Las críticasEn el marco de este derrotero por el que ha pasado la tesis de la Paz Democrática, se han montado diversos ángulos de críticas hacia la misma. Una primera vertiente destaca la implausibilidad de las explicaciones que intentan dar cuenta de la supuesta "ley". Así por ejemplo se ha señalado que en momentos de crisis aún en las democracias se produce una reducción del tamaño en el círculo decisor final. O que los dirigentes de los estados no democráticos también enfrentan condicionamientos de índole institucional o por parte de grupos de poder a los que están vinculados. O, incluso, que la opinión pública no es necesariamente una fuerza pacificadora. Asimismo, una crítica de índole realista se refiere a la escasez histórica de democracias que se traduce en pocas oportunidades de conflicto (Peñas, 1997: 133).Otro ángulo ha sido la existencia de serios problemas en la recolección y clasificación de los datos que sustentan la tesis. Su génesis yace en buena medida en la definición de los dos conceptos centrales detrás de la idea de la Paz Democrática: la democracia y la guerra. Sobre el concepto de "democracia" se advierten importantes diferencias en los criterios constitutivos del mismo. ¿Qué es una democracia? ¿Qué rasgos la definen? ¿Cuál es su condición? ¿Son éstas frágiles? Además, existen discrepancias entre las bases de datos y/o bien calificaciones bastante arbitrarias como por ejemplo la consideración en la basePolity II de Francia entre los años 1981 y 1986 como una "anocracia", mientras que El Salvador de la misma época, enfrascado en una cruenta guerra civil sí figuraba como "democracia".En cuanto a las guerras, el criterio de selección de datos más aceptado fue el implementado por Small y Singer que consiste en catalogar como guerra internacional a un conflicto que involucra uno o más participantes estatales y que provoca un mínimo de mil víctimas. Esto excluye intervenciones violentas que causan menos víctimas, pero no por ello políticamente menos significativas o bien las operaciones encubiertas (Salomón, 2001: 247). Tampoco ésta conceptualización da cuenta de las tendencias más modernas en los conflictos internacionales, entre las que se destaca la caída relativa de las disputas interestatales frente a las intraestatales ). En definitiva, "[lo] que caracteriza a nuestros días no es la desaparición de la violencia del sistema internacional ni la ausencia del recurso a la fuerza por parte de los Estados, sino la disminución del número de guerras formalmente declaradas y el aumento de guerras de guerrillas, guerras a través de terceros, subversión interior de los Estados instigada por otros Estados, acciones encubiertas, etc., menos costosas y que no necesitan ser justificadas, por lo menos tanto como una declaración formal de guerra" (Peñas, 1997: 135). Asimismo, los estudios cuantitativos en general han olvidado distinguir entre agresores y agredidos, o también la medición de la intensidad de la guerra (determinar si las democracias causan más muertes que otros Estados). La tesis de la Paz Democrática a su vez no ha logrado dar respuesta a ciertas anomalías que denotan la existencia de variables perturbadoras. Una anomalía es la existencia de zonas de paz en regiones del mundo donde no todas las sociedades son democráticas, como es el caso de América del Sur. Otra es que la correlación entre paz y democracia es más fuerte en el período posterior a la Segunda Guerra Mundial (Farber y Gowa, 1995). Este tipo de anomalías ha llevado a que explicaciones alternativas cobren fuerza. Entre estas, la más destacada es la teoría de Comunidades de Seguridad Pluralistas de Karl Deutsch (1957) que refiere a zonas donde sus miembros tienen la certeza de que sus disputas no se resolverán por medio de la fuerza. También se advierten reajustes y matizaciones de la tesis que debilitan su poder. Un ejemplo es la afirmación de Raymond Cohen (1994) de que la única conclusión razonables es que "los Estados democráticos del área del Atlántico Norte/Europa occidental, compartiendo una serie de circunstancias históricas particulares y una herencia cultural común, han evitado enfrentarse en una guerra" (en Peñas, 1997: 134). Asimismo, es posible encontrar evidencia en contra. Es el caso de la investigación de Charles Kegley y Margaret Hermann (1996) que arroja el interesante resultado de quince casos de intervención militar con uso de la fuerza, entre 1975 y 1995, por parte de democracias estables contra otras democracias estables, de las cuales ocho de ellas correspondían a intervenciones estadounidenses. Más recientemente, Thomas Schwartz y Kiron Skinner (2002: 160-161) identificaron un listado de conflictos que contrarían la tesis o están muy próximos a hacerlo y que hacen a lo que ellos llaman el "problema histórico" de la Paz Democrática:American Revolutionary War, 1775 (Great Britain vs. U.S.)Wars of French Revolution (democratic period), esp. 1793, 1795 (France vs. Great Britain)Quasi War, 1798 (U.S. vs. France)War of 1812 (U.S. vs. Great Britain)Texas War of Independence, 1835 (Texas vs. Mexico)Mexican War, 1846 (U.S. vs. Mexico)Roman Republic vs. France, 1849American Civil War, 1861 (Northern Union vs. Southern Confederacy)Ecuador-Columbia War, 1863Franco-Prussian War, 1870War of the Pacific, 1879 (Chile vs. Peru and Bolivia)Indian Wars, much of nineteenth century (U.S. vs. various Indian nations)Spanish-American War, 1898Boer War, 1899 (Great Britain vs. Transvaal and Orange Free State)World War I, 1914 (Germany vs. Great Britain, France, Italy, Belgium, and U.S.)Chaco War, 1932 (Paraguay vs. Bolivia)Ecuador-Peru, 1941Palestine War, 1948 (Israel vs. Lebanon)Dominican Invasion, 1967 (U.S. vs. Dominican Republic)Cyprus Invasion, 1974 (Turkey vs. Cyprus)Ecuador-Peru, 1981Nagorno-Karabakh, 1989 (Armenia vs. Azerbaijan)Yugoslav Wars, 1991 (Serbia and Bosnian-Serb Republic vs. Croatiaand Bosnia; sometimes Croatia vs. Bosnia)Georgia-Ossetia, 1991 (Georgia vs. South Ossetia)Georgia-Abkhazia, 1992 (Georgia vs. Abkhazia and allegedly Russia)Moldova-Dnestr Republic, 1992 (Moldova vs. Dnestr Republic and allegedly Russia)Chechen War of Independence, 1994 (Russia vs. Chechnya)Ecuador-Peru, 1995NATO-Yugoslavia, 1999India-Pakistan, 1999 Como se advierte, la teoría de la Paz Democrática se enfrenta a problemas tanto de índole empírica como de índole explicativa. Frente a este tipo de críticas, las reacciones se han dividido entre las defensivas (Maoz, 1997), las que han ignorado los hallazgos, las que han empezado a considerar otros factores (Russett, 1998) y las que se han dedicado a verificar su validez mediante estudios de casos (Elman, 1997). En definitiva, el debate ha sido prolífico y entre una de sus evoluciones más interesantes es la que ha recomendado evitar "las dicotomías simplistas y estudiar el mayor número posible de interacciones entre factores de conflicto internos e internacionales" (Salomón, 2001: 253).La materialización política de la Paz DemocráticaEn el contexto del "optimismo liberal" despertado por el colapso soviético y el fin de la guerra fría, la tesis de la Paz Democrática suscitó gran entusiasmo, sobre todo entre aquellos estudiosos de las Relaciones Internacionales que ansiaban acabar con la hegemonía retórica del realismo-neorrealismo en la disciplina. Como señala Peñas (1997: 130), "la gran virtud de esta tesis (…) es que en su discurso disuelve o reconcilia la escisión entre principios e intereses: una política de extensión de las democracias de libre mercado es a la vez una política éticamente justa y políticamente adecuada". Por tanto, el corolario político de la tesis de la Paz Democrática no es otro que la presunción de que el imperio de la paz y la cooperación internacionales requieren de la democratización de los Estados en el Sistema Internacional. Esto ha dado lugar al plano prescriptivo de los teóricos de la Paz Democrática. El más destacado en este sentido ha sido Russett al recomendar al gobierno en Washington la activa promoción democrática en base a las "pruebas sólidas de que las democracias no se hacen la guerra entre sí". Su propuesta se cuida de no alentar intervenciones militares unilaterales, sino apoyadas y legitimadas por organizaciones como la ONU o la OEA; y sus preceptos, en efecto, se materializaron durante la administración Clinton en la estrategia de Engagement y Enlargement ("compromiso y expansión"), en la que primacía global estadounidense, democracia y libre mercado caminaron de la mano.Pero lejos está de ser la Paz Democrática algo reciente o coyuntural en el discurso de política exterior de Estados Unidos. John Ikenberry sostiene que "[the] American preoccupation with promoting democracy abroad fits into a larger view about the sources of a stable, legitimate, secure, and prosperous international order. This outlook may not always be the chief guiding principle of policy, and it may sometimes lead to error. Still, it is a relatively coherent orientation rooted in the American political experience and American understandings of history, economics, and the sources of political stability" (Ikenberry, 1999). Sus orígenes políticos se remontan, claro es, a Woodrow Wilson quien en 1917 señaló: "A steadfast concert of peace can never be maintained except by a partnership of democratic nations. No autocratic government could be trusted to keep faith within it or observe its covenants". De acuerdo con el análisis de Henry Kissinger (1995), Wilson retomó postulados ya volcados en su momento por Thomas Jefferson, a saber: a) que la misión especial de Estados Unidos trasciende la diplomacia cotidiana, y los obliga a servir como faro de libertad para el resto de la humanidad, y b) que la política exterior de las democracias es moralmente superior porque el pueblo es, en esencia, amante de la paz. Esta misma línea de argumentación fue bien visible en la prédica de Harry Truman sobre las naciones libres, en la visión maníquea del "Imperio del Mal" de Ronald Reagan y, además del mencionado Clinton, más recientemente en las administraciones Bush (h) y Obama, como puede verse en los siguientes extractos obtenidos de distintos documentos estratégicos. Estamos en presencia por tanto de una constante de política exterior estadounidense.A National Security Strategy for a New Century, October 1998."…We seek international support in helping strengthen democratic and free market institutions and norms in countries making the transition from closed to open societies. This commitment to see freedom and respect for human rights take hold is not only just, but pragmatic, for strengthened democratic institutions benefit the United States and the world" (p. 33).The National Security Strategy of the United States of America, September 2002."…We will (…) use our foreign aid to promote freedom and support those who struggle non-violently for it, ensuring that nations moving toward democracy are rewarded for the steps they take (…) [and we will] make freedom and the development of democratic institutions key themes in our bilateral relations, seeking solidarity andcooperation from other democracies while we press governments that deny human rights to move toward a better future" (p. 4).National Security Strategy, May 2010."… The United States supports the expansion of democracy and human rights abroad because governments that respect these values are more just, peaceful, and legitimate. We also do so because their success abroad fosters an environment that supports America's national interests. Political systems that protect universal rights are ultimately more stable, successful, and secure. As our history shows, the United States can more effectively forge consensus to tackle shared challenges when working with governments that reflect the will and respect the rights of their people, rather than just the narrow interests of those in power" (p. 37).Esta prédica democrática, sin embargo, pareciera marchar a contramano de ciertas realidades. Señala Peñas, "la historia demuestra que las islas liberales no sólo han hecho la guerra por doquier, sino que además han sido responsables de un alto grado de militarización del mundo y han contribuido significativamente a la militarización y los conflictos entre los Estados no democráticos: esta militarización podría poner en peligro la paz democrática que el liberalismo propugna" (Peñas, 1997: 136). Estados Unidos, una de las democracias más importantes a nivel mundial (sino la más), posee en particular una historia reciente de retroalimentación entre militarización y conflictividad en el Tercer Mundo. Vale recordar, cómo a través de la CIA, Washington ayudó armar a la red al-Qaeda para combatir a la ocupación soviética de Afganistán en la década del '80, lo que a la postre generó una guerra civil en dicho país y el surgimiento de un importante enemigo en la figura de Osama Bin Laden, o bien el apoyo a Saddam Hussein durante la guerra irano-iraquí por aquellos mismos años en coexistencia casi paradojal con la venta encubierta de armamento a Irán —destinada a su vez a financiar la guerra sucia de los Contras nicaragüenses contra el gobierno revolucionario sandinista. La invasión a Iraq en marzo de 2003 y el posterior caos del país, también constituye un buen ejemplo del fracaso y los peligros que conlleva la aplicación de una retórica democrático-mesiánica a través de la manu militari.Ciertamente, el repaso de estos eventos despierta temores si se contempla el actual caso de Libia. Allí, la intervención bajo autorización del Consejo de Seguridad de Naciones Unidas para frenar la crisis humanitaria en curso en el país, por iniciativa de Francia, Estados Unidos, Italia, Gran Bretaña y España (todas democracias), se ha convertido en una operación liderada por la OTAN, donde se está financiando y proveyendo a las fuerzas insurgentes opositoras a Kadafy y en la que el objetivo del cambio de régimen parece cada vez más claro (van Tijen, 2011). A pesar del importante despliegue de poder aéreo y naval, la balanza del conflicto parece no sólo equilibrada sino estancada, contrariando las expectativas iniciales de los mandos políticos y militares occidentales, lo que a su vez augura una potencial inestabilidad en el corto y mediano plazo para todo el Magreb. ¿Es esta la clase de escenario regional que desea la comunidad internacional? ¿Es esto lo que pretenden las principales democracias occidentales? Difícilmente.Resulta por tanto un desafío tan grande como imperioso el lograr romper con la trampa entre democracia, militarización y conflictividad en aumento. Más aún si se advierten datos tan desalentadores como el tamaño del gasto militar de Estados Unidos, el cual eclipsa el gasto correspondiente al resto de las potencias y regiones del planeta.Tal contrariedad entre discurso pacífico-democrático y los hechos, en parte, se explica porque el objetivo estadounidense de la difusión de la democracia liberal a nivel mundial no es el único que compone su política exterior. Existen otros intereses (de seguridad, económicos, poder, etc.) y los medios para conseguirlos no siempre son pacíficos, ni justificables. Desde la Segunda Guerra Mundial, la política exterior estadounidense ha oscilado entre métodos como la negociación, disuasión, unilateralismo y multilateralismo (Barceló Sasía, 2006: 64). En este marco, por momentos el discurso político de la Paz Democrática ha generado la impresión de actuar más como una mera justificación retórica, como un auxilio para encubrir ideológicamente motivaciones de otro orden, antes que como el verdadero leit motif de las acciones emprendidas.Reflexión finalEn definitiva, la Paz Democrática, la idea de que las democracias no guerrean entre sí, cuyo corolario nos dice que la construcción de estados democráticos promueve la estabilidad en las relaciones internacionales, resulta una sugestiva noción desprendida del Liberalismo cuya corroboración científica, a pesar de las frases pomposas que puedan emitirse sobre su certeza y fiabilidad, se encuentra aún en juego. Siendo una tesis por demás atractiva, defendida y cuestionada en el mundo académico, resulta aún más trascendente su estudio dada su cristalización fáctica como supuesto criterio guía en el comportamiento exterior de los Estados democráticos más poderosos a nivel internacional. Los dilemas que ello entraña no son menores, como los intentos recientes y actuales de "democratizar" Medio Oriente y el Mundo Árabe nos recuerdan. Dobles discursos —morales de doble-standard de acuerdo con la célebre crítica de Stanley Hoffman— parecen conjugar anhelos democráticos con intereses geopolíticos y/o geoeconómicos, o más bien encubrir estos últimos bajo el manto de los primeros. En el medio, se resuelven y dirimen en el tablero mundial las corrientes de cambio pacífico o revolucionario, de progreso democrático o de restauración autocrática, las viejas lógicas de poder, de conquista y de influencia, la estabilidad internacional, el porvenir de la guerra y las sombras de la paz. *Candidato doctoral, Universidad Nacional de General San Martín (UNSAM, Argentina). 