the slightest effort to edify or to preach. I find this significant because I felt that there can be a tendency among non-Asians who have insights about the indigenization of monastic life and liturgy which are in themselves authentic, to be over-zealous and therefore tactless in their efforts to conscienticize the people whose culture they have studied and adopted. I believe that there can be a very naive, uncritical adaptation to indigenous culture which, if cohpled with a lack of delicacy in strategy, could alienate the people because it ap-pears to them to be another and a subtler form of paternalism. When this is further accompanied by efforts to edify, then the people are positively repelled. Then one provokes reactions which may sound extreme and de-fensive, but are not wholly unjustified like: "Why do they give themselves to be more Eastern than the Easterns?" The adaptation of the Eastern forms of monasticism by monks and nuns in Asia is an important venture; but this must be undertaken with utmost delicacy, tactful strategy, and with what perhaps for Westerners will amount to an almost intolerable amount of patience. I was enriched by the friendship with Vietnamese monks and nuns who shared with me their spiritual adventures. They have left their b!g monas-teries in the hillsides and have come to live among the poor in the center of the city of Saigon. The nuns take in laundry and typing work to support themselves and the monks take turns in tricycle driving. Reflections on Bangalore / 277 The Theme of the Congress The theme of the Congress was: "The Experience of God." This was divided into subtopics .such as: Monastic Experience of God in Christianity and Other Religions; The Experience of God: Methods of Realization; The Experience of God in Community Life; The Influence of Asiatic Religious on Monastic Structure; The Experience of God and Social Responsibility; and The Contribution of Christian Monasticism of Asia to the Universal Church. These were discussed in small groups as well as in the general assemblies. Again I will not make an effort to summarize the discussions but rather pick out those which had an impact on me. First of all, I regained my respect for the word "monastic." Due to certain historical factors, the word "monastic" in certain circles had come to mean deportment, a pattern of behavior and a fuga mundi attitude. In the Congress, the main emphasis was on the single-minded search for God. There is a monastic dimension to every human being. For those who have come to an awareness orbit and who wish to fulfill this dimension of their being, there should be monastic communities whose structures are flexible enough to share their way of life even on a temporary basis. At this point, it is good to mention.what Bishop D'Souza expressed as the petition of the Indian hierarchy. The Indian hierarchy, he said, is asking the monastic communities to be: 1. eschatological signs (monks and nuns should primarily be men and women of God) 2. centers of liturgy 3. havens of serenity 4. examples Of simplicity of life and refinement 5. model communities for Christian living 6. houses of undiscriminating hospitality One thing that was realized in the Congress was the contribution that the non-Christian form of monasticism can give to the traditional Christian monastic" life. There are several elements of the Eastern form of monasti-cism which have been forgotten or not emphasized enough in the Western tradition. There is, for example, the importance of the techniques and meth-ods in the search for the Absolute. The role of the body in prayer that is very much emphasized in Yoga and Zen could'be given the same impor-tance by Christian monks and nuns. The existential view of the Absolute and the unified view of reality of the East could balance the more con-ceptual and dualistic view of the West. The importance of the guru in Eastern spirituality can likewise revitalize the role of the spiritual director. Father Raymond Pannikar summarizes the unique role of the East thus: "Just as Africa's contribution to the Church is sensitivity to creation and that of the West,. the discovery of the value of history; so the unique con-tribution of the Asian is to develop the dimension o] the spirit." 278 / Review ]or Religious, Volume 33, 1974/2 Shared Prayer The Congress was not just a series of intellectual discugsions on the experience of God: It was for many participants something of a spiritual experience in itself. Contributing tO these was, first, the shared liturgy which the different regional groups prepared, giving the ~vhole community an ex-perience of a variety of. indigenous liturgy "Indian, Vietnamese, Korean, Chinese. There were likewise opportunities to meditate in the, Zen' way, the Yoga way, the Tibetan Buddhist way, and in Christian shared prayers. Amid the variety of methods, ceremonies, symbols, °and gestures there was the unity of hearts in worship.~And then there were the interpersonal en-counters which occasioned the sharing of spiritual experiences, the creating oLbonds which gave the promise of lasting friendships.~There was thus the wonder of discovery of the other in each other. There were no resolutions, conclusions, or statements at the end of the Congress. As Father Abbot Primate said, Bangalore was more humble in its tone than the Bangkok Congress. Its open-endedness is a challenge to further reflection and to further action. And this challenge was expressed in the delegates' message to their communities which reads as follows: Message to Our Communities Together with Father Abbot Primate, Rembert Weakland, we, , gathered here at Bangalore for the Second Asian Monastic Congress, salute you with an Indian greeting:which echoes in our liturgy, SHANTI, PEACEF ,~ We would like to share with you the atmosphere of joy, openness and fraternity that prevails in this community, which grow out of peoples of dif-ferent backgrounds, not only of race and culture, but also of religious tradi-tion. We are fortunate to have at our meeting Cl~ri~tia'n monks and sisters of various countries, Tibetan lamas, Buddhist and Jain mdnks and Hindu swamis and sanyasis. We lived together, 'praying and discussing in mutual enrichment. We are amazed to realize that, amid very real differences of opinions and experiences, there is an overwhelming convergence of concern: THE SINGLEMINDED SEARCH FOR GOD. It is in this conce.rn ~that we experience a strong bond of unity. We consider it our task as monks to commit ourselves wholehea.rtedly to this search, and it is in this context that we accept the world around us and feel h sense o.f sol!darity with it. We have a role in bt~iiding up the city of man. This consigts in pointing out to man the path to God. In particular, we are to share with the poor in theii-°striving for human dignity and liberty. It has become clear to us that to realise these goals i.n our times calls for a radical openness.and flexibility in our religious life and structures. We are in a moment of challenge. If we fail to respond, we lose our right to exigt as monasteries. Your delegates will bring home to:you reports of the proceedihgs of the Congress. Understandably, these will kive but a glimpse into what really happened here. But, for many of us, this Congress has been a: real spiritual experience. ,.Your delegates can communicate this experience more effectively than any written .report. It is our earnest prayer that all the communities scattered throughout Asia will put into effect the insights gained during this Congress. Tliis may mean breaking away from fixed patterns, settink out like Abraham ihto ff new land. Reflecffon~ on Bangalore / 279 We strongly recommend openness to our brothers of other religious traditions who, as we have experienced here, have so much to offer us. We urge the rethinking of our way of life so that as many people as possible may have the opportunity of sharing with us our experience of God within the content of living and vital communities. Let us maintain the bonds of unity which have been established among us through our delegates. During these days we have thought of you and prayed for you. May our continued unity in prayer be fostered by renewed contacts with one another. Toward a More Authentic Sharing in Community Laurent Boisvert, O.F.M. Father Laurent Boisvert, O.F.M., is the editor of the excellent Canadian magazine for religious, La vie des corntnunaut~s religieuses and lives at 5750, boulevard Rose-mont; Montreal 410, Quebec; Canada. The article originally appeared in the March 1973 issue of La vie des communaut~s religieuses and is printed in translation here with the authorization of that magazine. The translation was made by Sister Clarisse Marie, S.N.J.M.; General Administration of the Sisters of the Holy Names of Jesus and Mary; 187 Chemin de Cap-St.