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ABSTRACTCharacteristics of the border region is often described as the outermost regions are isolated, backward, and so forth. With the myriad of issues concerning the welfare of society in general were below the poverty line with low levels of education. But life does not always belong to border communities in naming above, Miangas for example, the community has its own traditions how to survive in conditions of isolation and backwardness, have skills in producting seafood, farming and other skills. Long before the existence of state power, the unit from Miangas sides of residence lives bound by customs and a sense of shared identity. Results from this research show that, due to the presence of markers of the state's power infrastructure in this locations, many facilities built by the government in Miangas impressed as empty and wasteful projects that looks abandoned. As well as the presence of power by government intervention ultimately weaken the social institutions in lives of indigenous people, and tends to make people more spoiled and more pragmatic, and left the local wisdom and traditional values that have been practiced for generations by their ancestors and was bequeathed to offspring. Conclusion of this study, the Miangas known as hard working people, many skills are acted by people in meeting their needs, such as reliable in making boats, intelligent processing of marine products such as making wooden fish (smoked fish) and salted fish being traded to the island- Talaud large island in the district. But when the excessive government interference in the end there is a change in society itself and shift traditional values. Neglect of traditional values by society, increasingly indicates that the presence of state power in Miangas, indicating the government has failed in maintaining traditional values, language and traditions into local wisdom as mandated in the constitution of this country, which is poured into 1945. Should society and government both have important roles in maintaining the integrity and sovereignty of the Republic of Indonesia to maintain local knowledge as part of the national defense. PENDAHULUANKarakteristik wilayah perbatasan bagi sebagian orang seringkali digambarkan sebagai wilayah terluar yang terisolir, terbelakang, halaman belakang, pagar belakang, penuh dengan segudang permasalahan menyangkut tingkat kesejahteraan masyarakat yang pada umumnya berada di bawah garis kemiskinan dengan tingkat pendidikan yang rendah.Namun dalam penamaan ini yang seringkalidilupakan oleh sebagian orang bahwa kehidupan masyarakat di wilayah perbatasan tidak selamanya tergolong apa yang disebutkan diatas, disetiap wilayah masyarakat memiliki budaya dan tradisi berbeda bagaimana bertahan hidup dalam kondisi keterisolasian dan ketebelakangan. Seperti yang di ungkapkan oleh Ralp Linton dimana kegiatan-kegiatan kebudayaan atau culture activity di bagi ke dalam trait complex, misalnya sebagai contoh masyarakat memiliki ketrampilan dalam proses pencaharian hidup dan ekonomi, dengan mengandalkan hasil alam seperti melaut, bercocok tanam dan peternakan (Ralp Linton, 1936: 397). Apabila dicermati hal ini merupakan kearifan lokal.Demikian halnya jauh sebelum adanya program pembangunan di wilayah perbatasan, masyarakat yang oleh Koentjraningrat disebut sebagaii suatu kesatuan hidup manusia yang bersifat mantap dan terikat oleh satuan adat istiadat dan rasa identitas bersama(Koentjraningrat, 2009:120). Wilayah perbatasan sebagai garis pangkal penentu kedaulatanNKRI, perlu adanya perhatian khusus baik dari segi pembangunan infrastruktur dansuprastruktur, pembangunan kualitas sumber daya manusia, sampai pada pembangunan pusat penyelenggara kekuasaan negara yang memberi pelayanan terhadap masyarakat. Namun persoalan yang dihadapi sekarang wilayah perbatasan yang diwacanakan sebagai "beranda depan" ternyata masih jauh dari harapan dan tinggallah sebuah wacana.Dengan adanya kehadiran kekuasaan negara bukan memoles wilayah perbatasan menjadi wilayah terdepan, malah cenderung membuat masyarakat untuk terus bergantung kepada pemerintah dan meninggalkan tradisi-tradisi yang dulu terpelihara, seperti nilai-nilai atau norma-norma adat-istiadat dan keterikatan oleh suatu rasa identitas komunitas (Maciver dan Page dalam Koenjtraningrat, 2009:119). Seperti yang dikatakan oleh Burhan Bugin kajian tentang masyarakat sipil atau civil society penting di kaji setelah dominasi kekuasaan negara begitu kuat. Selain menjadikan masyarakat sipil tidak berdaya, dominasi kekuasaan negara dapat menunjukan fakta bahwa seakan-akan pembangunan yang dilakukan oleh Negara ditunjukan bagi kepentingan rakyat (Burhan Bugin, 1993: 6), namun kenyataannya malah kekuasaan Negara yang pada umumnya terlalu dominan lebih cederung memberikan efek negatif terhadap kearifan lokal masyarakat adat di Miangas, di sisi lain masyarakat sendiri tidak mampu untuk mempertahankan kearifan lokal yang ada.Rumusan Masalah1. Bagaimana kekuasaan negara terhadap struktur adat masyarakat Miangas?2. Mengapa terjadi perubahan atau pergeseran nilai adat ketika pemerintah melakukan intervensi kekuasaan di Miangas?Manfaat dan Tujuan Penelitian.a. Adapun tujuan dari penelitian ini, adalah:1. Untuk mengetahui sejauh mana kekuasaan negara terhadap struktur adat masyarakat Miangas!2. Untuk mengetahui Sejauhmana terjadinya perubahan atau pergeseran nilai-nilai adat ketika pemerintah melakukan intervensi kekuasaan di Miangas!b. Manfaat Ilmiah, bahwasannya penelitian ini kiranya dapat memberikan kontribusi berarti untuk pengembangan ilmu pengetahuan bagi Jurusan Ilmu Pemerintahan terlebih khusus bagi Program Studi Ilmu politik.Manfaat praktis,diharapkan hasil penelitian ini dapat memberikan kontribusi bagi terselenggaranya program pemerintahpusat dan daerah dalam pembangunan kawasan perbatasan yang sesuai dengan karakteristik wilayah perbatasan, agar ke depan program pembangunan yang dilakukan oleh pemerintah pusat dan daerah tepat dan berguna bagi masyarakat perbatasan, guna untuk menjaga tetap tegaknya keutuhan dan kesatuan NKRI.KERANGKA KONSEPTUALKonsep Kekuasaan1. Menurut Robert M. Mac Iver,kekuasaanadalah kemampuan untuk mengendalikan tingkah laku orang lain, baik secara langsung dengan jalan memberi perintah, maupun secara tidak langsung dengan mempergunakan segala alat dan cara yang tersedia (Robert M. Mac Iver, 1961:87).2. Menurut Negel, kekuasaan adalah suatu hubungan kausal nyata atau potensial antara yang disukai oleh yang berbuat sehubungan dengan hasil dan hasil itu sendiri (Negel dalam Robert Dahl "Analisis Politik Modern, 1980; 169).3. Menurut Selo Soemardjan dan Soelaeman Soemardi, kekuasaan adalah hubungan antara yang berkuasa dan yang di kuasai, atau dengan kata lain antara pihak yang memiliki kemampuan untuk melancarkan pengaruh dan pihak lain yang menerima pengaruh ini, dengan rela atau karena terpaksa (Selo Soemardjan dan Soelaeman Soemardi, 1964:337).4. Menurut Soerjono Soekanto, kekuasaan adalah suatu kemampuan memerintah (agar yang diperintah patuh) dan juga memberikan keputusan-keputusan yang secara langsung maupun tidak langsung mempengaruhi tindakan-tindakan pihak-pihak lainnya (Soerjono Soekanto, 1981:163)5. Menurut Max Weber, kukuasaan adalah kesempatan dari seseorang atau sekelompok orang-orang untuk menyadarkan masyarakat akan kemauan-kemauannya sendiri, dengan sekaligus menterapkannya terhadap tindakan-tindakan dari orang-orang atau golongan-golongan tertentu (Max Weber (Max Weber, Essay in Sociology, translated and edited by H-H Gerth and C. Wright Mills. 1946: 180).6. Gilbert W. Fairholm mendefinisikan kekuasaan sebagai "kemampuan individu untuk mencapai tujuannya saat berhubungan dengan orang lain, bahkan ketika dihadapkan pada penolakan mereka" (Gilbert W. Fairholm, Organizational Power Politics: Tactics in Organizational Leadership, 2009:5).7. Stephen P. Robbins mendefinisikan kekuasaan sebagai ". kapasitas bahwa A harus mempengaruhi perilaku B sehingga B bertindak sesuai dengan apa yang diharapkan oleh A. Definisi Robbins menyebut suatu "potensi" sehingga kekuasaan bisa jadi ada tetapi tidak dipergunakan. Sebab itu, kekuasaan disebut sebagai "kapasitas" atau "potensi" (Stephen P. Robbins, 2009:15).8. Menurut Harold D Laswell dan Abraham Kaplan mendefinisikan kekuasaan adalahsustu hubungan di mana seseorang atau kelompok orang dapat menentukan tindakanseseorang atau kelompok orang dapat menentukan tindakan seseorang ataukelompoklain agar sesuai dengan tujuan dari pihak pertama.(Harold D Laswell dan Abraham Kaplan dalam Leo Agustino, 2007:72).Unsur-Unsur dan Saluran-Saluran Kekuasaan Kekuasaan dapat di jumpai dalam hubungan sosial di antara manusia maupun antar kelompok, adapun menurut (Soerjono Soekanto 1981:164-166) membaginya sebagai berikut:1. Rasa takut2. Rasa cinta3. Kepercayaan4. PemujaanSelain dari keempat unsur diatas, di dalam masyarakat Soerjono Soekanto membagi serta membatasinya ke dalam beberapa saluran-saluran, antara lain sebagai berikut;1. Saluran Militer2. Saluran Ekonomi3. Saluran Politik4. Saluran Tradisi5. Saluran Ideologi6. Saluran-saluran lainnyaBentuk Pelapisan-pelapisan Kekuasaan Adapun menurut Soekanto sosiolog dari Indonesia, memandang bentuk kekuasaan pada satu pola umum dari sekian banyak pola dalam masyarakat.Yaitu, bahwa dalam bentuk dan sistem kekuasaan selalu menyesuaikan dirinya pada masyarakat dengan adat-istiadat perikelakuannya (Soerjono Soekanto, 1981:169).Adapun bentuk pelapisan-pelapisan kekuasaan sebagai berikut: Wewenang Menurut Soerjono Soekanto, wewenang adalah hak yang telah ditetapkan dalam suatu tata tertib untuk menetapkan kebijaksanaa, menentukan keputusan-keputusan mengenai masalah-masalah yang penting dan untuk menyelesaikan pertetangan-pertentangan ( Soerjono Soekanto, 198:172).1. Wewenang kharismatis, tradisionil dan rasionil (legal).2. Wewenang resmi dan tidak resmi3. Wewenang pribadi dan territorial4. Wewenang terbatas dan menyeluruhKonsep NegaraHakekat pengertian tentang Negara pada dasarnya merujuk pada konsep kebangsaaan, dimana dari kata dasar "Bangsa".Dalam Kamus Besar Bahasa Indonesia edisi kedua, Depdikbud halalam 89, bahwa bangsa adalah orang-orang yang memiliki kesamaan asal keturunan, adat, bahasa dan sejarah serta berpemerintahan sendiri(Sumarsono, dkk. "Pendidikan Kewarganegaraan", 2005:8).Menurut Parangtopo (1993) kebangsaan adalah sebagai tindak-tanduk kesadaran dan sikap yang memandang dirinya sebagai suatu kelompok bangsa yang sama dengan keterikatan Sosiokultural yang disepakati bersama untuk hidup bersama membentuk organisasi yang disebut negara (Idup Suhady dan A.M. Sinaga, 2009:4).Adapun beberapa konsep negara sebagai organisasi kekuasaan politik menurut para ahli sebagai berikut:1. George Jellinek, Negara adalah organisasi kekuasaan dari sekelompok manusia yang telah berkediaman diwilayah tertentu (George Jellenik dan Efriza, 2008:43).2. Menurut Miriam Budiardjo, negara adalah bagian dari integrasi kekuasaan politik dan merupakan oraganisasi kekuasaan politik, yang merupakan alat (agency) dari masyarakat yang mempunyai kekuasaan untuk mengatur hubungan-hubungan manusia dalam masyarakat dan menertibkan gejala-gejala kekuasaan dalam masyarakat (Miriam Budiardjo, 2006; 38).3. Menurut R. Djokosoetono, negara adalah suatu organisasi manusia atau kumpulan manusia yang berada dibawah suatu pemerintahan yang sama (R. Djokosoetono dalam Indup Suhady dan A. M. Sinaga, 2009:6).4. Menurut Harold J. Laski, negara adalah suatu masyarakat yang diintegrasikan karena mempunyai wewenang yang bersifat memaksa dan secara sah lebih agung daripada individu atau kelompok yang merupakan bagian dari masyaraka(Harold J. Laski dalam Miriam Budiardjo,2006: 39).5. Menurut Epicurus, negara adalah merupakan hasil daripada perbuatan manusia, yang diciptakan untuk menyelenggarakan kepentingan anggota-anggotanya (Epicurus dalam Soehino, 1986:31).6. Menurut Norberto Bobbio, negara adalah dimana kekuasaan public diatur oleh norma-norma umum (yang fundamental maupun konstitusional) dan ia harus dijalankan dalam pengaturan undang-undang, di mana warga Negara mempunyai hak perlindungan dari jalan-jalan lain untuk menuju kepada satu pengadilan yang mandiri dalam upaya meneggakan aturan main dan berjaga dari penyalahgunaan atau tindakan berlebihan dari kekuasaan (Norberto Bobbio dalam Ali Sugihardjanto,dkk. 2003; 154).7. Menurut Thomas Aquinas berangkat dari pemikiran klasiknya, negara adalah lembaga sosial manusia yang paling tinggi dan luas yang berfungsi menjamin manusia memenuhi kebutuhan-kebutuhan fisiknya yang melampaui kemampuan lingkungan sosial lebih kecil, seperti desa dan kota (Thomas Aquinas Efriza, 2008:43).8. C.F. Strong seorang pemikir modern, dimana dalam perumusannya negara merupakan masyarakat yang terorganisir secara politik, negara sebagai suatu masyarakat teritorial yang dibagi menjadi yang memerintah dan di perintah (C.F. Strong, 2004; 5-7).Menurut Ahli berkebangsaan Inggris L. Oppenheim, sebuah negara berdiri bila suatu bangsa telah menetap di suatu negeri dibawah pemerintahannya sendiri", defenisi ini mencakup 4 unsur yang sangat jelas, rakyat, wilayah, pemerintahan dan sifat kedaulatannya (Oppenheim dalam J. Frankel, 1991: 9-13), adapun penjelasan unsur-unsur negara menurut Oppenheim sebagai berikut:1. Rakyat2. Wilayah3. Pemerintahannya4. KedaulatanSelain apa yang disebutkan diatas, negara memiliki tujuan dan fungsi negara. Adapun tujuan negara sebagai berikut;1. Menurut Miriam Budiardjo negara dipandang sebagai asosiasi manusia yang hidup dan bekerjasama, dimana tujuan akhir negara adalah menciptakan kebahagiaan bagi rakyatnya (Miriam Budiardjo, 2006:45).2. Negara sebagai organisasi kekuasaan teori ini dianut oleh H.A.Logemann dalam bukunya Over De Theorie van Eeen Stelling Staatsrecht. Dikatakan bahwa keberadaan negara bertujuan untuk mengatur serta menyelenggarakan masyarakat yang dilengkapi dengan kekuasaan tertinggi (H. A. Logemann, 1948).3. Menurut Roger H. Soltau, tujuan negara ialah memungkinkan rakyatnya "berkembang" serta menyelenggarakan daya ciptanya sebebas mungkin" (R. H. Soltau dalam Miriam Budiardjo,2006:45).Selain daripada tujuan dan fungsi diatas, Negara yang oleh Soekanto pada umumnya memiliki kekuasaan yang secara formil negara mempunyai hak untuk melaksanakan kekuasaan tertinggi, kalau perlu dengan paksaan; juga negaralah yang membagi-bagikan kekuasaan yang lebih rendah