-Jacques; Pierrefonds 940, P.Q.; Canada. The sharing of material goods, based on the needs of each individual or moral person, tends to express and intensify the fraternal bond which unites us as religious. However, in everyday living this sharing meets with ob-stacles which compromise, in varying degrees, its fraternal character. A review of them will help us to become more conscious of them and so favor, I hope, the building of that community of justice, peace, and love which all of us desire and which alone can tnaly be called "fraternal." It is not rare to hear religious ask themselves: How does it happen that our lives are so little changed by the many conferences, sessions, and work-shops in which we participate? These same religious insist that we present them not so much the fundamental values of religious life which they say they already know, but rather a way of integrating them into their lives. The reflections which follow relate to this first step: the "how" of living a more genuine fraternal community life, a step which consists in over-coming in oneself the chief obstacles to its realization. False Mental Attitudes When we insist, before community groups, that a distribution of goods 2110 Authentic Sharing in Community / 2111 be made according to the needs of each, some religious express amazement. It seems useless to them that we should come back to so fundamental an issue, and one that everyone accepts. No one can deny, however, that in spite .of acceptance in theory, certain religio.us, and a number sufficiently large to warrant the mentioning of it again, demand for themselves the use of all kinds of things, basing these requests, not on real need, but rather on the fact that other religious have and enjoy the use of. them. If someone has such and such a thing for his work, goes out so many times during the week, or wears clothing of such and such a quality, etc., others use the example of such religious to justify having the same things and acting in like manner. If one group needs two cars, another group made up of the same number of people will perhaps demand one, just because the first group has two, How can we explain this dichotomy between the theory of sharing goods according to need, and the contrary practice illustrated by the examples just given? The reason is, it seems to me, that the criterion for the distribution of goods, recognized at the intellectual level, has not yet penetrated the mentality of all religious nor modified their attitudes and their conduct. Certain religious accept the idea of pluralism in the forms of sharing, but their reactions are those of people accustomed to a uniform type of sharing. They still lack that which, for all of us, is most difficult to realize, namely a change of attitude. No modification of structures, how-ever radical, can dispense a religious from the effort required to bring.about this conversion. It is easier and faster to set up pluralistic structures for sharing than it is to transform a person accustomed to uniformity so that he becomes capable of understanding, of respecting and of favoring diversity on the level of persons and their needs, and of making the necessary applications. All of which helps us to understand that if, in our congregations, the adaptation of structures has in large measure been accomplished, the con-version of our ways of thinking has not. Some years of effort will still be necessary, years of patience and of tolerance, before the transformation of mental attitudes and of conduct becomes a reality. In spite of everything, some people will never know such a transformation, because they believe that such a change is an evil and not a benefit to be pursued. Charity re-quires that we respect them, and that we learn to live with them, in the wis-dom and great-heartedness of compromise which, under its° positive forms, is love. Inability to Estimate One's Needs Accurately It is not sufficient to want to share a community of goods according to the real needs of each one. For the actual realization of this principle one must be able to evaluate tfiese needs honestly and accurately. Some religious are more or less incapable of making such an evaluation. For some, the reason lies in the formation they received as young religious and the long 2112 / Review ]or Religious, Volume 33, 1974/2 practice of a poverty based on dependence. They had only to ask and to leave ,to ,authority to judge the legitimacy of their request. Once the su-perior had given an affirmative answer, they never questioned themselves again about their use of the things granted. -This dependence,, judged in our day excessive, has atrophied the sense of responsibility"of some and made them quite unable to determine their own needs: Today, when au-thority leaves them free to choose such and such a thing,, to do or not do such and such an. action, to go or not to go to such and such a place, they prefer no action at all rather then assume responsibility for it. Long and difficult will be,the liberating process which will one day enable them to judge their own needs, if~ such will ever be possible. ~ C-Certain religious, coming from poor families and having, lacked some of the basic necessities during their childhood, make up,for lost time and accumulate without reason a surplus of goods. They:even admit that they ask for things to make up for the lack of them experienced in the past.And so they fill their closets with items.for, which they have,no real need, but which give them a sort of psychological security. In this Way they com-pensate for the time when they sutIeredreal want. ~ ,, For other religious, the practice of a poverty consisting of going with-out, of detailed restriction for use; of meticulous control and uniformity, has brought ab6ut another ,excessive reaction in that they,are constantly asking .for things they don't really need and of which they never .seem to have enough. At the other extreme are those who considered this former practice of poverty the ideal one, and so refuse to accept any form of com-munal sharing based on a pluralism of real needs. Using False Criteria Again, for some religious, the relative incapacity of identifying their real needs results from the use of false criteria. They will say, in, order to justify a trip: all my brothers and,sisters went to such aoplace, though an-other might say~ with just as much truth: I cannot make that .trip since none of my brothers and sisters have ever been there. Can the single fact :that one's relatives have visited Europe constitute a ,valid reason for asking for a trip overseas? Or again, can the simple fact that one's parents have never taken:~some scenic trip within the province or state:~be sufficient reason for denying oneself ,such an outing? In both cases, the use .of the "family" norm, instead of helping, hinders the discovery of real needs. That one consider the situation of one's family is certainly not wrong, but to use it as the sole means of defining orie's Own needs and the ~type of relaxation one has a right to seek is certainly without justification. These .conclusions apply .likewise .to one's social and professional posi-tion. There are people who count on the life style of ~this double milieu to determine personal needs. If they: live inca neighborhood where~each family averages one or two color-television~, sets, a summer cottage', a snowmobile Authentic Sharing in Community / 2113 or~ two, etc., they think that they too have a right to these same things and wi!l use them, under the illusion that they are living their commitment to po~verty.,lf th~ey work in the.~schools or hospitals and if the majority~of their companions go to Florida every year, wear a new outfit every day, etc., they come to believe that such is Lequired of them too, and in their minds these things become necessities that must be satisfied. The fallacy .of such ~rea.soning comes,from the setting up of one's .social or professional sur-roundings as an absolute ~in determining personal needs. It ought to be evi-dent that even if all the teachers of the school have a car, and if all the families in the area have two television sets, I do not necessarily need the same things. It also ha.ppens that this met.hod of evaluating needs ac.cord-ing to a social or professi0nal milieu soon involves various forms of dis-crimination, ail.harmf.ul to .the ,building of a fraternal community. Let us add that economy, valid as it may be, often prejudices one?s judgment of personal needs. To know how to economize is a quality that most people of average means acquire through° force of circumstances, That religious should possess, it is nother surprising nor embarrassing.;Waste-fulness and .extravagance, as well as carelessness, have always been,.con-sidered faults. The error, in the case of the religious, is to purchase things, not because ~one may need them, but because they are on sale and that per-haps one day they will be useful. It is also true that this intention of econo-mizing has a way of multiplying needs. The Influence of Numbers ,, In visiting a number of local commu~nities I ~have ~liscovered that re-ligious in small groups have their real needs satisfied much more easily than do religious in.larger gr.oups: Although not universal, this situation is repre-sentativ, e of a number of congregations. Of course, there are many cases in which it is reasonable and necessary ¯ to take numbers, into consideration. For example, if the local authority in a community of one hundred persons is planning an outing which includes transportation and lunch~ it is obvious that one must consider the number of those who wish to participate. The influence of numbers can, however, become harmful to community sharing when., a particular type .of logic prevails as sometimes happens in larg~ groups, though it. may also be found in more restricted ones, too. For example, two or three religious.desire to obtain skis in order to satisfy.a real need for relaxation, so they go to the local authority with their req.uest only to receive this answer: I cannot authorize such an expenditure; just think of the money involved if the sixty religious of the house were to come asking for skis! This reasoning characterizes a mentality which cerl~ainly is not pluralistic ,'and which fails to respect personal needs. That two or three religious desire some skis in no way implies that all the others need or even wish them. The falseness of this reasoning is even more evident Review ]or Religious, Volume 33, 1974/2 when we realize that the community is made up for the most part of older people or of those who are ill. On pushing this kind of logic to the extreme, one ought to refuse a wheelchair to a sick person who really needs one because everyone else might want one too. This type of reasoning may also exist among some members of the community group. They refrain from asking for what they really need be-cause they say: If everybody were to ask for such a thing, the community could not afford it. However, it is nowhere written that all the religious of a house must have the same needs at the same time, and that to satisfy them one must buy sixty canes or sixty wigs at the same time! Why, then, should we suppose this uniformity and always act in view of the total num-ber? Wherever this kind of logic dominates, whether on the part of the superior or of the members of the group matters little, it makes impossible the practice of community sharing according to need. The Moral Weight of Salaries The religious earning a high salary seems to have a special facility for getting what he needs and often more than he needs, while the one who makes no financial contribution is sometimes too embarrassed to make known real needs. Other variants of this phenomenon are these: The re-ligious in a salaried service who works overtime may think it his right to keep and to use as he pleases at least a part of the extra money so earned; the one who has won a grant or money award will not fail to exploit his chance of obtaining favors; the religious who receives an "old-age pension" and the one who regularly draws some form of income may also use these to obtain personal advantages. The moral weight of money earned by a religious' likewise risks in-fluencing the decisions of the superior. Does he feel as free and no more obligated in evaluating the requests of the one who hands in a substantial check than he does in judging those requests made by members who make no such contribution? It would not be surprising if, in the first case, he finds a particular facility in saying "yes" at once and with a smile, while in the second case, he has a tendency to ask questions about the necessity of the items requested and to multiply his reflections on the observance of poverty. In allowing a lapse of time between turning in one's check and making a request for what one judges useful or necessary, the religious can help those in authority to avoid showing favor and granting to him as to the others only what he really needs. At the provincial level we occasionally see this tendency in operation in those cases in which authority tends to discriminate between local groups of varying incomes. Groups with significant revenues sometimes receive more easily the authorization for extra expenditures than another poorer group, though the actual needs of the two groups may be identical. If such is the case, it is evident that discrimination is practiced in dealing with local Authentic Sharing in Community / 285 groups, a situation very detrimental in the realization of a truly fraternal community. The Matter o~ Gi~ts It also happens that the reception of gifts sometimes prevents sharing according to need. The religious, benefiting from the generosity of family or friends, is often better provided for than the one who must depend solely on the community. In order to justify the keeping or the use of things received, the religious reasons that he got them gratuitously when he ought rather to be motivated by real need. If our poverty permits us to accept gifts, they must nevertheless be used for all without discrimina-tion. This means that the religious may not have more because he receives more, but that all needs be judged by the same standard and that all be treated in the same manner. Whether the .goods to satisfy our needs comes from within or from outside the community is of lesser consequence. Two other observations must be made here in regard to gifts. Certain religious still declare that the refusal of anything offered to them by their parents, friends, or others, always constitutes a failure against poverty, indeed an injustice to the congregation. As it stands, this statement is inaccurate. The refusal of certain goods offered is sometimes required by our commitment to poverty. Such is the case when an individual or moral person does not need that which is offered, and in addition, the donor re-fuses any transfer of his gift. Such is likewise the case when, in response to a real need, a religious is offered something which can in no way be justified by the norms of simplicity. The second observation bears on the "intention of the donor." The intention clearly expressed by the donor does not suppress or replace the authorization required for the keeping and the use of goods. A religious cannot go to Europe simply because his parents have given him~the money for the trip. If competent authority refuses him" the permission and if the intention of the parents about the destination of their gift remains fixed, there is nothing left for the religious to do but to refuse or to return the money. However, in the majority of cases, it is not necessary to be scrupulous about respecting the intention of the donor. Many people offer us small gifts (the notion of "small" varies considerably, of course) and say to us: This is for you, for your personal needs, clothing, recreation, etc. If we took the time to explain our way of life to them as a community sharing a common fund, they would probably be quite happy to allow one of our companions to benefit from their generosity.Though we rarely explain this to them, we can ordinarily, without any qualms of conscience, pre-sume their understanding acceptance and put in the common fund what-ever we receive. 2116 / Revie.w for Religious, Volume 33, 1974/2 On the contrary, the intention of the °donor must be respected when the gift is made in the form of an inheritance or legacy. Let us make clear, however, that the religious to whom these goods have been offered alway~ has the right to refuse them. He even has the duty to do so in a case in which the, acceptance of an inheritance or legacy, involves obligations ~otaily or partially in violation of his religious 9ommitments. We must also understand that. authority does sometimes have a word to say in our ac-ceptance or refusal of such goods. The Moral Weight of Competence, Position, and Conduct In this matter of sharing, the professional status of religious some-times operates in his favor. Experience shows that in certain cases the religious~ ,possessing special qualifications obtains what he needs more easily than does his confrere who lacks such competence; he may even receive a ~urplu~ while the other is deprived of basic necessities. We have no intention of condemning competence; but under pain of closing our eyes to reality, we must acknowledge that this competence does sometimes exercise a moral influence on those presenting their needs, inclining them to ask for more than they really need. It may also influence those whose role is to insure .a just distribution of material resources in their application of the principle of real need. Experience0shows us that a past office may become another pretext for keeping and us_ing certain goods. The religious whose work required a specialized library, for example, may have a strong inclina.tion to keep it even after he no longer occupies the position which once required it. The one who needed a car for his work will be tempted to continue to keep it even after he is transferred to another office which in no way requires its use. Certain personal itnd marginal benefits connected with having a car make it very .painful for him to give it up. Again it may happen that one's present position Fay serve as an oc-casion for the granting or obtaining.of favors either for self or for others. Thus a superior, as soon as he is named,.,may ask for a ~'oom with a bath attached. Is this to help him fulfill his office"moi'e efffctively? Is such an installation really needed for his work? If not, how can he justify requesting it for himself while refusing it