derajatnya (Soerjono Soekanto, 1981:164). Konsep MasyarakatDalam bahasa Inggris masyarakat adalah society berasal dari bahasa latin, societas, yang berarti hubungan persahabatan dengan yang lain. Societas diturunkan dari kata socius yang berarti teman (Konjtraningrat,2009:16).1. Menurut Koentjaraningrat, pengertian masyarakat adalah kesatuan hidup manusia yang berinteraksi menurut suatu sistem adat-istiadat tertentu yang bersifat kontinu dan yang terikat oleh suatu rasa identitas tertentu (Koenjtraningrat, 2009;118).2. Menurut Mac Iver dan Page, masyarakat adalah suatu sistem dari kebiasaantata-cara, dari wewenang dan kerjasama antara berbagai kelompok dan penggolongan, dari pengawasan tingkah laku serta kebebasan-kebebasan manusia, keseluruhan yang selalu berubah ini kita namakan masyarakat. Masyarakat merupakan jalinan hubungan sosial, dan masyakat selalu berubah (R. M. Mac Iver and Charles H. Page, 1961: 5).3. Menurut S. R. Steinmetz, masyarakat adalah sebagai kelompok manusia yang tebesar dan yang meliputi pengelompokkan yang lebih kecil, yanng mempunyai hubungan erat dan teratur (S. R. Steinmetz dalam Harsojo, 1967: 145).4. Menurut Miriam Budiardjo, masyarakat adalah suatu kelompok manusia yang hidup dan bekerjasama untuk mencapai terkabulnya keinginan-keinginan mereka bersama (Miriam Budiardjo, 2006;39).5. Menurut Warner,masyarakat adalah "suatu kelompok perorangan yang berinteraksi timbal balik(Warner dalam Pokok-pokok Antropologi Budaya. Editor , T.O Ihromi, 1996;107).6. J. L.Gillin dan J. P. Gillin dalam buku mereka Cultural Sociology (1954:139), bahwa masyarakat atau society adalah "the largest grouping in which common customs, traditions, attitudes and feelings of unity are operative". (J. L. Gillin dan J.P. Gillin dalam Koenjtraningrat, 2009; 118).Organisasi Sosial atau Struktur Masyarakat Melville J. Herskovits,antropolog berkebangsaan Amerika, mengemukakan bahwa organisasi sosial atau struktur masyarakat dapat dilihat dari pranata-pranata yang menentukan kedudukan lelaki dan perempuan dalam masyarakat, dan dengan demikian menyalurkan hubungan pribadi mereka (Melville J. Herskovits dalam Ihromi, 1996;82). Melvillemembagi lagi pranata-pranata dalam dua kategori yaitu, pranata yang tumbuh dari hubungan kekerabatan dan pranata dari hasil ikatan antara individu berdasarkan keinginan sendiri.Pranata Sosial Atau Lembaga Kemasyarakatan Menurut Koenjtraningrat, pranata adalah suatu sistem norma khusus menata suatu rangkaian tindakan berpola mantap guna memenuhi suatu keperluan pola khusus dari manusia dalam kehidupan masyarakat (Koenjtraningrat, 2009:133). Dari semua hal mengenai apa yang telah dijabarkan oleh Koenjtraningrat diatas, kesemuanya itu dapat tercapai karena adanya interaksi sosial antarindividu dan kelompok dalam kehidupan masyarakat.Menurut Soerjono Soekanto, dikatakan bahwa unsur-unsur pokok dalam struktur sosial adalah interaksi sosial dan lapisan-lapisan sosial (Soerjono Soekanto, 1981:192).Adapun ciri-ciri umum lembaga kemasyarakatan atau pranata sosial menurut (Gillin and Gillin dalam Soerjono Soekanto, 1981:84), sebagai berikut:1. Suatu lembaga kemasyarakatan adalah suatu organisasi daripada pola-pola perikelakuan yang terwujud melalui aktivitas kemasyarakatan dan hasil-hasilnya.2. Suatu tingkat kekekalan tertentu merupakan ciri dari semua lembaga kemasyarakatan.3. Lembaga kemasyarakatan mempunyai satu atau beberapa tujuan tertentu.4. Lembaga kemasyarakatan mempunyai alat-alat perlengkapan yang akan digunakan untuk mencapai tujuan dari lembaga yang bersangkutan.5. Adanya lambang-lambang biasanya juga merupakan ciri khas dari lembaga kemasyarakatan.6. Suatu lembaga kemasyarakatan, mempunyai suatu tradisi yang tertulis ataupun yang tidak tertulis, yang merumuskan tujuannya, tata-tertib yang berlaku dan lain-lain.Selain daripada ciri-ciri lembaga kemasyarakatan diatas, Gillin dan Gillin mengklasifikasikan beberapa tipe lembaga kemasyarakatan dari berbagai sudut pandang, sebagai berikut:1. Crescive institutions dan enacted institutions yang merupakan klasifikasi dari sudut perkembangannya.2. Dari sudut sistem nilai-nilai yang diterima masyarakat, timbul klasifikasi atas Basic institutions dan subdiary institutions.3. Dari sudut penerimaaan masyarakat dapat dibedakan aaproved atau social sanctioned-institutions dan unsanctioned institutions.4. Perbedaan antara general istitutions dengan restricted institutions, timbul apabila klasifikasi timbul didasarkan pada faktor penyebarannya.5. Akhirnya dari sudut fungsinya, terdapat perbedaan operative institutions dan regulaitve institutions.Intervensi Politik (Negara) dalam Struktur Masyarakat Adat Di Indonesia Dalam konteks NKRI, di zaman orde baru (Soeharto) negara dijalankan dengan skema totaliter berbasis militer, hal ini telah memberikan pengaruh besar pada penciptaan tatanan kehidupan berbangsa dan bernegara. Di era reformasi ada pergesaran serta adanya dekadensi terhadap nilai-nilai adat dalam komunitas masyarakat, hal ini diakibatkan adanya campur tangan (intervensi) negara yang berlebihan terhadap pranata sosial didalam masyarakat. Menurut Adumiharja Kusnaka, bahwa selama ini para perencana pembagunan nasional di Indonesia menganggap nilai budaya masyarakat sebagaisimbol keterbelakangan. Dengan adanya UU No 72 Tahun 2005 tentang perubahan atas UU No 15 Tahun 1999 "Tentang Pemerintahan Desa", adalah "puncak" dari kebijakan intervensi Negara sejak masa kolonial hingga nasional sekarang yang melumpuhkan kekuatan modal sosial, dan sekaligus merampas hak-hak komunal yang melekat pada ulayat (wilayah kehidupan) dari entitas sosial yang disebut "masyarakat hukum adat" di Negara ini (Zakaria, 2000).Menurut Imam Soetiknya, akibat pemerintah menyalahgunakan UUPA No. 5 Tahun 1960, maka yang terjadi adalah suku-suku bangsa dan masyarakat adat yang tidak mandiri lagi, tetapi sudah merupakan bagian dari satu bangsa Indonesia di wilayah Negara Kesatuan Republik Indonesia, yang wewenangnya berdasarkan hak rakyat yang berhubungan dengan hak-hak atas tanah, yang dahulu mutlak berada di tangan kepala suku atau masyarakat hukum adat sebagai penguasa tertinggi dalam wilayahnya, dengan sendirinya beralih kepada pemerintah pusat sebagai penguasa tertinggi, pemegang hak menguasai tanah ulayat wilayah Negara (Imam, Soetiknya, 1990; 20). Di dalam UUD 1945 Amandemen IV, pasal 28I ayat 3, pasal 32 ayat 1 dan ayat 2, serta UU Nomor 32 Tahun 2004. Dimana negara menghormati dan menghargai serta memelihara bahasa, budaya masyarakat tradisional sebagai budaya nasional yang selaras dengan perkembangan zaman. Masyarakat Adat dan Kelembagaan Adat Konsep Masyarakat Adat Istilah masyarakat adat mulai mendapat perhatian dunia setelah pada tahun 1950-an sebuah badan dunia di PBB bernama ILO (International Labour Organization) mempopulerkan isu tentang "Indigenous peoples" dimana istilah ini digunakan ILO untuk sebutan terhadap entitas "penduduk asli" (ILO dalam Keraf, 2010). Keraf menyebutkan beberapa ciri yang membedakan masyarakat adat dari kelompok lainnya (Keraf, 2010:362), adapun ciri-cirinya sebagai berikut:1. Mereka mendiami tanah-tanah milik nenek moyangnya, baik seluruhnya atau sebagian.2. Mereka mempunyai garis keturunan yang sama, berasal dari penduduk asli daerah tersebut.3. Mereka mempunyai budaya yang khas, yang menyangkut agama, sistem suku, pakaian tarian, cara hidup, peralatan hidup, termasuk untuk mencari nafkah.4. Mereka memiliki bahasa sendiri.5. Biasanya hidup terpisah dari kelompok lain dan menolak atau bersikap hati-hati terhadap hal-hal baru yang berasal dari luar komunitasnya.Masyarakat dengan pola orientasi kehidupan tradisional, yang tinggal dan hidup di desa. Menurut Suhandi ada beberapa sifat umum yang dimiliki masyarakat tradisional (Suhandi dalam Ningrat, 2004:4):1. Hubungan atau ikatan masyarakat desa dengan tanah sangat erat.2. Sikap hidup tingkah laku sangat magis religius.3. Adanya kehidupan gotong-royong.4. Memegang tradisi dengan kuat.5. Menghormati para sesepuh.6. Kepercayaan pada pemimpin loka dan tradisional.7. Organisasi yang relatif statis.8. Tingginya nilai-nilai sosial.Lembaga Adat Ratu mbanua dan Inangngu wanuaDi Zaman dahulu pemerintahan desa dilaksanakan secara adat oleh Ratumbanua dan Inangnguwanua, mereka dianggap oleh sebagian masyarakat Talaud dan Miangas khususnya sebagai kepala yang membawahi beberapa suku atau klan, dan dianggap sebagai pemimpin dari beberapa kepala suku.Istilah pemerintah desa adat tersebut disesuaikan dengan kemauan penguasa pada saat itu, dan setelah adanya perkembangan pembagian wilayah Zending, maka terjadilah keputusan Residen Manado pada tanggal 1April 1902 yang mencantumkan pengakuan terhadap wilayah ke-jogugu-andi kepulauan Talaud maka saat itu juga di mulai pemerintahan desa.1. Ratuntampa adalah seseorang yang memegang tampuk pimpinan adat yang membawahi pimpinan adat, (Ratunbanua dan Inangnguwanua dari beberapa desa/kampung).2. Inangngu tampa sama dengan ratuntampa hanya di bedakan tugas dan fungsinya.3. Ratu mbanua adalah seseorang yang memegang tampuk pimpinan adat bersama-sama Inangngu wanua di suatu desa/kampung.4. Inangngu wanua adalah seseorang yang memegang pimpinan adat bersama Ratu mbanua di kampung, dia sebagai wakilnya Ratu mbanua.5. Timade ruanga/Inangngu ruanga adalah seseorang yang memimpin rumpun keluarga yang disebut suku.Adapun istilah ruanga dalam istilah Indonesia adalah panguyuban, rukun, atau suku (Hoetagaol dkk, 2012:19). Ratu mbanua dan Inangngu wanua dalam Struktrur Pemerintahan Desa Pada era demokrartisasi sebagaimana tengah berjalan di desa, masyarakat memiliki peran cukup sentral untuk menentukan pilihan kebijakan sesuai dengan kebutuhan dan aspirasinya. Masyarakat memiliki kedaulatan yang cukup luas untuk menentukan orientasi dan arah kebijakan pembangunan yang dikehendaki (Setiawan, 2009).Desa sebagai kesatuan masyarakat hukum terkecil yang memiliki batas-batas wilayah yang berwenang untuk mengatur dan mengurus kepentingan masyarakatnya berdasarkan asal-usul dan adat istiadat setempat yang diakui dan dihormati oleh negara. Masuknya ratu mbanua sebagai pemangku adat dalam keanggotaan BPD memperjelas peranan ratumbanua dalam penetapan peraturan desa bersama Kepala desa, termasuk menampung dan menyalurkan aspirasi masyarakatnya.Selain posisi ratu mbanua dalam keanggotaan BPD, ada beberapa kelembagaan desa dimana Ratumbanua serta perangkatnya berperan di dalamnya yang sudah dikenal dalam rangka pembangunan daerah pedesaan adalah Lembaga Ketahanan Desa (LKMD) dan Koperasi Unit Desa.Hubungan ratu mbanua sebagai lembaga adat dalam lembaga kemasyarakatan secara hukum nasional Indonesia maka kedudukan tugas dan fungsi Lembaga adat ratu mbanuasebagai mitra pemerintahan desa.METODE PENELITIANJenis Penelitian Penelitian ini tergolong dalam jenis penelitian deskriptif kualitatif, yang artinya "masalah" yang dibawa dalam penelitian ini bertujuan untuk mengobservasi, dan memahami suatu situasi sosial, peristiwa, peran, interaksi dalam kelompok masyarakat. Dalam penelitian ini juga masih bersifat holistik, belum jelas, kompleks, dinamis dan penuh makna serta bersifat alamiah (Sugiyono, 2011:9). Metode pendekatan yang dipakai adalah pendekatan Antropologi politik dimana kajian ini memusatkan perhatiannya pada"Hubungan antara struktur dan masyarakat dengan struktur dan tebaran kekuasaan dalam masyarakat tersebut (Koentjaraningrat " Sejarah Teori Antropologi, hal 196-226).Instrumen Penelitian Dalam penelitian kualitatif-naturalistik peneliti akan lebih banyak menjadi instrumen, karena dalam penelitian kualitatif peneliti merupakan key isnstruments (Sugiyono, 2011;92). Lokasi Penelitian Sesuai dengan judul penelitian ini dan yang mengacu pada fokus masalah yang terjadi di Miangas, maka penelitian ini berlokasi di Desa Miangas Kecamatan Khusus Miangas Kabupaten Kepulauan Talaud. Fokus Penelitian Pada penelitian ini, dengan berbagai pertimbangan antara lain, faktor jarak yang ditempuh, tenaga, waktu, dan dana, maka peneliti memfokuskan penelitian hanya di Kecamatan Khusus Miangas, Desa Miangas, Dimana fokus kajianya adalah melihat fenomena dari kekuasaan negara dalam struktur adat masyarakat Miangas dan mengapa terjadi perubahan atau pergeseran nilai adat ketika pemerintah melakukan intervensi kekuasaan di Miangas. Jenis Data Pada penelitian ini, data yang digunakan terdiri dari data primer dan data sekunder. Menurut Sugiyono di dalam pengumpulan data ada dua sumber data, pertama sumber primer adalah sumber data yang langsung memberikan data kepada pengumpul data, dan sumber sekunder merupakan sumber yang tidak langsung memberikan data kepada pengumpul data, misalnya lewat orang lain atau dokumen, hasil yang diperoleh dari hasil studi kepustakaan (Sugiyono; 224). Informan Penelitian Menurut Sugiyono (2011), dalam penelitian kualitatif tidak menggunakan populasi, karena penelitian berangkat dari kasus tertentu yang ada pada situasi sosial tertentu dan hasil kajiannya tidak akan diberlakukan ke populasi (Sugiyono, 2011:216).Mengutip juga pendapat Spradley dalam penelitian kualitatif, tidak menggunakan istilah populasi, tetapi oleh Spradley dinamakan "social situation" atau situasi sosial yang terdiri atas tiga elemen yaitu: tempat (place), pelaku (actors), dan aktivitas (activity) (Spradley dalam Sugiyono, 2011:215).Dimana penulis sendiri sebagai instrumen dalam penelitian ini, penulis turun langsung ke tempat dimana menjadi fokus penelitian, mewawancarai nara sumber, partisipan, informan yang dianggap tahu dengan situasi dan kondisi Miangas, atau yang lebih berkompeten dan memiliki pengaruh di tempat itu. Serta mengamati secara langsung aktivitas warga masyarakat yang ada di Miangas. Penentuan sumber data orang-orang yang diwawancarai yaitu dipilih dengan pertimbangan tertentu, dan masih bersifat sementara. Informan dalam hal ini kepala desa, ketua BPD, Ratumbanua dan Inangnguwanua, tokoh masyarakat dan tokoh adat. Teknik pengumpulan data Dalam penelitian ini yang digunakan dalam pengumpulan data adalah teknik observasi, wawancara dan dokumentasi.Prosedur Analisis Data Menurut Sugiyono, analisis data adalah proses mencari dan menyusun secara sistematis data yang diperoleh dari hasil wawancara, catatan lapangan dan dokumentasi. Dalam proses analisis data pada penelitian kualitatif dilakukan sejak sebelum memasuki lapangan, selama di lapangan, dan setelah selesai di lapangan. Analisis data kualitatif bersifat induktif, yaitu suatu anilisis berdasarkan data yang diperoleh (Sugiyono, 2011; 245).HASIL PENELITIAN DAN PEMBAHASANFenomena Pembangunan Di Miangas Pengalaman pahit Indonesia kalah dari Malaysia dalam memperebutkan Sipadan dan Ligitan di Mahkamah Internasional (Ulaen, dkk. 2012;164), membuat pemerintah ekstra hati-hati dalam menjaga wilayah teritorialnya.Pasca Soeharto, adanya pergeseran pencitraan atas Miangas dan pulau perbatasan lainnya, kalau dulu Miangas dianggap sebagai wilayah terluar, dan pos pintu keluar-masuk para pelintas-batas, maka sekarang dalam setiap program pembangunan diwacanakan sebagai "beranda depan" benteng Pancasila. Begitu banyak fasilitas yang dibangun oleh pemerintah di wilayah paling utara Sulawesi utara ini. Namun banyak fasilitas-fasilitas aparatur sipil yang dibangun untuk menunjang pelayanan terhadap masyarakat hanya terbengkalai dan dibiarkan kosong akibatnya rusak dan terkesan hanyalah proyek mubazir. Selain hal diatas ada beberapa bangunan yang disediakan pemerintah sebagai tempat penampungan kebutuhan pokok masyarakat seperti, depot logistik, 4 buah tangki BBM. Sejak dibangun pada tahun 2007 sampai sekarang terbengkalai dan hanya menjadi tempat penyimpanan karung semen dan menjadi tempat bagi rayap dan kepiting laut. Perhatian pemerintah terhadap pulau Miangas yang jumlah penduduknya sebanyak 209 KK, yang didalamnya