to others. It is no more justifiabl~ for a superior to use the pretext of his office to receive and to keep as long as he wishes all the magazines that come to the house. How can one approve such action? If he were in charge of formation and if, with the consent of the community or of authority, he had a prior right or even exclusive right to the use of a magazine published for formation personnel, nobody would complain. But no one can accept, and with reason, that an individual in virtue of his office, keep for himself as long as he likes the newspapers and magazines :meant for the use of all. Such practice is an obstacle to fraternal sharing. The one whose function Authentic Sharing in Community is to build community ought to be the first to ~remove from his own life anything that might compromise it. Let me add as a last moral influence a particular type of conduct in which a few religious indulge when making a request to authority. Their tone, gestures, and manner in general can be so high-handed that it be-comes almost impossible for the superior to refuse, even when he judges superfluous the object requested. When dealing with such persons he per-haps says to himself: It is easier to grant them what they want at once than to put up with the endless scenes and references to the matter that they will make if it is denied them. The superior may even justify his action by saying that he consented in "order to avoid a greater evil. All the same, that will not prevent those in the community from believing that at times a dif-ficult disposition does get results. While we understand the delicate posi-tion of authority in these instances, we must also recognize that such con-duct on the part of a member of the group can be an obstacle to fraternal sharing as it prevents the application of the principle: each according to need. The Influence of Social Convention According to current styles and in varying degrees, social convention may also influence both the religious in determining his needs, and the su-perior whose role is to assure that fraternal dimension of communal shar-ing proper to a religious household. Ordinarily we find it easier to ask for those things~ accepted by social convention than for those outside it. The superior in turn has a tendency to authorize more quickly those things it approves than those which are indifferent or contrary, to it. In this way social convention sometimes exerts a destructive influence on the charitable quality which ought to characterize our sharing from a common fund ac-cording to individual needs. . In considering the influence of social convention on religious, it cer-tainly explains at least in. part their attitude toward smoking, for example. The religious who smokes normally receives the necessary tobacco even though the expense occasioned ma~, be as high as two or three hundred dollars a year. The need to smoke, createdand developed by him, no longer requires critical evaluation but is taken for granted; and when the com-munity budget is prepared, there is no hesitation about'setting aside im-portant sums for it. ~ : It is not at all,certain, on the other h~nd, that the philatelist would so easily be allotted a similar sum for the purchas.e of new stamps. How does it happen that we consent so easily to satisfy the needs of the one who smokes but refuse those of the stamp collector? The pressure of social con-vention would seem to be the exp!anation. Under pain of being considered out of step with the times, religious cannot ignore social convention completelyi but by conforming to it with- 2811 / Review for Religious, Volume 33, 1974/2 out discrimination they can create needs the satisfaction of which amounts to real slavery and causes surprise and even scandal to others. Religious ought to be free enough, for example, in the matter of dress to avoid mak-ing an absolute of an outmoded costume and to consider relative those fashions which social convention seeks to impose on them everyday. This relativity can be expressed in one's choice of classic styles, simple and few in number, and much less subject to frequent and costly change than those passing fads which are here today and forgotten tomorrow. If it is normal for religious to be aware of social usage and to observe it when in their exterior relations they judge it necessary or useful, they must make the necessary effort to prevent it from entering so deeply into their lives as to create an endless chain of new needs. Let it suffice to men-tion the use of alcoholic drinks. Rare are those social functions, meals, and evenings from Which these are absent. If the religious is not on his guard, in multiplying his social relationships, he risks developing an acute need for alcohol. In this case, satisfaction can never be regarded as liberation, but rather a most insidious form of personal slavery. A Lack of Empathy Lack of empathy is particularly noticeable on those occasions when a religious must submit to a superior or to other members of his group his personal needs in view of an evaluation or control. It may happen that one's first reaction is to make comparisons with one's own needs, forgetting that each one is unique and therefore different; And so the superior says: I don't understand why you want to buy this secular outfit; I don'~ wear one and I've never suffered from not doing so. Or again: I never went to hear such and such a singer; I don't see what advantage you can get out of an evening so spent. Such a person never tries to put himself in the position of the one asking in order to be better able to understand his needs. He seeks rather to impose his own values on the other person or again to convince him that he does not have such a need because as superior he himself never experienced it. Without exactly realizing it, the superior may set himself up as a sort of prototype whom the others would profit by imitating. In following this sort of logic, ought he not require others to be hungry at the same time he is and with the same intensity, to be sleepy when he is, and to require the same number of hours of sleep? People incapable of this empathy are quite unable to evaluate the needs of others. We might as well say at the same time that they do not know how to exercise the service of authority, since they will never be able to understand those whom they are supposed to help. They may think they understand others, but as a matter of fact they understand only that which they can project on others. In general the person with little empathy is intolerant, not through ill will, but through his inability to put himself Authentic Sharing in Community / 2119 in the position of others. In wishing them well, he may even impose on them things that may cause them serious harm. Exclusive or Prior Right to Use The use of certain equipment may be necessary for a religious in the fulfillment of his office. It is considered essential for his work and he could not give it up without compromising the task confided to him. Such usage is valid and his confreres readily accept his use of what is neces-sary; but if they see that he has reserved for his exclusive use things for which he has no real need, at least at certain times, feelings of discontent-ment and a sense of injustice are not slow in surfacing. An example will help to make my point clear. Let us suppose that my work requires the use of a car quite regularly. On the days when I don't have to make any trips, those times when I travel by plane, am I going to lock up the car when I could just as well let others use it? If I put the car in the garage and the keys in my pocket, and if I force my com-panions to take the bus for their trips when the use of a car would be much appreciated and a real convenience for them, can I say sincerely that I am living the principle of fraternal sharing? In order to justify my conduct, I can no doubt find many reasons: A car is something one doesn't lend to just anybody; I must keep the things I need for my work in good condition; no one knows how to take care of them as I do; it is often a costly business to lend one's equipment; thb community has other cars for general use; etc. Underneath these reasons, all of which contain some element of truth, there is perhaps another which I won't admit: an undue attachment which makes me a slave of this thing. Deep down I prefer its safekeeping to communion with my brothers. In fact, my refusal to put the car at their disposition, far from favoring inter-personal relations, risks destroying them altogether and setting up barriers which are difficult to break down. If, after such conduct, I dare to repeat that goods should be oriented toward the well-being of the group and the strengthening of mutual relations, I must admit that in practice I sub-ordinate persons to things. If in my work, instead of this exclusive right to the use of equipment, I exercise what may be called a prior right to its use, I will quickly come to realize to what degree this type of use and the mentality which it de-velops favor fraternal union. Nobody denies that there are certain incon-veniences in this kind of sharing, that one risks finding one's things out of order, not in the same condition as one left them, etc. However, be-fore committing myself to sharing, ought I wait until no such risks are involved? If so, I mi~ght just as well say categorically that I refuse to share. Of course, everyone recognizes the existence of an occasional case when it would be better to keep one's tools exclusively for personal use. Such exceptions, however, do not modify the general rule according to 290 / Review ]or Religious, Volume 33, 1974/2 which the religious ought to exercise a prior right rather than an exclusive one to the use of those things necessary for the accomplishment of his duties. The first recognizes and favors fraternal sharing, while the second usually cuts it off abruptly. The Proprietor's Mentality Every religious making use of community goods can say, and he has reason: This property belongs to me; it has been put at my disposition by a moral person called the "province" or "institute." He may be inclined per-haps, in ~order to justify his poverty before those who do not believe in it anymore, to exaggerate the inconveniences of such a situation and to keep silent about the advantages which it affords. Sometimes he will even cover up his possessive attitude with regard to certain things saying that they do not belong to him and therefore he cannot lend them. Under pain of deny-ing the evidence, we must admit that some religious seem to have a pro-prietor's mentality with regard to goods belonging to the province or in-stitute. Such a mentality is an obstacle to fraternal sharing. If, in order to illustrate my idea, I use the community treasurer as an example, it is not that this mentality is more widespread among them than among other religious, but because frequent reference is made to them when this topic is discussed. In fact, it often happens that the treasurer acts as if he were the proprietor of the community's goods. He feels free to ask ques-tions, even indiscreet ones, about the sums of money requested, while actu-ally it is his business simply to hand over what has been authorized. He scolds others for expenditures which he has no right to judge. He may even insist on an itemized account which normally is given to the superior. When he gives out money, his gesture is marked by a pained expression as if part-ing with it hurt him physicallly. If we describe it at its worst, we might say that in keeping the purse-strings, he seems to keep the whole community on a,.leash. This caricature, although rough!y drawn, is not entirely the fruit of the imagination. If I have exaggerated some situations, I have reproduced others with an accuracy that no one can deny. It is not surprising if religious, subjected to caprices of this kind, no longer dare ask the community even for what is necessary, but arrange to obtain it outside, or keep a part of their salary or gifts received, in order to satisfy their needs. The changing of the name "procurator" to "economist," "treasurer," "controller," or whatever, does not remedy the evil. The real problem is not one of vocabulary, but of one's way of thinking, and it is this that must be changed. The bursar must recognize, in theory and in practice, that the property confided to his administration belongs to the community., that his task consists in managing it with competence, and in distributing it amiably to religious whose needs have been approved by authority. His office must not be the scene of daily contention, but rather a place where love operates under the guise of both gift and welcome. Authentic Sharing in Commitnity / Let me express sincere appreciation to all those religious who fill their post as treasurer with competency, interior detachment, and in a spirit of service. Everyone knows that theirs is often a thankless task, and one we could not do without. In accomplishing it with that joy and tact which love knows how to exercise, they can do much towards the realization of the ideal of fraternal sharing according to the real needs of each one. Fear, Embarrassment, Shame, Scruples in Regard to Asking Strange as it may appear, there are still some religious who are unable to express their real needs, who prefer to deprive themselves of what they need rather than ask for it. These religious, either by temperament or for-mation, have developed in themselves a fear, an embarrassment, shame, or even scruples about asking. Among them are those who are not earning, and on this account dare not mention their needs. Some of them think of themselves as a burden to the community. While helping these religious to free themselves from whatever prevents them" from asking for what they need, authority must take the initiative, offering them and even giving them whatever they may need. If this is considered an exaggeration, it is better to fail on the side of kindness and attention than on that of indifference and privation. It is always easier to notice the people who abuse than those whom we abuse. There also exists on the part of some a certain shame and embarrass-ment about asking which may be the result of our manner of community living and sharing in the past. I understand the uneasiness of those of thirty, forty, fifty, and more who still ask local authority or the treasurer for stamps, letter-paper, tooth-paste, soap, etc., but such a practice of com, munity sharing can no longer be justified in the name of poverty. Though long since outmoded, it has not yet totally disappeared. In my opinion it would be so much simpler, so much more adult and reas6nable, to put all these things for common use in a place where each one could take what he needs as he needs it. It is useless to complain of possible abuse in order to refuse such an elementary practice. The existence of such abuse is inevitable, whatever the manner of living the principle of common sharing. Would it not be better that the abuses accompany an adult practice of sharing instead of a childish and embarrassing one? In conclusion on this point let me say that one of the gravest abuses of the practice of religious poverty is that form of dependence which encourages and even develops personal irresponsi-bility. The Application of Various Formulas for Sharing Though there are several formulas for the sharing of go~ds, I do not in-tend here to present the advantages and inconveniences of each. I wish only to point out that the manner of applying any valid formula is able to trans-form it into an obstacle to fraternal sharing. Take for example the individual 292 / Review ]or Religious, F'olume 33, 1974/2 budget. It is, for religious in general, a practical manner for determining needs and when approved, of receiving whatever is necessary to meet them. This does not mean, however, that such a formula is best for all the religious of an institute, or of a province, or of a local community. There are some people who find a personal budget more of a useless bother than a help in practicing religious poverty. Why impose it on them then? On the other hand, why forbid it to the rest of the community just because some do not find it helpful? In ~. word, fraternal sharing is not free when the individual budget is refused or imposed on all alike. In those communities in which, in order to respect personal needs, the community budget is made obligatory and the individual budget optional, uniformity may compromise the quality of fraternal sharing. As regards the community budget it is rare, thanks be to God, to hear people use the argu-ment of uniformity to obtain more, to grant or to refuse permission. Wherever uniformity is the sole criterion for making requests or granting authorization, fraternal charity in the treatment of local groups is often ignored. Though two communities may be made up of the same number of persons, it does not follow that the needs of one be identical to the needs of the other. To respect each group in its uniqueness requires ordinarily both diversity and plurality in the manner of treatment. It is the same for individuals. How can anyone justify uniformity in the amount of money granted annually to religious who make use of a budget? Let us take the matter of clothing, for example. The one who is small and well-built will surely have an advantage over another less well-proportioned, with bulges here and there, not to mention fiat feet! Some would remedy this situation by asking that the first person hand in what he has left over, and that the second ask for what he still needs. However, one must admit that the latter remains in an awkward position as it is always harder to ex-tend the hand to receive than to turn in a surplus. In the end, would it not be simpler and more charitable to leave each one free to evaluate his cloth-ing needs and to ask for the money necessary to take care of them. The individual budget plan by which a uniform lump sum is given to all religious also presents, in actual practice, certain facets detrimental to fraternal sharing. Let us suppose that each religious of a local community receives $2500 annually, and that it is left to him to allocate this sum as he sees fit. Such procedure risks creating unjustifiable inequality. Religious