berjumlah 762 jiwa, dengan disediakannya berbagai fasilitas oleh pemerintah, apabila dilihat sepintas memang terkesan negara dan orang-orang yang bernaung didalamnya begitu serius dalam menangani persoalan di wilayah perbatasan. Namun dari segi lain malah terlihat berlebihan, jika dibandingkan dengan pulau-pulau yang berdekatan dengan Miangas yang dulunnya merupakan satu kesatuan administratif dari kecamatan Nanusa, seperti pulau Marampit dan kecamatan Nanusa sendiri yang juga sebagai pulau terluar. Para Pelaut Handal Dari Utara NKRIGenerasi tua di Miangas merupakan generasi terakhir pendukung "tradisi bahari", mereka merupakan para pelaut-pelaut handal tanpa harus menggunakan layar disaat tidak berangin untuk mencapai pulau-pulau terdekat, seperti pulau-pulau yang ada di selatan daratan Filipina (Mindanao). Dimana tujuan mereka adalah menjajakan hasil olahan tangkapan mereka dilaut dan hasil lain dari masyarakat Miangas seperti tikar-pandan, kopra (Ulaen,dkk. 2012;67-68). Tradisi bahari yang sejak dulu ada dikalangan generasi tua di Miangas, sekarang mulai kehilangan identitas sebagai pelaut handal, pembuat perahu, dan ulet dalam pekerjaan khususnya sebagai seorang nelayan yang mahir dalam membaca perbintangan. Masyarakat lebih memilih menjadi buruh di pelabuhan disaat ada kapal yang masuk, dengan gaji seadanya asalkan dapat memenuhi kebutuhan hari ini, di sisi lain Miangas yang kaya akan sumberdaya kelautan tidak dimanfaatkan secara optimal. Tradisi yang dilakoni oleh generasi tua kini tidak lagi dipraktekkan oleh paragenerasi muda Miangas yang ada hanyalah kenangan manis yang tersirat dan tidak pernah tertuliskan. Tradisi Mamancari Sebagai Strategi Bertahan Hidup Masyarakat Miangas. Pada zaman dulu hingga pertengahan abad ke 20, masyarakat Miangas sama seperti halnya masyarakat yang ada di bagian bumi manapun pada umumnya, manusia memiliki strategi atau cara bagaimana harus bertahan hidup. Masyarakat Miangas pada umumnya di zaman dulu mengandalkan hasil laut, pertanian dan hasil kerajinan tangan yang dijual baik di pulau-pulau Talaud maupun di pulau-pulau daratan Mindanao, namun sekarang tradisi melaut mulai hilang sejak adanya bantuan pemerintah berupa sembilan bahan pokok di Miangas, kalaupun ada yang melaut itu hanya untuk keperluan makanan. Sedangkan hasil seperti keterampilan membuat ikan kayu (ikan asap) yang mereka dapat disaat mereka bekerja di perusahan ikan Jepang yang ada di Filipina, dan kerajinan tangan seperti tikar serta topi anyaman dari daun pandan tidak lagi ditemukan. Masyarakat lebih memilih membuka warung untuk berjualan, sementara tempat bertumbuhnya kelapa sebagai sumber mata pencaharian dan laluga atau puraha sebagai bahanmakanan yang mereka andalkan disaat kehabisan bantuan, sekarang menjadi tempat landasan pacu pesawat dimana proyek pemerintah cukup menelan biaya besar. Kelembagaan Adat (Ratu mbanua Dan Inangngu wanua) Di Miangas Politik tidak lepas dari persoalan kekuasaan, wewenang, kebijaksanaan dan pembagian yang pada umumnya berada pada negara, sejauh negara merupakan organisasi kekuasaan. Namun tidak bisa dipungkiri ada gejala-gejala kekuasaan yang sifat dan tujuannya sewaktu-waktu dapat mempengaruhi negara. Sifat dan tujuan dari gejala kekuasaan yang nonnegara dalam hal ini salah satunya adalah lembaga adat. Pranata sosial atau lembaga masyarakat inilah yang membentuk negara sebagai organisasi kekuasaan. Struktur Pemerintahan Desa Dan Struktur Kepemimpinan Adat Di Miangas Miangas di zaman keresidenan Manado, merupakan satuan wilayah adaministratif ke-jogugu-an Nanusa, semenjak adanya keputusan pemerintah pusat (Surat Menteri Dalam Negeri No. 5/1/69 tertanggal 29 April 1969), pemukiman warga Miangas dinamakan desa dan dipimpin oleh kapitelaut atau sehari-harinya disebut apitaᶅau ditemani jurutulis. Secara politis kapitenlaut ini pada umumnya dipilih berdasarkan keputusan dari 12 suku yang ada di Miangas dan tidak melalui proses dan mekanisme kerajaan yang pemimpinnya berdasarkan garis keturunan. Selain struktur kepemimpinan formal dalam hal ini pemerintah desa, ada juga struktur kepemimpinan tradisional. Kepemimpinan tradisional di Talaud pada umumnya dan Miangas khususnya di warisi secara turun-temurun dan oleh warga di sebut "kepemimpinan adat" di Miangas seperti yang telah dijelaskan diatas terdapat 12 (suku), Ratumbanua dan Inangnguwanua merupakan yang membawahi 12 suku, dan setiap kelompok suku dipimpin oleh tetua yang disapa Timaddu ruangnga/ kepala suku, atau pemangku adat. Peran Ratu mbanua dan Inangngu wanua Dalam Struktur Pemerintahan Desa di MiangasDalam struktur adat di Miangas ratu mbanua dan inangngu wanua, sebelum adanya struktur pemerintahan desa dan struktur keagamaan, sangat dihargai dan dihormati, serta memiliki perannya masing-masing. masalah pertahanan dan pemerintahan dalam wilayahitulah tugas dari ratumbanua, kalau inangguwanua tugas dan perannya adalah membantu ratumbanua dalam menjalankan roda-roda pemerintahan adat, dimana tugas dan perannya adalah menyangkut masalah kesejahtraan masyarakatnya, menjembatani konflik dalam keluarga serta mencari jalan keluar dari masalah kedua belah pihak yang berkonflik, dimana bukan pada persoalan mencari letak kesalahan atau mencari siapa yang menyebabkan konflik untuk diberikan sanksi (hukum adat). Melainkan baik ratumbanua dan inangnguwanua merupakan mediator dalam mengumpulkan tetua adat serta masyarakatnya untuk menyelesaikan persoalan diatas dengan cara kekeluargaan. Dengan adanya struktur pemerintahan desa, lembaga adat yang ada di Miangas mulai dilebur menjadi bagian dari struktur kelembagaan desa. Peran ratumbanua dan inangnguwanua hanya sekedar simbolisasi dalam mengisi acara seremonial. Seperti upacara adat, kunjungan pejabat, dan acara perkawinan. Dari amatan peneliti serta hasil wawancara dengan narasumber, bahwa kelembagaan adat serta peran ratu mbanua dan inangngu wanua sebagai primus inter pares. Tidak lagi seperti dulu, dimana peran ratumbanua dan inangnguwanua serta kelembagaan adat pada umunya menjadi lemah dengan hadirnya beberapa struktur kelembagaan kekuasaan di dalam negara, sehingga apa yang disebut sebagai "kearifan lokal" tidak terpelihara malah dari hari-kehari semakin terkikis. Didalam UUD 1945 Amandemen IV, pasal 28I ayat 3 dan pasal 32 ayat 1 dan Ayat 2. Serta UU No 32 Tahun 2004 "Tentang Pemerintah Daerah" Bab I pasal 2 ayat 9. Negara Indonesia dengan kemajemukannya memiliki kewajiban untuk mengakui, menghormati, menjamin dan memelihara serta memajukan identitas budaya dan masyarakat tradisional yang didalam terdapat nilai-nilai budaya seperti, hukum adat, bahasa daerah yang selaras dengan perkembangan zaman, sejauh nilai-nilai budaya itu hidup dan sesuai dengan prinsip NKRI. Di Miangas Misalnya, dalam penamaan ratu mbanua dan inangngu wanua mereka alih bahasakan kedalam istilah jawa yaitu, mangkubumi I dan Mangkubumi II, sepintas istilah mangkubumi terkesan enak di dengar, namun apabila peneliti meninjau kembali baik dari UUD 1945 dan UU No. 32 Tahun 2004, penamaan mangkubumi yang dipakai oleh para pejabat yang berkunjung atau para penyelenggara kekuasaan negara di Miangas dalam menyapa ratu mbanua dan inangnguwanua, tentunya menyalahi apa yang menjadi aturan perundang-undangan Negara Kesatuan Republik Indonesia diatas.PENUTUPKesimpulan1. Sebagai "beranda depan" ataupun penamaan lain yang teralamatkan, seperti "benteng Pancasila", "garda terdepan", sampai didirikannya 4 buah tugu sebagai penanda supremasi pertahanan bangsa oleh pemerintah, hanyalah sebatas membangkitkan phobia nasionalisme semata, dan sekedar wacana dari pemerintah untuk mengisi lembar halaman dalam media cetak maupun online.2. Program pembangunan yang telah diagendakan oleh pemerintah baik pusat maupun daerah, secara kasat mata memberi kemudahan bagi masyarakat di Miangas. Fasilitas yang telah disediakan oleh pemerintah, hanya fasilitas yang menunjang kerjasama antar kedua negaralah yang sampai sekarang selalu siap ditempat. Sedangkan fasilitas-fasilitas yang dibangun untuk pelayanan akan kebutuhan masyarakat hanyalah proyek mubazir, kosong dan hanya menjadi tempat rayap dan kepiting laut,selain itu Keterbatasan akan kebutuhan pendidikan dengan minimnya tenaga pengajar tidak menjadi perhatian serius dari pemerintah.3. Dengan adanya penempatan beberapa personil aparatur sipil dan aparatur pertahanan keamanan di Miangas dari luar daerah, mempengaruhi struktur sosial masyarakat Miangas, contohnya penamaan Ratu mbanua dan Inangngu wanua dialih bahaskan ke dalam istilah Jawa "Mangkubumi I dan Mangkubumi II semakin mengambarkan adanya dominasi kekusaan negara. dimana wilayah yang kecil tidak berimbang dengan adanya penempatan beberapa personil aparatur negara. Hal ini merupakan pelemaham terhadap nilai-nilai bahasa daerah sebagai budaya nasional.4. Pengabaian terhadap nilai-nilai adat oleh masyarakat, menandakan pemerintah gagal didalam memelihara nilai-nilai adat, bahasa dan tradisi yang menjadi kearifan lokal seperti yang diamanatkan di dalam konstitusi negara ini, yang dituangkan ke dalam UUD 1945. Seyogyanya masyarakat dan pemerintah sama-sama mempunyai peran penting dalam menjaga keutuhan dan kedaulatan NKRI dengan memelihara kearifan lokal sebagai bagian dari ketahanan nasional.5. Masyarakat cenderung pragmatis dan bersikap selalu bergantung dan berharap kepada pemerintah, sehingga terjadi pergeseran nilai-nila kearifan lokal yang dulu dilakoni oleh para generasi sebelumnya tidak ditemukan lagi.6. Dengan adanya pembangunan infrastruktur dan struktur kelembagaan desa, peran lembaga adat (ratu mbanua dan inangngu wanua) mulai direduksi dalam struktur kekuasaan negara dan terkesan hanyalah simbolisasi dalam mengisi acara-acara seremonial.7. Dengan hadirnya kekuasaan negara di Miangas, bukan memudahkan pelayanan kepada masyarakat. Malah oknum-oknum penyelenggara kekuasaan negara dengan mengatasnamakan negara untuk kepentingan pribadi dan golongan.8. Ditengah-tengah keterisolasian dan keterbelakangan dengan faktor ekonomi yang rendah dan minimnya sumberdaya manusia, serta jauh dari pusat perekonomian yang tidak ditunjang dengan sarana transportasi yang memadai, tidak adanya ketersediaan BBM untuk melaut, serta ketidaktersediaanya infrastruktur yang memadai membuat perekonomian masyarakat terlihat stagnan. Sehingga dengan adanya pengaruh budaya materialisme dan pemanjaan oleh pemerintah pusat dan daerah mengakibatkan terjadi pergeseran nilai-nilai kearifan lokal masyarakat Miangas.Saran1. bahwa dengan harapan ke depan hasil karya ilmiah ini dapat menjadi referensi, serta panduan bagi para peneliti yang akan mengembangkan studi tentang wilayah perbatasan.2. Pemerintah seharusnya lebih mengutamakan pembangunan sumber daya manusia dengan melaksanakan program-program yang tepat guna, membekali masyarakat dengan berbagai keterampilan sesuai dengan karakteristik wilayah, sehingga masyarakat lebih diorientasikan pada pembangunan ekonominya.3. Lebih memperhatikan masalah yang menyangkut kebutuhan dasar masyarakat, seperti penyediaan BBM bagi para nelayan agar mereka dapat melaut, menyediakan tempat penampungan sementara dari hasil tangkapan, seperti gudang es (cool store). Menyediakan fasilitas air bersih bagi masyarakat, memperlancar sistem komunikasi dan transportasi ke Miangas, agar kedepan masyarakat semakin diberdayakan.4. Pemerintah seharusnya menggali kembali keterampilan yang ada di dalam masyarakat berupa hasil-hasil kerajinan tangan, seperti topi dan tikar anyaman dari pandan. Hasil-hasil ini kemudian menjadi tambahan pendapatan bagimasyarakat dan menjadikan masyarakat lebih mandiri, dan tidak selamanya bergantung pada pemerintah.5. Pemerintah seyogyanya menjaga dan menghormati lembaga adat sebagai mitra pemerintah sesuai dengan yang diatur oleh perundangan-undangan. Menghargai nilai-nilai budaya serta memelihara kearifan lokal yang tumbuh berkembang di dalam masyarakat, perlu adanya penguatan kembali terhadap pranata sosial serta membangkitkan kembali identitas sosial untuk menjaga keutuhan dan kedaulatan NKRI.6. Diharapkan masyarakat lebih menjaga tradisi yang ada, seperti upacara adat, hukum adat, dan bahkan tradisi mancari atau mamancari untuk bertahan hidup. Agar tidak selamanya harus bergantung kepada pemerintah.7. Harapan terakhir peneliti agar para penyelenggara kekuasaan negara di Miangas, diharapkan menjalankan tugas sesuai dengan peraturan yang sudah dibuat dan tidak memanfaatkan atau mengatasnamakan negara hanya untuk sekedar kepentingan pribadi dan golongan.DAFTAR PUSTAKAAbubakar, Mustafa Menata Pulau-pulau Kecil di Perbatasan. Belajar dari Kasus Sipadan, Ligitan dan Sebatik. 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Exakt 20 Jahre nach den Terroranschlägen vom 11. September 2001 kündigte der derzeit amtierende US-Präsident Joe Biden den Abzug aller amerikanischen Truppen aus Afghanistan an. "Es ist Zeit, Amerikas längsten Krieg zu beenden" (Böhm 2021, 92). Bereits vor dem Einmarsch amerikanischer und britischer Truppen am 7. Oktober 2001, bekannt als die Operation "Enduring Freedom", hatte Amerika Stützpunkte der in Afghanistan ansässigen Terrorgruppe Al-Qaida attackiert. Der Grund hierfür waren die durch Mitglieder der Gruppe geplanten und durchgeführten Anschläge auf amerikanische Botschaften in Tansania und Kenia im Jahr 1998. "Aber die Schwelle der Kriegserklärung gegen Terroristen wurde nicht überschritten, auch um Letztere politisch nicht aufzuwerten" (Böhm 2021, 94).Als Wendepunkt gilt der 11. September 2001. Neunzehn Terroristen der Terrorgruppe Al Qaida entführten vier Passagierflugzeuge. Zwei dieser Flugzeuge wurden in die Twin Towers des World Trade Centers gesteuert. Ein weiteres zerstörte den westlichen Teil des Pentagons in Washington. Das vierte stürzte in einem Feld in New Jersey ab. Insgesamt starben durch diese vier Flugzeuge fast 3000 Menschen aus 80 verschiedenen Ländern (vgl. Hoffmann 2006, 47).Die Anschläge veränderten die Wahrnehmung der durch den Terrorismus bestehenden Bedrohung. Bereits wenige Tage nach den Anschlägen verkündete der damalige US-Präsident George W. Bush den "Global War on Terror" (Böhm 2021, 92), eine Kriegserklärung an den Terrorismus. Damit definierte er die Auseinandersetzung mit dem Terrorismus als Krieg.Neben dieser Auslegung gilt auch die Interpretation des Verhältnisses zwischen terroristischen Gruppierungen und Amerika feindlich gesinnten Staaten als entscheidend. Unmittelbar nach den Anschlägen wurde zunächst nur die Bekämpfung der Terrorgruppe Al-Qaida und des Taliban-Regimes in Afghanistan priorisiert. In den darauffolgenden Monaten wurden neben diesen auch den Terrorismus unterstützende, autoritäre Staaten und Staaten mit Zugang oder Beschaffungsmöglichkeiten von Massenvernichtungswaffen zu möglichen Zielen von Militäraktionen zur Bekämpfung des Terrorismus (vgl. Böhm 2021, 92; Kahl 2011, 19).Durch die Anschläge am 11. September 2001 wurde neben der "seit längerem bekannte Dimension der internationalen Kooperation von terroristischen Gruppen […] die neue Dimension der transnationalen Kooperation, Durchführung, Logistik und Finanzierung terroristischer Gewalt deutlich" (Behr 2017, 147).Im Rahmen dieses Beitrags wird der Terrorismus als eine Herausforderung für die Vereinten Nationen vor und nach den Anschlägen vom 11. September 2001 thematisiert. In diesem Zusammenhang wird der Frage nachgegangen, inwiefern diese die Sicherheitspolitik der Vereinten Nationen beeinflusst haben. In einem ersten Schritt wird eine Klärung des Begriffs Terrorismus vorgenommen. Im Anschluss daran wird auf die Strategien der Vereinten Nationen zur Bekämpfung des Terrorismus vor dem 11. September 2001 eingegangen. Darauf folgt eine Darstellung der direkten Reaktionen der internationalen Staatengemeinschaft auf die Anschläge. In einem letzten Schritt werden die daraus resultierenden Folgen für die internationale Sicherheitspolitik näher beleuchtet.BegriffsklärungIn einem ersten Schritt gilt es nun, den Begriff des Terrorismus näher zu definieren. Der Begriff leitet sich von dem lateinischen Wort terror ab, das als Schrecken oder Furcht übersetzt werden kann (vgl. Pfahl-Traughber 2016, 10). Nach dem Terrorismusexperten Bruce Hoffmann wird unter dem Begriff des Terrorismus die "bewusste Erzeugung und Ausbeutung von Angst durch Gewalt oder die Drohung mit Gewalt zum Zweck der Erreichung politischer Veränderung" (Hoffmann 2006, 80) verstanden.Dementsprechend ist eine terroristische Tat zunächst einmal gekennzeichnet durch die Androhung oder die Ausübung von Gewalt. Im Hinblick auf die Intensität der ausgeübten Gewalt wird deutlich, dass keine humanitären Konventionen respektiert werden und terroristische Anschläge sich oft durch "besondere Willkür, Unmenschlichkeit und Brutalität" (Waldmann 2005, 14) auszeichnen."Die Gewalttat hat primär einen symbolischen Stellenwert, ist Träger einer Botschaft, die in etwa lautet, ein ähnliches Schicksal kann jeden treffen, insbesondere diejenigen, die den Terroristen bei ihren Plänen im Wege stehen" (Waldmann 2005, 15). Basierend auf dieser Tatsache bezeichnet der Soziologe Peter Waldmann den Terrorismus "primär [als] eine Kommunikationsstrategie" (Waldmann 2005, 15).Auf der psychologischen Ebene verfolgt der Terrorismus das Ziel, über die unmittelbaren Ziele und Opfer hinaus bei einer bestimmten Gruppe Furcht hervorzurufen, um für deren Einschüchterung zu sorgen. Als Zielgruppe kommt neben Staaten, Regierungen und einzelnen religiösen oder ethnischen Gruppen auch die allgemeine öffentliche Meinung in Frage (vgl. Hoffmann 2006, 80).Davon ausgehend verfolgt der Terrorismus mit der Erzeugung von Furcht und Schrecken auf der politischen Ebene das Ziel, das Vertrauen in eine bestehende politische Ordnung zu erschüttern (vgl. Waldmann 2005, 16). Im Hinblick auf die politische Dimension des Terrorismus grenzt Waldmann diesen bewusst vom Staatsterrorismus ab. Nach Waldmann kennzeichnen terroristische Anschläge ihre planmäßige Vorbereitung und ihre Aktivität aus dem Untergrund heraus.Im Gegensatz dazu handelt es sich bei Staatsterrorismus um ein Terrorregime, errichtet durch staatliche Machteliten. Von Seiten des Staates kann zwar Terror gegenüber seinen Bürgern ausgeübt werden, er ist jedoch nicht in der Lage, die genannten Strategien gegen die eigene Bevölkerung einzusetzen (vgl. Pfahl-Traughber 2016, 17; Waldmann 2005, 12).Bei den Akteuren handelt es sich um einen Zusammenschluss von Handlungswilligen, die sich in annähernd bürokratischen Strukturen organisieren, wobei Hierarchien und informelle Abhängigkeiten entstehen. In den meisten Fällen verfügen diese Gruppierungen über eine "geringe quantitative Dimension […] handelt es sich doch überwiegend um kleinere Personenzusammenschlüsse von wenigen Aktivisten" (Pfahl Traughber 2016, 12).Diese agieren im Untergrund, da sie weder über den erforderlichen Rückhalt innerhalb einer Bevölkerung noch über die erforderliche Kampfstärke verfügen. Am Beispiel von Al-Qaida in Afghanistan wird deutlich, dass ein Hervortreten aus dem Untergrund, beispielsweise durch die Errichtung von Lagern, das Risiko impliziert "angegriffen und vernichtet zu werden" (Waldmann 2006, 13).Hinsichtlich der Bezeichnung werden im Sprachgebrauch zwei Arten von Terrorismus, der internationale und der transnationale Terrorismus, unterschieden. In diesem Zusammenhang stellt sich die Frage, ob das Phänomen des Terrorismus eher als international oder transnational zu bezeichnen ist. Nach Steinberg zeigt sich aus historischer Sicht ein fließender Übergang von dem internationalen Terrorismus hin zum transnationalen Terrorismus.Der internationale Terrorismus zeichnet sich in erster Linie durch "zahlreiche grenzüberschreitende Aktionen [aus], bei denen häufig vollkommen unbeteiligte Bürgerinnen und Bürger fremder Staaten zu Schaden kamen." (Steinberg 2015). Ferner ist für den internationalen Terrorismus charakteristisch, dass die terroristischen Aktivitäten durch Staaten unterstützt werden. Zu den Unterstützerstaaten in der Vergangenheit zählten insbesondere Verbündete der ehemaligen Sowjetunion wie beispielsweise Syrien oder Libyen.Als historisches Beispiel für den internationalen Terrorismus gelten die Attentate auf israelische Sportler*innen während der Olympischen Spielen in München 1972 durch palästinensische Terroristen. Mit dem Fall der UdSSR verloren diese Staaten ihren Schutz vor Sanktionen westlicher Nationen. Damit endete nach und nach auch die Unterstützung terroristischer Gruppierungen. Es folgte ein fließender Übergang vom internationalen Terrorismus hin zum transnationalen Terrorismus.Der Unterschied besteht darin, dass die terroristischen Aktivitäten nicht mehr durch einen Staat unterstützt werden. Die Gruppierungen werden privat mit Geld und Waffen unterstützt oder bauen eigene, substaatliche Logistik- und Finanzierungsnetzwerke auf. Der Terrorismus gilt zudem als transnational, "weil sich die terroristischen Gruppen auf substaatlicher Ebene länderübergreifend miteinander vernetzen und sich dementsprechend aus den Angehörigen verschiedener Nationalitäten zusammensetzen" (Steinberg 2015).Basierend auf diesen Erkenntnissen ist ab den 1990er Jahren nicht mehr von internationalem Terrorismus, sondern vielmehr von transnationalem Terrorismus zu sprechen (vgl. Steinberg 2015). Dies hat auch Auswirkungen auf die Organisationsstrukturen terroristischer Gruppierungen. Sie zeichnen sich durch "Dezentralisierung, Entterritorialisierung und durch Überlagerung und Fragmentierung zwischen wechselnden, funktional orientierten Akteuren aus" (Behr 2017, 150).Ein Beispiel für den Übergang von einer internationalen Organisation hin zu einem transnationalen Netzwerk stellt die im Zusammenhang mit dem 11. September 2001 stehende Terrorgruppe Al-Qaida dar. Vor den Anschlägen galt sie als eine internationale Organisation, die über ein "recht einheitliches Gebilde" (Hoffmann 2006, 425) verfügt. In Folge der Reaktionen auf die Anschläge entwickelte sie sich als eine transnationale Bewegung "mit gleich gesinnten Vertretern an vielen Orten, die über ein ideologisches und motivierendes Zentrum locker miteinander verbunden sind, aber die Ziele dieses noch verbleibenden Zentrums gleichzeitig und unabhängig voneinander verfolgen" (Hoffmann 2006, 425).Nach Vasilache ist "der gebräuchliche Terminus des internationalen Terrorismus irreführend, da er keine gängige Strategie eines Staates gegen einen anderen, sondern ein transnationales Phänomen ist, das vor Staatsgrenzen nicht halt macht" (Vasilache 2006, 151). Als Begründung führt er an, dass terroristische Anschläge oftmals von einzelnen Gruppierungen ausgehen, wobei auf die unterschiedlichen Motive in einem nächsten Schritt eingegangen wird. Weiterhin begründet er seine Aussage mit der Tatsache, dass das Ziel von staatlich initiiertem Terrorismus nicht direkt ein anderer Staat ist, sondern vielmehr zivile Ziele verdeckt attackiert werden (vgl. Vasilache 2006, 151).Anders als Steinberg spricht Vasilache also nicht von einer historischen Veränderung vom internationalen Terrorismus hin zum transnationalen Terrorismus, sondern bezeichnet das Phänomen Terrorismus generell als transnational. Da beide in der Ansicht übereinstimmen, zum Zeitpunkt der Anschläge am 11. September 2001 handele es sich um die transnationale Form des Terrorismus, wird im weiteren Verlauf von transnationalem Terrorismus gesprochen.Im Hinblick auf die Motive terroristischer Gruppierungen können im Wesentlichen vier Motive benannt werden, die sich überschneiden oder einander angleichen können. In diesem Zusammenhang wird von der Tatsache ausgegangen, dass terroristische Gruppierungen mit ihren Zielen und ideologischen Rechtfertigungen nicht zufällig entstehen, "sondern einen bestimmten gesellschaftlich-historischen Hintergrund widerspiegelt, der seinerseits wieder durch ihr Vorgehen eine spezifische Aktivierung erfährt" (Waldmann 2005, 100).Der sozialrevolutionäre Terrorismus möchte die politischen und gesellschaftlichen Strukturen nach der Ideologie von Karl Marx verändern (vgl. Waldmann 2005, 99). Ein Beispiel hierfür stellt die Rote Armee Fraktion (kurz: RAF) dar, die in den 1970er Jahren in Deutschland terroristische Anschläge verübte.Wenn unterdrückte Völker oder Minderheiten das Ziel von mehr politischer Autonomie oder staatlicher Eigenständigkeit mit terroristischen Strategien verfolgen, handelt es sich um ethnisch-nationalistischen Terrorismus. Als Exempel hierfür kommt die baskische ETA infrage, die aus einer Studierendenorganisation heraus entstanden ist und sich in den 1960er Jahren zunehmend radikalisierte (vgl. Waldmann 2005, 103f.).Unter die dritte Form des Terrorismus, "der militante Rechtsradikalismus" (Waldmann 2005, 115), fallen unterschiedliche Gruppen wie beispielsweise die Ku-Klux-Klan-Bewegung in Amerika. Trotz der unterschiedlichen Ausprägungen können bei all diesen Gruppen im Wesentlichen zwei Merkmale ausgemacht werden: zunächst einmal kämpfen sie für den Erhalt bestehender Strukturen und wollen keine strukturellen Veränderungen hervorrufen. Zudem richtet sich diese Form des Terrorismus in erster Linie nicht gegen das politische System, sondern vielmehr gegen einzelne Gruppen der Gesellschaft (vgl. ebd., 115). Ferner kennzeichnet den rechtsradikalen Terrorismus auch eine andere Strategie und eine andere Erscheinungsform. Bei den Aktivisten handelt es sich um "Teilzeitterroristen" (ebd., 117), die typischerweise in ihrer Freizeit agieren. Ihre Aktivitäten sind nicht im Untergrund, sondern werden vielmehr offen durchgeführt. Hinzu kommt, dass die Anschläge teils geplant und teils spontan erfolgen, mit dem Ziel, die Opfer zum Verlassen des Ortes oder Landes zu bewegen (vgl. ebd., 117f.).Bei der vierten Form des Terrorismus handelt es sich um religiös motivierten Terrorismus. Beispiel hierfür ist die bereits mehrfach angesprochene Terrorgruppe Al-Qaida. Sie entstand als Reaktion auf den Angriff der Sowjetunion auf Afghanistan Ende der 1970er Jahre. Die Brutalität der Invasion sorgte für eine große Solidarität innerhalb der islamischen Welt und führte zu einem Zuzug von zahlreichen islamischen Glaubenskämpfer*innen aus anderen Ländern, darunter auch Osama Bin Laden. Dieser gewann im Laufe der 1980er Jahre immer mehr an Einfluss und gründete mit dem Abzug der Sowjets Ende des Jahrzehnts Al Qaida mit dem Ziel, an einer anderen Front weiterzukämpfen. Es erfolgte ein Strategiewechsel "des Djihads nach innen, gegen verräterische Herrscher in den islamischen Staaten, auf die Strategie eines Djihads nach außen, gegen den Westen" (ebd., 152).Ein definitorisches Problem von Terrorismus ergibt sich aus der Tatsache, dass auf der internationalen Ebene bislang keine einheitliche Definition gefunden wurde. Im Rahmen der Resolution 1566 aus dem Jahr 2004 definierte der Sicherheitsrat der Vereinten Nationen den Begriff Terrorismus wie folgt als "Straftaten […], die mit dem Ziel begangen werden, die ganze Bevölkerung, eine Gruppe von Personen oder einzelne Personen in Angst und Schrecken zu versetzten, eine Bevölkerung einzuschüchtern oder eine Regierung oder eine internationale Organisation zu einem Tun oder Unterlassen zu nötigen […]" (UN-Resolution1566 2004).Neben dieser existieren weitere nationale und internationale Definitionen, wie unter anderem die der Europäischen Union oder die Definitionen einzelner amerikanischer Behörden. Auf der politischen Ebene können die Schwierigkeiten hinsichtlich einer einheitlichen Definition anhand folgender Punkte näher beleuchtet werden: zunächst einmal werden Handlungen von unterschiedlichen Staaten unterschiedlich eingestuft. Für die einen handelt es sich um gewalttätige terroristische Angriffe; andere stufen die Aktivitäten als politisch legitimierte Handlungen in Ausübung des Selbstverteidigungsrechts während eines nationalen Befreiungskampfes ein.Ferner herrscht Uneinigkeit darüber, ob eine Definition auch den Staatsterrorismus umfassen sollte oder ob sie lediglich die motivationalen Hintergründe der Täter umfasst. Anhand der genannten Schwierigkeiten wird deutlich, dass die Einschätzung, ob es sich bei der Bedrohung um eine terroristische Bedrohung handelt und ob es sich bei der Organisation um eine terroristische Organisation handelt, dem nationalen Verständnis oder dem Verständnis der jeweiligen Institution unterliegt. Folglich könnte die Klassifizierung missbraucht werden, um ungewünschte innerstaatliche Gruppierungen oder andere mit dem Begriff zu stigmatisieren und deren Verfolgung zu rechtfertigen (vgl. Finke/Wandscher 2001, 168; Kaim 2011, 6).Abschließend gilt es noch zu klären, ob terroristische Aktivitäten als Kriegshandlungen bezeichnet werden können oder ob vielmehr eine Trennung der beiden Begriffe erforderlich ist. Als unmittelbare Reaktion auf die Anschläge des 11. Septembers bekundete Amerika immer wieder seinen Krieg gegen den Terror. Neben Präsident Bushs "global war on terror" sprach auch der amerikanische Verteidigungsminister Donald H. Rumsfeld im Zuge der Anschläge von einer neuen Kriegsart, "die sich vor allem neuer Technologien bedienen, asymetrisch verfahren und deswegen auch nicht leicht zu erkennen sein würde" (Czempiel 2003, 113).Diese Verwendung des Kriegsbegriffes in Verbindung mit terroristischen Anschlägen offenbart einen strategischen Zug der US-Regierung. "Dehnt man den Kriegsbegriff auf terroristische Akte aus, legitimiert dies den Angegriffenen auch zu Kriegshandlungen" (Geis 2006, 12). Der Regierung ist es infolgedessen möglich, über rechtsstaatliche Mittel hinaus Maßnahmen zu ergreifen und sie kann zudem von einer breiten Unterstützung innerhalb der eigenen Bevölkerung ausgehen (vgl. Geis 2006, 12). Bei der Frage, ob der transnationale Terrorismus als eine Form des Krieges bezeichnet werden kann, offenbart sich aus politikwissenschaftlicher Sicht eine erhebliche Kontroverse.Neben der Kategorisierung zwischen den alten und neuen Kriegen existiert auch die Unterscheidung zwischen großen und kleinen Kriegen. Diese "basiert auf der Art der Vergesellschaftungsform der Kriegführenden" (Geis 2006, 21). Im Fall des großen Krieges sind die Akteure in gleichem Maß vergesellschaftet, ein Staat kämpft gegen einen anderen Staat. Im Falle eines kleinen Krieges besteht eine "asymetrische Konfliktstruktur zwischen ungleich vergesellschaftlichen Akteuren: Staatliche Kombattanten treffen auf nichtstaatliche Kämpfer" (Geis 2006, 21).Ob unter die kleinen Kriege auch der Terrorismus zu subsumieren ist, ist jedoch umstritten. Zunächst einmal wird dagegen angeführt, dass der Preis auf normativer Ebene zu hoch sei. Eine Unterscheidung beider bedeutet einen Fortschritt des Völkerrechts, da die Trennung immer eine Unterscheidung zwischen politisch legitimierter Gewalt im Zuge einer Kriegshandlung und illegitimer Gewalt, ausgeübt im Zuge eines Verbrechens, ermöglicht.Hinzu kommen Bedenken "bezüglich der Folgen eines ungehegten Counterterrorismus der angegriffenen Staaten" (Geis 2006, 22). In einem permanenten Kriegszustand hätten demokratische Staaten die Möglichkeit, die Erweiterung des Sicherheitsapparates und Bürgerrechtseinschränkungen zu legitimieren (vgl. ebd., 21f.). Als weiteres Argument wird angeführt, dass eine Trennung beider Begriffe aus analytischer Sicht sinnvoll sei, da es sich beim Terrorismus primär um eine Kommunikationsstrategie handele. Dieser fehlen neben der territorialen Dimension auch die wechselseitig beständige Gewaltanwendung und das Charakteristikum eines Massenkonflikts (vgl. ebd., 23).Für eine Subsumierung des Terrorismus unter den Kriegsbegriff spricht insbesonders die Sichtweise