whose parents live a few miles away will spend very little to goto see them regularly, while another having parents living at a distance, can visit them only rarely and under pain of seriously jeopardizing his budget. Isn't this a form of discrimination? Another weakness inherent in this plan is that the religious who can economize will manage to procure all sorts of valuable objects (record-play-ers, tape-recorders, etc.) and will have the clear impression, even the con- Authentic Sharing in Community / 293 viction, that these belong to h, im. Of course, he will feel free to take them with him on changing residenc~. As a last obstacle to fraternal sharing, let me add the refusal a priori of approving several different plains and allowing them to be used within the local community as the memlSers judge best. One would respect individual needs more surely if some wer~ permitted to use an individual budget, while others were given an allowan+e for expenses, and still others received the money necessary as the need arose. There are some very deserving religious who do not have any use for a~ individual budget or for a regular allowance and who desire to continue to~ practice poverty by asking for things as they need them. We violate the fraternal quality of our sharing if we impose on them a plan which burdens rather than frees them in their service of God. Conclusion The practice of fraternal sfiaring to which we are bound bestows on our I . community of goods its evangehcal and religious significance. Indeed, it is in order to strengthen the fraiernal bond which unites us and to express it before the world that we have chosen to put all our possessions into a com-mon fund, and to share them according to the real needs of each one. The obstacles that this sharing mebts in practice prove that it is difficult for all of us, because of our sinful condition, to observe perfectly that which we desire with all our hearts. However, the rehg~ous who recognizes the diffi-culties and makes an effort to leliminate them from his life, demonstrates his faith in those values for whic~ the fraternal community stands and his de-sire to collaborate construct~ve, ly in building it, depending on the support of Jesus Christ, thecenter of oui" lives, for a more perfect realization of it. The General Chapter of Affairs Joseph F. Gallen, S.J. Joseph F. Gallen, S.J., a specialist !n canon law for religious, writes from St. Joseph'.s Church: 321 Willing's Alley; Philadelphia, Pennsylvania 19106. Pre-chapter Preparation : Pre-chapter preparation, despite its evident need, was almost univer-sally unknown before post-Vatican II general and provincial chapters. The delegates'to the general chapter should be elected hbout a year before the assehably of the chapter. This will make it possible to have the pre-chapter committees constituted predominantly of chapter members from the begin-ning. The superior general and his council, or a committee appointed by him, could have already inaugurated the work by securing the proposals from the members of the institute and having them arranged according to subject matter. These could be given almost immediately to the pre-chapter committees. The delegates may be elected earlier than a date determined in the constitutions, e.g., six months before the assembly of the chapter. This determination of time is a very accidental aspect of the law, and a rea-sonable cause excuses from it. The more fundamental content of such a law is to elect the delegates at a time that will give the best possible preparation for the chapter. I think myself that a committee of more than five is gener-ally less efficient. If the quantity of the work so demands, several parallel or sub-committees can be designated. As many as possible of those on a com-mittee should be competent in the field of the committee. Each institute should know from its experience of recent chapters and from the problems now facing it just what committees are needed. There should be a steering or co-ordinating committee. Other committees have been on the religious life, vows, constitutions, government, liturgy, formation, apostolate, finances, 294 The General Chapter o] Affairs / 295 retirement, and habit. Canon law has no legislation on committees. There-fore, it depends on the particular institute to determine the committees and their work; the members and chairpersons may be elected or appointed or be designated partially by both election and appointment; the chairpersons may be elected by the members of the particular committee. Manner of Pre-chapter Committee Preparation The one directing the pre-chapter preparation gives the proposals or chapter matter to the chairpersons of the pertinent committees, who in turn distribute them to the individual members of the committees to ~work up, dividing the matter as evenly as possible. Let us suppose that the following proposal has been assigned to an individual of the government committee: the term of office of the superior general should be reduced from six to five (four) years, with only one immediate re-election permitted. The committee member is to work up a report on this proposal in the manner of a secretary, an objective researcher, not as a supporter or antag-onist of the proposal or as a policy maker. The chapter makes the decision on enactments and policy, not the committee. The first thing the committee member does is to write down the number of the proposal, if these are num-bered. Identical and almost identical proposals are to be treated together on the same report. The committee member therefore next notes on the report the number that submitted it, for:example: 36 handed in this proposal for a five and 15 for a four year term. He then expresses the proposal in one statement or in parts but both in such a way as to permit a yes-no discussion and a yes-no decision. He next, under the heading~of sense, gives any ex-planations of the proposal, always being complete throughout the report but as ~clear and brief as possible. Submitted proposals, are almost, always wordier and more obscure than the example given above, but the term "im-mediate" in the example above could be briefly explained. He could well conclude the section on sense by a statement such as the following: The pi'oposal contains two ideas, a five (four) instead o1~ a"six year term andonly one immediate re-election. The heart of his report is in the following sec-tion, in which he gives all~ the reasons for and then all the reasons against the proposal, noting when any of these reasons has greater weight for or against the four than the five year term. He ends the report with his recom-mended decision: to be accepted, to be rejected, to be accepted with modi-fications. It is evident that the reasons for the acceptance or rejection are the favorable or unfavorable reasons he has already listed. He should add his reasons for suggesting modifications. Copies of this report are distributed to all the committee members. They are to be given adequate time for its study. When a sufficient number of reports are ready, they are to be dis-cussed in a committee meeting. The committee confirms, rejects in whole or in part, and corrects the report of the individual member, which thus becomes the committee report. The committee vote on the report and its :296 / Review for Religious, Volume 33, 1974/2 distinct parts should be included on it, e.g., 3 for, 2 against. Reports for all the proposals to be discussed in any period of sessions should be ready be-fore that period begins. These should be distributed to the capitulars at least on their arrival so that they can be properly studied. The failure to have such reports is a primary cause for the many unreflecting, inefficient, and slow general chapters we have had in the post-Vatican II years. Any religious experienced in chapters should see the need of reports of the type described above. They are demanded by evident facts. The primary such fact is that a chapter should make its decisions from convictions based on solid reasons. This will certainly not be attained unless there is a thorough investigation and study of the facts and reasons. It is also a sufficiently evident and most pertinent fact that many of the capitulars will not study the proposals beforehand. The reports will help to lessen their uninformed voting. Many capitulars will not be able to understand some proposals with-out such a report, for example, those who have had no experience in han-dling large sums of money can find financial proposals difficult to understand, and a religious who has not been in the novitiate since he left it thirty years ago will find. many ideas on formation most difficult to grasp. Proposals handed in by chapter members during the chapter should be processed through the pertinent committee in the manner described above. Subject Matter of the General Chapter of Affairs The norm of the practice of the Holy See for this has been the more im-portant matters that concern the entire institute. If the matter is not more important or does not concern the entire institute, it appertains to the ordi-nary government of the general, provincial, or