der Vereinten Nationen, die im Zuge der Anschläge vom 11. September 2001 den Vereinigten Staaten von Amerika das Recht auf Selbstverteidigung gemäß Art. 51 UN-Charta zugesprochen hat (vgl. Resolution 1373 2001). Auf diese Tatsache wird zu einem späteren Zeitpunkt noch einmal eingegangen. Anschließend wird der Sichtweise der Vereinten Nationen gefolgt und folglich der Terrorismus unter den Begriff des Krieges subsumiert.Reaktionen der Vereinten Nationen auf Terrorismus vor dem 11. September 2001In einem nächsten Schritt gilt es, auf die Reaktionen der Vereinten Nationen auf das Phänomen des Terrorismus vor dem 11. September 2001 einzugehen. Hierbei wird zunächst auf das unterschiedliche Verständnis in Bezug auf den Sicherheitsbegriff näher eingegangen. Seit den 1970er Jahren gilt nicht mehr nur die politische Souveränität und die territoriale Integrität der einzelnen Staaten als das zu schützende Objekt der Sicherheitspolitik.Neben der zu schützenden staatlichen Sicherheit geriet auch die Gesellschaft, definiert als ein "Zusammenschluss von Individuen" (Kaim 2011, 3), in den Mittelpunkt sicherheitspolitischen Handelns. In den 1990er Jahren erfolgte die Aufnahme einer weiteren Dimension in Gestalt der menschlichen Sicherheit in den Diskurs rund um den Sicherheitsbegriff und die damit verbundenen Aufgaben. Nach diesem Verständnis ist die Sicherheit, die Freiheit und der Wohlstand des Individuums zu schützen. Es zeigt sich jedoch, dass die Dimensionen in der politischen Praxis nicht getrennt voneinander betrachtet werden können. Der Schutz des Individuums umfasst ebenso die Gesellschaft, in der es lebt, und letzlich auch den Staat (vgl. Kaim 2011, 3f.).Aus sicherheitspolitischer Perspektive gilt der "Terrorismus als entterritorialisiertes Sicherheitsrisiko" (Behr 2017, 151), das zu drei Konsequenzen führt. Zunächst einmal sind terroristische Aktivitäten nicht voraussagbar. Es besteht das Risiko, dass sie sich zu jeder Zeit an jedem Ort ereignen können. Hinzu kommt, dass die Akteure anders als Staaten keine politische Einheit darstellen. Vielmehr ereignen sich einzelne, verstreut zusammenhängende Handlungen ohne einen genau ausmachbaren Anfang oder Ende. Folglich kann auf das sicherheitspolitische Risiko Terrorismus nur reagiert werden, wenn die Maßnahmen "Handlungs- und Organisationslogiken transnationaler Politik erfassen und übernehmen" (Behr 2017, 151).Die Problematik des transnationalen Terrorismus als Herausforderung für die Vereinten Nationen und ihrer Sonderorganisationen führte zu einer Reihe von Abkommen mit der Intention der Beseitigung und Bekämpfung der Problematik. In diesem Zusammenhang kristallisierte sich ein pragmatischer Ansatz heraus. "[B]esonders häufig auftretende terroristische Aktivitäten [wurden] zum Gegenstand spezifischer Konventionen gemacht" (Finke/Wandscher 2001, 169).Nahezu alle von der Generalversammlung und den Sonderorganisationen verabschiedeten Abkommen können aufgrund bestimmter Kernelemente als Antiterrorkonventionen bezeichnet werden. Zu den besagten Kernelementen gehört zunächst einmal die Verpflichtung der Vertragsstaaten, die in dem jeweiligen Abkommen genannte strafbare Handlung in das jeweilige innerstaatliche Recht aufzunehmen und angemessen zu bestrafen.Hinzu kommt, dass verdächtige Personen entweder durch den Staat selbst zu verfolgen sind oder an einen anderen, verfolgungswilligen Staat ausgeliefert werden müssen. Eine Auslieferung kann nur dann verweigert werden, wenn das Auslieferungsgesuch aufgrund religiöser, ethischer, nationaler, rassistischer oder politischer Gründe erfolgt ist. Ferner sind die Vertragsstaaten dazu verpflichtet, untereinander zu kooperieren und sich gegenseitig Rechtshilfe zu gewähren (vgl. Finke/Wandscher 2001, 169).Das erste derartige Übereinkommen stellt das Haager Abkommen von 1970 zur Bekämpfung der widerrechtlichen Inbesitznahme von Luftfahrzeugen dar. Darauf folgte das Montrealer Abkommen von 1971 zur Bekämpfung widerrechtlicher Handlungen gegen die Sicherheit der Zivilluftfahrt (vgl. ebd., 169). Die besagten Abkommen ordnen bestimmten Aktivitäten zwar das Adjektiv terroristisch zu, stufen diese jedoch nicht als Bedrohung des Weltfriedens ein oder führen zu der Anordnung von Zwangsmaßnahmen gemäß Kapitel VII der UN-Charta durch den Sicherheitsrat.Dies änderte sich mit der Explosion einer Bombe an Bord des Pan-American-Flugs 103 über der schottischen Ortschaft Lockerbie im Jahr 1988. Hier wurden zwei Staatsangehörige Libyens für die Anschläge verantwortlich gemacht, und das Land von den Vereinigten Staaten und Großbritannien zu deren Auslieferung aufgefordert. Der libysche Staat verweigerte das. Als Reaktion darauf wurde der Terrorakt im Rahmen der Resolution 731 durch den Sicherheitsrat als Bedrohung des Weltfriedens gemäß Kapitel V Artikel 24 eingestuft.Durch Resolution 748, ebenfalls 1992 verabschiedet, wurde die Nichtauslieferung durch Libyen als "eine Bedrohung des Weltfriedens und der internationalen Sicherheit" (Finke/Wandscher 2001, 171) bezeichnet und Zwangsmaßnahmen gemäß Kapitel VII UN-Charta gegen das Land erlassen (vgl. Behr 2017, 147; Finke/Wandscher 2001, 170f.).Der Einsatz von Zwangsmaßnahmen gemäß Kapitel VII der UN-Charta erwies sich als wirksames Mittel der Terrorismusbekämpfung im Hinblick auf die Durchsetzung bestimmter Maßnahmen. Hierunter fallen insbesonders Maßnahmen, die zwar Gegenstand geltender Antiterrorkonventionen sind, diese durch die betreffenden Staaten jedoch nicht ratifiziert wurden oder die Konvention selbst noch nicht in Kraft getreten ist (vgl. Finke/Wandscher 2001, 171).Diese Strategie des Sicherheitsrates etablierte sich insbesonders hinsichtlich der Situation in Afghanistan. In Folge der Anschläge auf amerikanische Botschaften in Nairobi und Daressalam erließ der Sicherheitsrat mit der Resolution 1267 Individualsanktionen gegen die afghanischen Taliban. Der Grund hierfür war die Tatsache, dass diese den Verantwortlichen für die Anschläge, der Terrorgruppe Al-Qaida und ihrem Anführer Osama bin Laden, Unterstützung gewährte.Insbesonders durch das Einfrieren der finanziellen Mittel, aber auch durch ein Waffenembargo und ein Reiseverbot, sollten diese zur Auslieferung Bin Ladens gezwungen werden. Um die Umsetzung dieser Maßnahmen zu gewährleisten, setzte die Resolution zudem einen Unterausschuss des Sicherheitsrates ein (vgl. Kreuder-Sonnen 2017, 159).Direkte Reaktionen der Staatengemeinschaft auf den 11. September 2001Als erste Reaktion auf die Anschläge des 11. September 2001 wurde vom Sicherheitsrat bereits am Tag nach den Anschlägen die Resolution 1368 erlassen. In dieser wurde der Terrorismus einstimmig als "Bedrohung des Weltfriedens und der internationalen Sicherheit" (UN-Resolution 1368 2001) im Sinne von Art. 39 UN-Charta bezeichnet. Zugleich wurde auf das Recht zur individuellen und zur kollektiven Selbstverteidigung verwiesen (vgl. UN-Resolution 1368 2001).Noch im gleichen Monat, am 28 September 2001, wurde das Recht zur individuellen und kollektiven Selbstverteidigung mit Resolution 1373 bekräftigt und die internationale Staatengemeinschaft aufgefordert, "durch terroristische Handlungen verursachte Bedrohungen […] mit allen Mitteln im Einklang mit der Charta zu bekämpfen" (Resolution 1373 2001).Neben dem Sicherheitsrat der Vereinten Nationen reagierte auch der Nordatlantikrat umgehend. Am 12. September erklärte der damalige Generalsekretär George Robertson die Anschläge zum kollektiven Verteidigungsfall, wodurch Artikel 5 des NATO-Vertrages in Kraft trat. Nach diesem ist jeder Mitgliedstaat verpflichtet, mit von ihm ausgewählten Mitteln zu helfen (vgl. Robertson 2001).Aus amerikanischer Sicht dienten die Anschläge nicht nur dem Zweck der Tötung von amerikanischen Zivilisten, "Bush sah darin die gesamte westliche Zivilisation herausgefordert" (Czempiel 2003, 114). In seiner Rede am 20. September 2001 warnte der amerikanische Präsident alle Staaten hinsichtlich der Unterstützung und der Beherbergung von Terroristen. Innerhalb der Regierung wurde hinsichtlich der Bekämpfungsstrategie "offen von Präemption gesprochen" (Czempiel 2003, 115).Als Adressaten der amerikanischen Drohung kamen insgesamt 60 Länder mit aktiven terroristischen Organisationen in Frage (vgl. ebd., 114). Auch wenn die meisten Attentäter der Anschläge ursprünglich aus Saudi-Arabien stammten, erhärtete sich zunehmend der Verdacht, dass ihre Aktivitäten von Afghanistan aus gelenkt wurden. Im Zuge dessen wurde das Land als "Prototyp" (ebd., 115) für die Terrorismusbekämpfung ausgewählt. Mit der Operation "Enduring Freedom" starteten amerikanische und britische Truppen am 7. Oktober 2001 Angriffe auf Talibanstützpunkte wie etwa auf Regierungsgebäude in Kandahar und Kabul (vgl. Bruha/ Bortfeld 2001, 162; Czempiel 2003, 115).Der Umstand, dass sich am Tag nach den Anschlägen der Sicherheitsrat der Vereinten Nationen mit diesen befasste "ist ein erstaunlicher Beweis für die politische Klugheit der USA" (Tomuschat 2002, 20) hinsichtlich der Legitimation der Reaktion auf diese. In diesem Zusammenhang gilt es sich jedoch zu fragen, ob die genannten Resolutionen das Land tatsächlich zu einem Recht auf Selbstverteidigung gemäß Artikel 51 UN-Charta legitimieren.In Resolution 1368 findet sich in Bezug darauf ein entscheidender Widerspruch, welcher die rechtlich bedeutsamen Aussagen schwer greifbar macht. Dieser bekräftigt das Recht auf individuelle und kollektive Sicherheit im Sinne der Charta, bezeichnet die Angriffe jedoch lediglich als eine Bedrohung des globalen Friedens und der Sicherheit. Die bekundete Entschlossenheit, die Bedrohung "mit allen Mitteln zu bekämpfen" (UN 2001, 315), kann nicht als eine Ermächtigung für einzelne Staaten aufgefasst werden, sondern steht für die grundsätzliche Bereitschaft der internationalen Gemeinschaft.Anders als Resolution 1368 enthält Resolution 1373 mehr rechtlich eindeutige Aussagen. Bereits in der Präambel wird auf die Anwendung der Maßnahmen gemäß Kapitel VII UN-Charta verwiesen. Zudem bestätigt sie die Zulässigkeit des Einsatzes "aller Mittel" durch die Opfer von terroristischen Anschlägen (vgl. UN 2001, 316f.). Es zeigt sich also, dass eine Berechtigung zu der Ausübung des Selbstverteidigungsrechts gemäß Art. 51 UN-Charta durch die Vereinigten Staaten im Rahmen der genannten Resolution durchaus vorliegt (vgl. Tomuschat 2002, 20f.).Nun stellt sich die Frage, ob die Verbindungen zwischen den Anschlägen und dem Taliban-Regime derart offensichtlich waren, dass die militärischen Aktionen gegen die Taliban in Afghanistan unter die Ausübung des Selbstverteidigungsrechts fallen. In diesem Zusammenhang kann man sich nicht auf die genannten Resolutionen berufen, da diese nicht aufzeigen, "gegen wen Gegenwehr zulässig sein soll" (Tomuschat 2002, 21). Folglich gilt es, die Reaktionen des Sicherheitsrates und der Generalversammlung näher zu betrachten.Es zeigt sich, dass beide Institutionen die amerikanisch-britische Militärintervention nicht verurteilten. Vielmehr verabschiedete der Sicherheitsrat am 12. November 2001 einstimmig Resolution 1377. In dieser wurde der Terrorismus als "eine der schwerwiegendsten Bedrohungen des Weltfriedens und der internationalen Sicherheit im 21. Jahrhundert" (UN-Resolution 1377 2001) bezeichnet. Mit dieser Qualifikation wurde implizit der Einsatz von äußersten Mitteln gestattet, da die Resolution keine "Grenzen und Schranken von Gegenmaßnahmen enthält" (Tomuschat 2002, 21). Letztendlich kann man also davon ausgehen, dass die Vereinten Nationen die Ausübung des Selbstverteidigungsrechts gemäß Art. 51 UN-Charta durch die USA als Reaktion auf die Anschläge vom 11. September 2001 zumindest implizit gebilligt haben (vgl. Tomuschat 2002, 21f.).Als Reaktion auf die Anschläge wurden die bislang geltenden Individualsanktionen gegen die afghanischen Taliban und das Terrornetzwerk Al-Qaida mithilfe der Resolution 1390 zu allgemeinen, dauerhaft geltenden Maßnahmen gegen den transnationalen Terrorismus umgewandelt. Damit wurde nicht nur der Adressatenkreis erweitert, es wurde zusätzlich auch die räumliche und die zeitliche Begrenzung aufgehoben.Jede Person, die von einem Staat als Terrorverdächtiger genannt wurde, bekam ab diesem Zeitpunkt die Sanktionen im Hinblick auf das Privatleben, das private Eigentum, auf den Sozialstatus und das Unterhalten von geschäftlichen Beziehungen zu spüren. Fundierte Beweise für eine Aufnahme in die sogenannte "Schwarze Liste" (Kreuder-Sonnen 2017, 160) durch die Staaten waren ebenso wenig notwendig wie eine Begründung gegenüber dem Individuum (vgl. Kreuder- Sonnen 2017, 160).Folgen für die SicherheitspolitikAngesichts der aufgezeigten Gegenmaßnahmen als direkte Reaktion auf die Anschlage des 11. Septembers 2001 wird deutlich, dass man "bezüglich der Reaktion auf den Terrorismus von einer neuen Ära" (Waldmann 2005, 229) ausgehen muss. Es zeigt sich, dass sowohl bei diesen Anschlägen als auch bei terroristischen Anschlägen in den Folgejahren "die durchschnittliche Zahl der Opfer pro Anschlag […] kontinuierlich ansteigt" (Waldmann 2005. 16).Infolgedessen spricht auch Waldmann im Kontext von terroristischen Anschlägen von Kriegshandlungen. Seiner Ansicht nach hat das zunehmende Ausmaß der Anschläge dazu geführt, dass diese nicht mehr als `low intensity´ war, sondern vielmehr als `high intensitiy´ war eingestuft werden müssen. Der Grund hierfür ist seiner Ansicht nach die Tatsache, dass der Begriff des low intensity war neben dem fehlenden Einsatz von konventionellem Kriegsgerät und größeren Truppenverbänden auch einen begrenzten Personen- und Sachschaden impliziert (vgl. Waldmann 2005, 16f.).Auf der internationalen Ebene spiegelten sich die Reaktionen auf das zunehmende Ausmaß der Anschläge vor allem in den zahlreich erlassenen Konventionen und Resolutionen wieder. Hinzu kommt die Tatsache, dass terroristische Anschläge erstmals zu militärischen Interventionen in Länder geführt haben, die sich in erheblicher Entfernung von dem betroffenen Land befinden. Zumindest im Fall von der militärischen Intervention in Afghanistan herrschte eine seltene Einigkeit zwischen den Großmächten im Sicherheitsrat.Ferner führten die Ereignisse zu einem erheblichen Medieninteresse (vgl. Waldmann 2005, 229). Anhand dessen lässt sich "[d]ie neue Einschätzung des gewaltigen, vor allem dem internationalen Terrorismus zugeschriebenen Drohpotentials" (ebd., 230) feststellen. Diese führte zu drei als signifikant zu bezeichnenden Veränderungen im Hinblick auf die Politik und die Einstellung in Bezug auf den Terrorismus (vgl. ebd., 230).Zunächst einmal bewirkte der transnationale Terrorismus in den westlichen Nationen nicht nur einen "politischen Rechtsruck" (ebd., 230) aller regierenden Parteien. Er wirkte sich auch auf alle Ebenen der Gesellschaft aus. Dieser Wandel auf der nationalen Ebene wirkte sich auch auf die Entscheidungen internationaler Gremien aus. Die bislang vorhandene Balance zwischen der individuellen und kollektiven Sicherheit auf der einen Seite und den Grund- und Freiheitsrechten auf der anderen Seite hat sich zunehmend zugunsten des Sicherheitsaspektes verschoben (vgl. ebd., 230).Insbesonders um den Informationsaustausch zwischen den Staaten gewährleisten zu können und damit ein gemeinsames Vorgehen gegen die Bedrohung zu ermöglichen, wurden internationale Instanzen zur Koordinierung geschaffen (vgl. Behr 2017, 151; Waldmann 2005, 231). Ferner erfolgte eine erhöhte Aufmerksamkeit und Ressourcenbereitstellung für national und international agierende Behörden hinsichtlich terroristischer Aktivitäten und damit verbunden eine Reihe neuer, zu diesem Zweck erlassener Gesetze.Neben dem Informationsaustausch wurden auch die Möglichkeiten der Polizei und anderer Instanzen erweitert, um Anschläge bereits im Planungs- und Vorbereitungsstadium erkennen und verhindern zu können. Hierzu gehören beispielsweise Einreiseverbote für Mitglieder islamistischer Gruppierungen. Neben den erweiterten präventiven Maßnahmen wurden auch Notfallszenarien entwickelt, die im Fall eines Anschlags in Kraft treten (vgl. Waldmann 2005, 232).Im Hinblick auf die dargestellten Veränderungen stellt sich in einem nächsten Schritt die Frage, inwiefern weitere Maßnahmen aus der Sicht der Vereinten Nationen erforderlich sein könnten. Nach dem Terrorismusexperten Peter Waldmann "wird keine Unterscheidung zwischen Maßnahmen auf der nationalen und der internationalen Ebene getroffen, weil beide längst immer enger ineinander greifen und in die gleiche Richtung zielen" (Waldmann 2005, 239).Als zentrale Handlungsmaxime benennt Waldmann in diesem Zusammenhang die Tatsache, dass die Strategien gegenüber terroristischen Netzwerken beziehungsweise dem Terrorismus im Allgemeinen "klar, konsistent und glaubhaft" (Waldmann 2005, 239) sein sollen. Hinsichtlich des Umgangs mit dem islamistischen Terrorismus besteht die größte Problematik darin, dass westliche Nationen ihre Glaubhaftigkeit bezüglich ihrer Leitlinien teilweise verlieren. Insbesonders den Vereinigten Staaten von Amerika wird vorgeworfen, dass sie ihren Prinzipien der Demokratie, des Grundrechtsschutz und der Rechtsstaatlichkeit zugunsten von politischen und wirtschaftlichen Interessen teilweise nicht treu sind (vgl. ebd., 240)."Dass sie aus machtpolitischen Erwägungen jederzeit dazu bereit sind, mit Diktaturen Bündnisse zu schließen, und hinter ihrem quasi messianischen Diskurs, es gelte in der ganzen Welt demokratische Verhältnisse herzustellen, nun allzu deutlich das dringende Bestreben durchscheint, der eigenen Wirtschaft lukrative neue Erdölfelder zu erschließen." (Waldmann 2005, 240).Hinsichtlich der Maßnahmen auf der internationalen Ebene gilt es zunächst auf die Transnationalität näher einzugehen. Wie bereits erwähnt, handelt es sich bei terroristischen Gruppen in den meisten Fällen nicht um eine Gruppe aus einem Land, sondern um Angehörige unterschiedlicher Länder, die sich länderübergreifend miteinander vernetzt haben. Um dem begegnen zu können, erscheint es unabdingbar, dass auch Staaten grenzübergreifend miteinander kooperieren. Dies würde eine erhebliche Bereitschaft der Teilnehmenden zu einem Teilverzicht auf ihre staatlichen Souveränitätsräume und ihrer Souveränitätsrechte bedeuten.Hinsichtlich der nationalen und internationalen Rechtsordnungen im Allgemeinen verlangen transnationale Rechtsverstöße auch eine entsprechende Weiterentwicklung des Rechts auf internationaler Ebene. Transnationale Verbrechen können nicht durch an nationale Grenzen gebundenes Recht bekämpft werden, da aufgrund der unterschiedlichen Verfassungen rechtsfreie Sphären auf globaler Ebene entstehen. Folglich ist eine Ausweitung des transnationalen Rechts erforderlich. Hierfür müsste das Völkerrecht, bislang mit dem Staat als Rechtsperson und einer rechtlichen Bindung auf dem staatlichen Territorium, entterritorialisiert werden (vgl. Behr 2017, 151; Schmalenbach 2004, 266).Neben der Kooperation von Staaten und der Erweiterung des internationalen Rechts spricht Ernst-Otto Czempiel von einer "dreigeteilte[n] Strategie" (Czempiel 2003, 57) hinsichtlich der Verhinderung weiterer terroristischer Anschläge. Kurzfristig ist es die Aufgabe der Staaten, weitere Anschläge zu verhindern. In diesem Zusammenhang offenbart sich jedoch eine in demokratischen Staaten schwierige Güterabwägung hinsichtlich des Schutzes der kollektiven Sicherheit und der individuellen Freiheitsrechte (vgl. Czempiel 2003, 57).Die bürgerliche Freiheit stellt in demokratischen Staaten ein hohes Gut dar. Auf der anderen Seite würde der fortschreitende Ausbau des staatlichen Sicherheitsapparates eine "allmähliche Aushöhlung der individuellen Grund- und Freiheitsrechte um des Schutzes angeblich höherwertiger Güter willen" (Waldmann 2005, 242) bedeuten. Die Folge wäre eine Entwicklung des Rechtsstaates hin zu einem "präventiven Sicherheitsstaat" (Waldmann 2005, 242) mit einer teilweisen Abkehr von demokratischen Grundsätzen (vgl. Hofmann 2006, 446; Waldmann 2005, 242).Infolgedessen gilt es mittelfristig, sich mit dem Hintergrund der Akteure auseinanderzusetzen. "Als besonders fruchtbare Brutstätte gelten die zahlreichen `failing states´, also die gescheiterten oder zerfallenen Staaten" (Czempiel 2003, 58). Am Beispiel Afghanistans wird deutlich, dass der Westen einen erheblichen Anteil an dem Scheitern des Landes und an der Entstehung der dort ansässigen Terrorgruppe hatte.Im Zuge des Konflikts mit der Sowjetunion hatte Amerika die Kämpfer unterstützt. Mit dem sowjetischen Abzug endete auch die amerikanische Unterstützung, und das zerstörte Land wurde ebenso wie die von Amerika ausgebildeten Kämpfer sich selbst überlassen. Es gründete sich die Terrorgruppe Al Qaida mit dem neuen Feind in Gestalt der USA. Die Entwicklungen in Afghanistan haben gezeigt, dass bei jeder Einmischung von außen neben den kurzfristigen auch die langfristigen Konsequenzen zu bedenken sind und dass "das Objekt der Einmischung auch politisch und wirtschaftlich davon profitiert" (Czempiel 2003, 58).Aus langfristiger Sicht gilt es, die "Quellen des Terrorismus auszutrocknen" (ebd., 58) und eine Veränderung des Kontextes zu erwirken. In diesem Zusammenhang ist die Stabilisierung der "failing states" von entscheidender Bedeutung. Czempiel spricht von einer Neuordnung der Welt, "die immer mehr als ein Quasi-Binnenraum begriffen und mit entsprechender Strategie bearbeitet werden muss" (ebd., 59). Neben der Verringerung der Dominanz des Westens ist eine Änderung der Werteverteilung und ein Lösen der großen Konflikte erforderlich (vgl. ebd., 59).FazitDie Anschläge in den Vereinigten Staaten von Amerika am 11. September 2001 wirkten sich nicht nur traumatisch auf das "Selbst- und Machtbewusstsein der USA" (Czempiel 2003, 40) aus, sie versetzten auch den Rest der Welt in "Angst und Schrecken" (Czempiel 2003, 40). Zu Beginn des 21. Jahrhunderts erschien eine militärische Auseinandersetzung zwischen zwei Staaten unwahrscheinlich. Vielmehr stellte der Terrorismus als eine "neue Bedrohung von innen durch gesellschaftliche Akteure" (ebd., 57) das größte sicherheitspolitische Risiko insbesonders für westliche Industriestaaten dar. (vgl. ebd., 57). "Der Terror soll Angst und Schrecken verbreiten, ein Gefühl allgemeiner Unsicherheit erzeugen und offene Panik auslösen" (Hofmann 2006, 445). Hinzu kommt, dass mit dieser Form der psychologischen Kriegsführung das Vertrauen innerhalb der Gesellschaft in die politische Führung und in den Staat im Allgemeinen zerstört werden soll.Aus historischer Sicht existiert das Phänomen des Terrorismus seit mehr als 2000 Jahren. "Er hat überlebt, weil es ihm gelungen ist, sich immer wieder an die veränderten Bedingungen und Gegenmaßnahmen anzupassen und die verwundbaren Stellen seines Gegners ausfindig zu machen, um sie für seine Zwecke zu nutzen" (Hofmann 2006, 446). Entsprechend muss bei Gegenmaßnahmen "das gesamte Spektrum der verfügbaren Mitteln […], psychologische und physische, diplomatische und militärische, ökonomische und moralische" (ebd., 445) eingesetzt werden.Es gilt nun abschließend eine Antwort auf die Frage zu finden, inwiefern die Anschläge im Herbst 2001 die Sicherheitspolitik der Vereinten Nationen verändert haben. Kurzfristig führten diese zu einer seltenen Einigkeit der ständigen Mitglieder im UN-Sicherheitsrat, was sich in den zahlreichen erlassenen Resolutionen wiederspiegelt. Darunter fällt auch die Tatsache, dass die internationale Gemeinschaft die Militärintervention in Afghanistan nicht verurteilte, sondern vielmehr den Vereinigten Staaten ihr Recht auf Selbstverteidigung gemäß Art. 51 UN-Charta einstimmig zugestand.Es erwies sich jedoch hinsichtlich der internationalen Zusammenarbeit als problematisch, dass keine einheitliche Definition des Begriffs Terrorismus besteht. Das könnte dazu führen, dass wirtschaftliche Sanktionen oder militärische Aktionen zur Durchsetzung eigener Interessen fälschlicherweise als Terrorismusbekämpfung etikettiert werden.Generell zeigt sich, dass die Anschläge einen erheblichen innenpolitischen Rechtsruck bewirkten, der sich auch auf die Entscheidungen internationaler Gremien auswirkte. Das wurde durch erweiterte Befugnisse für die Polizei und andere Exekutivorgane in Fragen der nationalen und internationalen Sicherheit sichtbar.Mit der Resolution 70/291 stellte der amtierende UN-Generalsekretär Antonio Guterres am 22. Februar 2017 strategische Handlungsoptionen für die Terrorismusbekämpfung vor. Zunächst einmal soll die Effizienz der Vereinten Nationen im Bereich der Terrorbekämpfung allgemein gestärkt werden. Zudem soll die Qualität der Vereinten Nationen hinsichtlich der Unterstützung der Mitgliedsstaaten bei der Umsetzung der UN-Terrorismusbekämpfungsstrategien hinterfragt werden. Hinzu kommt der Anstoß zu einer Debatte hinsichtlich der regionalen und internationalen Zusammenarbeit von Staaten und UN-Sonderorganisationen.Außerdem wurde Wladimir Iwanowitsch Woronkow auf Vorschlag von Guterres zur Umsetzung und Koordinierung der Vorschläge am 21. Juni 2017 als Untergeneralsekretär eingesetzt. Diese strategische Neuausrichtung wird als eine strategische Aufwertung der Terrorismusbekämpfung im Rahmen der Vereinten Nationen verstanden (vgl. Behr 2017, 152).Zusammenfassend zeigt sich also, dass sich die internationale Gemeinschaft der Tatsache bewusst ist, dass eine gemeinsame Strategie zur Bekämpfung des transnationalen Phänomens erforderlich ist. "Wenn wir den Terrorismus erfolgreich bekämpfen wollen, müssen wir ebenso unermüdlich, innovativ und dynamisch vorgehen wie unsere Gegner" (Hoffmann 2006, 446).LiteraturBehr, H. (2017): Die Antiterrorismuspolitik der UN seit dem Jahr 2001. In: Deutsche Gesellschaft für die Vereinten Nationen e.V. [Hrsg.]: Terrorismusbekämpfung und die Vereinten Nationen. S. 147-151.Böhm, A. (2021): Die Gesetzte des Dschungels. In: ZEIT Geschichte 4/21. S 92-97.Czempiel, E.-O. (2003): Weltpolitik im Umbruch. Die Pax Americana, der Terrorismus und die Zukunft der internationalen Beziehungen. München: Verlag C.H.Beck oHG.Finke, J./ Wadscher, C. (2001): Terrorismusbekämpfung jenseits militärischer Gewalt. In: Deutsche Gesellschaft für die Vereinten Nationen e.V. [Hrsg.]: Terrorismusbekämpfung und die Vereinten Nationen. S. 168-173.Geis, A. (2006): Den Krieg überdenken. Kriegsbegriffe und Kriegstheorien in der Kontroverse. Zugriff am 09.03.2022 unter https://www.pw.ovgu.de/ipw_media/Downloads/Geis/Geis__Einleitung_Den_Krieg_berdenken_9_43-p-90.pdf.Hofmann, B. (2006): Terrorismus – der unerklärte Krieg. New York: Columbia University Press.Kahl, M. (2011):Die Militärstrategie der USA nach dem 11. September. In: Bundeszentrale für Politische Bildung [Hrsg.]: Aus Politik und Zeitgeschichte 27/2011. S. 19-24.Kaim, M. (2011): Internationale Sicherheitspolitik nach dem 11. September. In: Bundeszentrale für Politische Bildung [Hrsg.]: Aus Politik und Zeitgeschichte 27/2011. S. 3-9.Kreuder-Sonnen, C. (2017): Terrorismusbekämpfung und die Vereinten Nationen. In: Deutsche Gesellschaft für die Vereinten Nationen e.V. [Hrsg.]: Terrorismusbekämpfung und die Vereinten Nationen. S. 159-163.Pfahl-Traughber, A. (2016): Terrorismus – Merkmale, Formen und Abgrenzungsprobleme. In: Bundeszentrale für Politische Bildung [Hrsg]:Aus Politik und Zeitgeschichte 24-25/ 2016. S. 10-19.Nato Press Releases (2001): Statement by the North Atlantic Council. Zugriff am 09.03.2022 unter https://www.nato.int/docu/pr/2001/p01-124e.htmSchmalenbach, K. (2017): Völker- und unionsrechtliche Anstöße zur Entterritorialisierung des Rechts. In: Vereinigung der deutschen Staatsrechtslehrer [Hrsg]: Grenzüberschreitungen. Berlin: DeGruyter. S. 245-272.Steinberg, G. (2015): Transnationaler Terrorismus. Zugriff am 06.03.2022 unter https://www.bpb.de/shop/zeitschriften/izpb/209663/transnationaler-terrorismus/.Tomuschat, C. (2002): Der 11. September 2001 und seine rechtlichen Konsequenzen. Zugriff am 22.02.2022. unter https://www.ssoar.info/ssoar/bitstream/handle/document/26104/ssoar-2002-tomuschat-der_11_september_2001_und.pdf;jsessionid=A9D1D4BAEDCA16B97394171E0769C782?sequence=1.United Nation publication:(2001): Resolution 1373. Zugriff am 02.03.2022 unter https://www.un.org/depts/german/sr/sr_01-02/sr1368.pdf(2001): Resolution 1377. Zugriff am 26.02.2022 unter https://www.un.org/depts/german/sr/sr_01-02/sr1373.pdf(2002): Resolution 1390. Zugriff am 28.02.2022 unter https://www.un.org/Depts/german/sr/sr_01-02/sr1390.pdf.(2004): Resolution 1566. Zugriff am 01.03.2022 unter https://www.un.org/depts/german/sr/sr_04-05/sr1566.pdf.Vasilache, A. (2006): Hobbes, der Terrorismus und die Angst in der Weltpolitik. Zugriff am 06.03.2022 unter https://publishup.uni-potsdam.de/opus4-ubp/frontdoor/deliver/index/docId/899/file/51_fb_vasilache.pdf.Waldmann, P. (2005): Terrorismus. Provokation der Macht. Hamburg: Murmann Verlag GmbH.
Part one of an interview with Aldo and Anna Mazzaferro. Topics include: Family history. How his parents came to the United States from Italy. How his parents were married and moved to Leominster, MA. Aldo's education and memories from Leominster High School and Holy Cross. Aldo's work at the DuPont company. What life was like during World War II. Aldo's work history. How Aldo and Anna were married. In 1953, Aldo started his CPA business in Leominster and Fitchburg. The different clients he had. His work at Art Plastics and the plastics business in general. His sons joined the plastics business. ; 1 INTERVIEWER: October 4, 2011. This is Linda [Rosenwan], with the Center for Italian Culture at Fitchburg State College with Aldo and Anna Mazzaferro's house, 575 West Street in Leominster. So maybe we should begin, Aldo, if you could just give me some personal information regarding when you were born and where. SPEAKER 1: Very definitely. But I must say that October 4th, 1955, our second son was born. Today is his birthday. SPEAKER 2: That's right. SPEAKER 1: But getting back to me, I was born on November 11th, 1921, in Leominster, Massachusetts. And I went to the public schools here, graduated from Leominster High School 1939. And I went on to Holy Cross College after graduation from Leominster High School. INTERVIEWER: Okay. Were your parents both born in Leominster? SPEAKER 1: No, they were not. They were both born in Italy. My dad was born in the province of Abruzzo in a town called [Scafa]. And my mother was born in Abruzzo on the Adriatic Sea in a town called Pescara. And my dad was born in 1880, and my mother was born in 1882. INTERVIEWER: And when did your father come to this country? SPEAKER 1: My father came to this country, I would say, around 1900. In the winter, they lived in the Bronx within New York. [Unintelligible - 00:01:52] Ellis Island. He lived in the Bronx. INTERVIEWER: And your mother? SPEAKER 1: And my mother arrived, I would say, probably 1902, 1903. And she also went to live in the Bronx, New York with her sister. And her sister was married, had a family, and so my mother came over. And prior to my mother's coming over here in the Bronx, my dad and my mother conducted a romance by way of correspondence through letters. They didn't know each other. So he paid for -- my dad paid for my mother's passage here.2 SPEAKER 2: Your dad boarding at… SPEAKER 1: Yeah. My dad was a boarder. In those days it was frequent -- frequently, the immigrants would come over and they would go to places where they have some relatives or friends. And they were taken in as boarders. My dad was a boarder at my mother's sister's house or apartment in New York City. It is how my dad saw pictures of my mother and how it all