local superiors. In the con-crete this matter has consisted of the proposals submitted by the members, provincial chapters, and the general capitulars during the time of the general chapter. The first observation is that the proposals under one aspect can readily be insufficient. Almost universally the proposals on a particular matter do not touch, at least adequately, all the more important aspects, difficulties, and problems of the particular field. Quite often they are concerned only with its accidental and lesser aspects. Very frequently also the admittance of a proposal will demand as a consequence or antecedently presume another proposal which has not been submitted. In all such cases, the pertinent com-mittee should add the required proposals, noting on each its committee source and the reasons why it was submitted by the committee. It is not very intelligent to have the submitted proposals as the subject matter, with-out designating anyone to point out and supply for the omissions and the lack of balance. In such a system, it can be almost a mere accident that the general chapter faces all the real problems of the institute. There has to be a way of rejecting very expeditiously the proposals that are less important and general or otherwise evidently inadmissible. Each The General Chapter of Affairs / 297 committee should list all such proposals submitted to it, and very early sub-mit this list to the co-ordinating committee. The latter should go over the lists and have them duplicated and distributed to the chapter members. Sufficient time should be granted for the proper study of the lists, and the chapter is then to be asked to reject all of them in the one vote. The per-mitted recourse against rejection should be of the following type. If a capitu-lar, not the one who submitted the proposal as such, believes that any such rejected proposal is worthy of a committee report and chapter discussion, he should hand in this proposal with his reasons for its repeated presenta-tion. The verdict on confirming or rescinding the rejection should not be made by the original rejecting committee but by the co-ordinating com-mittee. This will avoid having the same committee as both judge and de-fendant in the recourse. Greater Reduction of Matter Is Necessary The reduction of the work of the general chapter has to be much greater than the mere immediate rejection of proposals considered less important, less general, or otherwise evidently inadmissible in the past. No general chapter can s.atisfactorily handle a thousand or two thousand proposals. This is true even if the pre-chapter prepa.ration is most thorough and com-plete, The number of proposals that confronted very many post-Vatican II general chapters was prostrating. Nor is it sensible to think of more fre-quent general chapters; we have too many now. Not a great number of them have been religiously effective, and there is nothing in multiplication that augurs greater effectiveness. Perhaps the remedy is to cut down very severely the work of the general chapter to the particular matters that are very highly important and urgent and to give much greater attention to policies than to enactments and changes of enactments and laws in particular matters. Present Mentality Few will now even question the statement that we are faced by a crisis of authority. Pope Paul VI has often spoken~ of this crisis, for example: To mention another: there is the excessive emphasis on the right of the indi-vidual to do as he pleases, which leads to the rejection of any and all limits imposed from without and of any and all authority, however legitimate it may be (May 25, 1968, The Pope Speaks, 13 [1968], 222). In this way a mentality is spread which would like to claim that dis-obedience is legitimate and justified in order to protect the freedom that the sons of God should enjoy (January 29, 1970, ibid., 15 [1970], 54). Since therefore it is a visible society, the Church must necessarily have the power and function of making laws and seeing to it that they are obeyed. The Church's members in turn are obliged in conscience to observe these laws (December 13, 1972, ibid., 17 [1973], 376). This mentality of hostility tO authority and law is one of the very im-portant and urgent matters that a general chapter must face and strive to 2911 / Review ]or Religious, Volume 33, 1974/2 change, but it is also a fact that makes one question the enactment of many laws at present. Matters Excluded from the Competence of General Chapters Possessing Experimental Authority These chapters obviously cannot change ( 1 ) divine law, whether natural or revealed; (2) and without the previous appro'~al of the Sacred Congrega-tion for Religious and Secular Institutes these chapters may not put into effect anything that is contrary to the common law (canonical prescriptions, laws of Vatican II, and other laws and decrees of the Holy See); nor (3) make any change in the purpose, nature, and characteristics of any institute or in the Rule of an institute (Ecclesiae sanctae, n6. 6). Proposals These are made by the members of the institute and by provincial chap-ters. All are to be encouraged to make proposals; all are equally to be counseled to make only good proposals, and this means good for the entire institute. A proposal is to be judged by its content, but an obscure and un-duly long proposal is a certain indication of insufficient thought. The insuffi-ciency in this: case frequently extends to the content of the proposal. To find l~roposals a religious, should go over the life of the individual members and of,the community immediately with God, the community life, and the life of work. He should go through all pertinent books, e.g., the constitutions. He is to evaluate and to find ways to correct and improve the life of sanc-tity, the apostolate, the present policies and trends of the institute, its public image in the Church and in.general. He should evaluate, all innovations of the post-Vatican II years. Have they succeeded, failed, and in each case to what extent? Have the members of the institute become better religious, better participants in the community life, better apostles? What are the big problems facing the institute today? What is their solution? What is the re-ligious' effectiveness of superiors, their councilors, those in charge of forma-tion, of the works of the al:iOstolate? Is the tenor and style of life in the houses conducive to the religious life, the apostolate, a religiously satisfy-ing community life? Are your proposals solid, progressive without being im-prudent? Do they all propose freedom from something that is difficult and demands sacrifice? Proposals must be signed only and to the extent that this is com-manded by the law of the institute. A final day, well ahead of the opening of the general chapter, must be determined for the handing in of proposals. All, including general capitulars, should hand in their proposals during this tim& The general capitulars retain the right of making proposals during the chapter: Toward the close of the chapter, a date is to be determined be-yond which no proposal will be accepted. All of these provisions are to enable the committees to process the proposals properly and in due time. The General Chapter o/ Affairs / 299. The right to make proposals is determined by the law or practice of the particular institute. Those who do not have this right may suggest proposals, preferably in writing, to ~those who do enjoy the right. The latter may but are .not obliged to accept merely suggested proposals (see Review ]or Re-ligious, 23 [1964], 359-64). Position Papers and Questionnaires These were the high hurdle and wide stream obstacles in the procedure of. so many special general chapters, and few of these chapters landed fully on the opposite bank. Position papers were also at times a means on the part of committees of appropriating to themselves the policy making func-tion of the chapter. Questionnaires were frequently the substitution of a none too reasonable head count for a vote given because of convincing reasons. A background paper or questionnaire is only rarely necessary or advisable, e.g, an intelligent vote, for or against a particular proposal can demand a brief historical description. If so, the background paper should be prepared.~ Authority of the Superior General in Pre-chapter Preparation The superior general, assisted by his council, has authority over the entire pre-chapter preparation. This is evident from the fact that, outside of the general chapter, there is no one else on the general level of authority and from canon 502, which places the institute under his authority (see Ecclesiae sanctae, no. 4). Frequently at least a superior general gives ample delegation to. another religious to direct and supervise this preparation, e.g., to the Chairperson, of the steering or co-ordinating committee. However, the superior general can always lessen or~'withdraw such authority, lie may also always step in to correct and guide particular matters, individuals, or committees. Post-Vatican II general and provinc, ial chapters have often been vanquished in the pre-chapter preparation. The game was lost before it began. The superior general is not arbitrarily to interfere in or hamper the, work of the committees, but he should be completely aware of what is going on in all committees. He should be very sensitive to a too conservative or a too leftist~ approach and, even more practically, ~to a group that is unduly and wrongly influencing the pre-chapter preparation. ' Attaining a:Universal Voice in Chapters Especially since about 1965 we have had a constant clamor that the religious of temporary vows or other commitment be permitted to be dele-gates to the general and provincial chapters. This has been an outstandingly unreal issue of recent years.The clear fact has been that the young were talking in the chapters and pre-chapter preparation. The voice that was not being heard was that of the older and of many middle-aged religious and chapter members. This has been true also in other discussion groups, for example, local community discussions. Our need and problem of the-mo- 300 / Review ]or Religious, Volume 33, 1974/2 ment is to hear the older and the middle-aged religious. I doubt that this can be attained at this time except by having the chapter discussions start with small discussion groups. Each group should be composed of religious of all ages. This system would demand a sufficiently competent chairperson and secretary in each group, the report by the secretary of the group, and the distribution of copies of the reports of each group and of the composite report of all the groups before the common discussion of the matter in the whole chapter. The attainment of the most accurate and efficient procedure in this matter demands a very thorough study. Discussion groups are a time consuming means. They could be employed only for the more serious mat-ters. My own sincere judgment, based on the observation of chapters, is that such a means is necessary to hear the voice of the older and of many mid-dle- aged religious, especially of sisters. Part of the factual basis of this judg-ment is the lack of the older and middle-aged voice manifested very gen-erally in post-Vatican II chapters, that is, the effects that.revealed an inex-perienced, imprudent, and exaggerated origin. As far back as 1901, the Roman Congregations governing religious have refused to approve those of temporary vows or other commitment as dele-gates in the general and provincial chapters. Chapter Principles The preceding section on proposals lists fairly adequately the aspects and fields that can give rise to proposals. Proposals can also be drawn from the principles that should guide chapters, communities, and individuals, which we shall give in this section. The supreme principle is that all should seek the greater good of the Church and of the whole institute, not merely of some part of it or of some group in it. Seek the good not merely of the young, but also of the middle-aged and the aged. A high degree of differ-ence in some aspect of life that is verified in any particular country or re-gion should receive its proper consideration. This is to be true not merely of the United States but of any other country, of Germany, France, Italy, England, Japan. Differences do not exist in all aspects of life. The American has no less need of prayer and mortification than the Italian. Obviously no nation is to give the impression of being superior to all other nations. All should retain all the good of the past and be willing to accept all good ideas of the present and of the future. It is equally the duty of all to oppose anything that is useless or harmful to the institute or its members. Any false principle such as disobedience, especially if public, to the govern-ing or teaching authority of the Church should be immediately rejected. The goal in prayer is not freedom but a more universal life of constant prayer. The Holy Spirit guides practically all of us by the ordinary way, and this implies that our problems, difficulties and their solution are at least gen-erally ordinary. Little will be gained from a study of oriental mysticism or concentration or from emphasizing the charismatic. Much will be gained to The General Chapter o] Affairs / 301 the extent that it is realized that the difficulties in prayer are the very ordi-nary things of the lack of desire for sanctity of life, the unwillingness to make the sacrifices that such a life demands, the lack of a realization that prayer demands a constant effort, an impersonal spirituality, a poor introduction to mental prayer, a complicated system or machinery of mental prayer, a neglect of spiritual reading, a life that is merely activist, natural, secular, and similar ordinary things. If a chapter accepts open placement, how can the institute staff missions, colleges, hospitals, schools, homes for the aged? Can there be a generally satisfying community life when there is unlimited home visiting and unlimited going out for diversion? W.hy always leap to the new, the youthful, the leftist? Certainly sometimes the old, the moderate, the conservative is the true, the relevant, the practical. Why run to manage-ment consultants before you have tried a thorough investigation, study, and planning on your own? If any advisers gave false and imprudent advice, this advice can be the perfect mirror of what was wanted. List everything that your institute has adopted in renewal and adaptation. How many of these have helped the members to become better religious, better apostles, better Catholics? It is certainly not easy to start all over; neither is it any too comfortable to be on a plane that is speeding to certain extinction. The dominant thought of any chapter has to be the spiritual, the su-pernatural, the eternal not only with regard to the personal lives of the in-dividual religious but also to the apostolate and community life. Natural development and fulfillment and social work are important but not primary, nor are they the soul of the religious life or of its apostolate. Reject ideas and proposals that are disproportionately expensive. All experimentation in the Church and much more its worship should be carried out in a manner that is adult, mature, dignified, restrained rather than undisciplined and reckless, and not marred by the extremes of either the right or the left. The common saying is that religious dress is not an important question. This is true of religious dress in the abstract and considered merely in itself. In its effects and ramifications, religious dress, especially of women, is certainly an important question. In the past the error was to identify the old with the true, the good, and the relevant; the same error is verified now with regard to the new. Re-evaluate every post-Vatican II experiment and change. In-vestigate every question and adopt the solution that the facts demand or counsel; do not start off with a new structure or theory. The goal is only secondarily to renew and adapt the institute; the primary purpose must be to influence the religious to renew and adapt themselves. The thrust is pri-marily personal, not institutional. There is one essential test of past, present, and future experimentation. Does it produce greater sanctity of life, a deeper and wider community life, a greater spiritual effect in the apostolate? One of the most important qualities demanded in superiors and chapters today is the courage to stand with the wise and oppose the foolish. How many of your schools, colleges, and other institutions are very secular? Can you 302 / Review ]or Religious, Volume 33, 1974/2 justifiably allow this to continue and progress? Take anything and every-thing that is good and helpful from psychology and sociology, but never forget that they are no substitute for revelation, morality, or spiritual theol-ogy. How many factual studies were made that proved the later difficulties and defections of religious were found especially in those who entered im-mediately after high school? Honestly face the vocation problem and any of its causes that may exist in the individual and collective lives of your re-ligious. It is possible to emphasize the dignity of the married life without denigrating the religious life. Is the life style of your religious in conformity with the deep totality of the religious consecration? Do all things conduce to greater sanctity, better community life, and a more spiritual apostolate? Are we complaining about the lack of inspiration in the religious life after we buried it in selfishness, materialism, and naturalism? Adopt only what gives at least solid probability of success; otherwise your conduct is at least ordinarily imprudent or even rash. Procedure in lhe Chapter The chapter procedure should be kept as simple and uncomplicated as possible. The need of recourse to parliamentary procedure should be infre-quent, and each institute is now in a position to list the few parliamentary rules that are practical. The secretary of the chapter is to post the agenda for the sessions of a day at least on the preceding evening. It can be the understanding that the proposals or matters are to be taken in the order of the reports distributed to