started. SPEAKER 2: Sent for her to come from Italy to America. SPEAKER 1: Yeah, he paid for her passage. INTERVIEWER: So they followed. SPEAKER 1: So they courted, married a couple of days later. SPEAKER 2: It was all done that way, the parents would pick a mate for their son or their daughter. In fact, I think it was done on the next generation, too. I have a cousin that was married that way. She lived in Italy, and her husband lived in New York. And they sent for one another and met through pictures and photographs. INTERVIEWER: And did the female part of this arrangement, did she have much to say about it? SPEAKER 1: I'm sure she did. I'm sure that -- my mother is a very strong-willed person, and she did what -- she preferred -- to do it, apparently, it was a great attraction between my parents, and -- it wasn't pre-arranged. It was sustained correspondent with each other and having interests, and it materialized when they met it New York. INTERVIEWER: Interesting. So what brought them to Leominster? SPEAKER 1: Well, they had their children in New York. They're nine -- they had nine children. I believe -- let's see, four or five were born in the Bronx, New York. And my dad wound up in a basement apartment in New York and ran the apartment building for the landlord. And as part of the rent, he lives rent-free with his family. And it came about that my mother's brother, Horrace, came to Leominster and found that there was work here at the DuPont 3 Company. And so he sent news back to the Bronx, and so my dad came along. He got a job at the DuPont Company in Leominster, and he came here with all his family. He works here I don't know for how long a period of time. Let's say around 1950 or 1970, and he brought his family to New York and settled down in Leominster. And they settled at 53 [unintelligible - 00:06:00], and that particular house was owned by one of the mayors of Leominster, Mayor Burdett, and they rented that house. It was a cottage with three bedrooms upstairs and with some land [unintelligible - 00:06:17]. But they eventually purchased that property after a few years. INTERVIEWER: So what kind of work did he do at DuPont? SPEAKER 1: Well he was a -- not a laborer. A benchman, I would believe, at the DuPont Company. But it wasn't to his liking, so he left DuPont Company and went to work for the Leominster Fuel Company and became the delivery person, delivered coal. The Leominster Fuel Company, in those days had the [unintelligible - 00:07:00], and they were always delivered. Those were the days they really have oil burners. And so frankly, our homes, all the boilers used coal. INTERVIEWER: Did you ever go with him to make a delivery? SPEAKER 1: No, no. No, I never did. I was not quite three years old when my dad died. INTERVIEWER: That must have been tremendous hardship for your mother. So your family decided to stay in Leominster? SPEAKER 1: Oh, yes. Yeah. Yes. After my father died, the ninth child was born a couple of months later. Well, the family stayed in Leominster. My oldest brother was probably 16 or 17. He left high school and went to work to support the family. And then each brother, you know, took his turn and went to work and supported the family. And one of my brothers -- I have five brothers ahead 4 of me, and only one was able to complete high school. And I was the sixth brother, and I was able to complete high school. INTERVIEWER: And are you the only one that attended college? SPEAKER 1: Yes, I'm the only one who attended college. INTERVIEWER: Would you like to stop for a minute? SPEAKER 1: Okay. All right. Well as I grew up, without my dad, my mother always impressed upon me the fact that my dad long ago wanted his children to go to college, to get a good education. She was quite disappointed that it wasn't happening. So I guess I was determined to do that, go to college, so that my mother would be happy. So when I was in junior high school I took the classical course, and in most days, junior high school went through the ninth grade. So when I was in ninth grade I questioned whether or not I had the financial resources to go to college. So I determined that there was no way that I could go to college. We don't have enough funds. So when I went to Leominster high school in my sophomore year, I switched from the classical course to college course to the commercial course. And then during my sophomore year at Leominster high school, I trained my mind [unintelligible - 00:10:07] determination that I wanted to go to college bad enough that I would find some way to go. And so my junior/senior year, I switched back to the college course in Leominster High School, and in those days it was a three-year high school, you had to have a minimum of 40 credits a year to pass. We have to have 120 credits to graduate, but because of the fact that I had to cram two college preparation years in my junior/senior year, I was required to take extra courses. So I had hardly any -- I don't think I had any study periods in my senior year. I recall only having one [unintelligible - 00:10:54] period and some semester not having [unintelligible - 00:10:59]. So as a result of that I took a great deal of courses at 5 Leominster High School. I had one year of business courses in commercial, which helped me later on in college. In my junior/senior year I had the college courses. So I was graduated with 151 credits from Leominster High School. We were only required 120, 125. The average credits that they got when we graduate, probably 125. I had 151, and a lot of course were behind me. INTERVIEWER: Did you have to work while you were in high school? SPEAKER 1: Yes, while I was in junior high school, actually junior high school, I got a job working at a Chinese laundry. I learned how to man load shirts, [unintelligible - 00:11:51] the collar, the collar, [unintelligible - 00:11:54] the cuffs, and to iron the shirts. So I learned -- I did very well. I worked at various Chinese laundries in Leominster, Fitchburg on Saturdays, especially. Also my high school years, I started to work at a Chinese laundry while I was in junior high school. And before the Chinese laundry career, I shined shoes at Monument Square in Leominster on Fridays and Saturdays. In most days everyone went downtown. On Saturdays, it's quite crowded downtown, and I did okay shining shoes. INTERVIEWER: I bet you could bank quite a bit of money doing that. SPEAKER 1: I don't have a bank. INTERVIEWER: You don't have a bank. You gave it to your mother? SPEAKER 1: There wasn't enough to go around. I can remember one time when I was in junior high school, I believe, it was during the Depression days in 1930s, and corduroy breeches were very popular in those days. They are the corduroy trousers that went down just below your knees, just below your knees, they had a little [unintelligible - 00:13:12], and they would walk, and they would try to meet that. Everybody at school would have a pair of corduroy breeches. I never had any. INTERVIEWER: Did you wish you did?6 SPEAKER 1: Well, I pushed my older brother Tony, who worked at the DuPont Company—he used to work four to twelve—and you know, just begged him to buy me a pair. He did finally buy me a pair, but I don't know what it costs. It costs less than a dollar, I think, in those days. And I was very proud that I had it. INTERVIEWER: And when you went to Holy Cross, what year was that? SPEAKER 1: Well, in 1939, I graduated -- I graduated in Leominster High School in 1939 in June. I went to Holy Cross in September 1943. And I was admitted to Holy Cross on a scholarship work program, and I was required to pay about one-third of the tuition. In those days, tuition was $280, and I was required to pay $100 of that tuition. And the balance I was required to earn at a rate of approximately 35 cents an hour credit working in the college library. INTERVIEWER: Thirty five cents… SPEAKER 1: … an hour would be credited towards… INTERVIEWER: To the $100 or the $200? SPEAKER 1: … to the 180 balance. That's what I was required to do. So I worked in my freshman year at the college library, normally evenings from about six o'clock to nine o'clock five and six evenings a week, unless there was some college event that I couldn't do it. Basically I did that all during my freshmen year, I worked at the college library, even some Saturdays and Sundays. In those days we went to college, we had classes on Saturday mornings until noontime. So, college was six days a week way back in the '30s and '40s. INTERVIEWER: So you lived on campus then? SPEAKER 1: No, I did not. I lived -- in my freshman year, I lived in Worcester with my older sister. She was married and lived in Worcester, and I stayed with her and I took the bus. And in my freshman year, I commuted, went to Holy Cross. And I lived with her in my 7 freshman year. And then from my sophomore year on, I stayed in Leominster. I lived in Leominster and I commuted daily to Holy Cross. In those days class started at nine o'clock in the morning and ran until 3:30. And then lab would be in the afternoon until 5:30, six o'clock. INTERVIEWER: And then you worked. SPEAKER 1: [Unintelligible - 00:16:20]? INTERVIEWER: No, that's fine. We're going to edit this anyway. Then you would work until nine o'clock at night? SPEAKER 1: No. Well, yes, in the college library. So I'd get home at -- in my freshman year I'd probably get back at 9:30, 10:00 to my sister's house. That was during my freshmen year. That was quite a program. I was gone all the time. But I didn't look upon it -- I shifted to something that had to be done. So I might say that during my freshman year, that the library, right after the football season was over, that one of the -- my good friend in class that played in the college band showed up at the library to work and told me that he was on the same scholarship work program that I was on, and that he had to play in the band and then work at the library to earn his credits. And he told me that next year, because he was in the college band, it would not be necessary for him to work at the library, just be in the college band he would get enough credits so he wouldn't have to work in the library. Just play in the college band. So I didn't know one note of music, and I heard about this. So in those days, they have the WTA Recreation Week, and they [unintelligible - 00:18:04]. They were offering the class on how to play musical instrument at the [unintelligible - 00:18:10] in Worcester. And this was during my freshman year. And so there was a Professor Castana who taught music, and I decided that I wanted to learn to play the cornet so that I could fit into the college 8 band in my sophomore year. So I approached him and told him that I had not -- I'm not looking to be a music major. I just wanna know enough music so that I could play well enough to play the Star-Spangled Banner and probably the football march and some things like that, and national anthem so that I could be admitted into the college band. So I took music lessons in the spring of my freshman year from about, I'd say from January to May in Worcester while I lived with my sister. So I used to go down there, so I'm busy weekends, and whenever I could fit it in, sometimes during the afternoon. INTERVIEWER: So was that a success? Did you get admitted? SPEAKER 1: Yes, yes. I came back after my freshman year was over in the summer of 1940, there was a Professor [unintelligible - 00:19:40] that taught music, and I finished my musical education with him. And I got to play the cornet, and I told him the same thing. I just want him to know that I wasn't gonna do a major in music. So then in my freshmen year, I was admitted to the college band. And I played the second cornet, second trumpet. So I knew all the [unintelligible - 00:20:18]. In a couple of weeks, I learned all the songs that have to be played, probably 12 or 15. And I played in the second cornet. I didn't require the music sheet on the lyre. And so because I could play by heart all the numbers, they placed me outside of the band. When you go on the outside so that you could [unintelligible - 00:20:49] the person on the outside will all be going [unintelligible - 00:20:54]. So that's where I wound up with the college band. INTERVIEWER: Do you still play? SPEAKER 1: No, I don't. I quitted after my junior year, and I haven't played. I'm not a musician.9 SPEAKER 2: Wasn't there a story where you started to usher because you found you got more credits being in the usher than you were playing in a band? SPEAKER 1: Well, what happened was half of my freshmen year, I was able to find a job with the DuPont Company. And in the summer after my freshman year, I worked on the 12-8 shift at the DuPont Company. Then when school started in the fall in my sophomore year, I was able to continue working at the DuPont Company. In order to keep my job with them, I was required to work 82 hours a week, and I would be considered a permanent employee. And if I put in 32 hours or more per week, I would be entitled to a two-week vacation period and paid holidays. So that's what I did in my sophomore, junior, and senior years. While I was at Holy Cross I had a full-time job working at the DuPont Company. My normal schedule after the football season was over, that I had to work on a Saturday from 4-12. I would get 8 hours. Then on a Sunday I would go to mass at 7 o'clock, and I would be at the DuPont Company from 8 o'clock, and I would work 8-4. So on a Saturday and Sunday, I got 16 hours, and I have the rest of the week to get in another 16 or more hours. So the way the classes were at Holy Cross on a Tuesday and a Thursday, the class schedule was light. I would have I think two classes at night on Tuesdays and Thursdays. I was normally to class about 1:30 to two o'clock and it was all done class on two o'clock. So I would get back to Leominster at three o'clock, four o'clock, usually five or six o'clock, and I would work from 6-9 and 7-10, something like that. Or even sometimes 7-12. And once in a while, if I was up to it, I would even go beyond 12 o'clock at work. If I have an exam the next day I would probably work until… INTERVIEWER: I guess I'm wondering when did you study? I think…10 SPEAKER 1: Going to see if I'm coming too strong enough [unintelligible - 00:24:06]. Ah, let's see. When did I study? I didn't study as much as I would've wanted to. In order to make up for the fact that I couldn't study as much as I wanted to, when I was in class I really focused on what the professor was talking about. I would not permit myself to be distracted by what was going on in class. I just focused right on that professor and tried to understand what they were trying to put across. And I think that saved me a lot of -- I did my homework, less consuming. But I studied between classes, and I actually used to study on the job at the DuPont Company. I had a job running an automatic comb-polishing machine, was about 40 or 50 feet long. And I sat at the beginning of the machine, and said comb fell into a belt. And after a while you'll get so used to it you didn't have to look at what you're doing. You just grab a handful of combs, and one by one you would put those combs down the belt about a half an inch a pack. And you didn't have to watch it too carefully. So I used to set up the machine with a book in my lap if I have some studying to do. So I used to get some studying done that way. And the… INTERVIEWER: And what was your major? SPEAKER 1: My major at Holy Cross was economics, Bachelor of Science in Economics. But that's when I enrolled there. But then in the senior year, they changed the name of the degree to Business Administration. Actually, my concentration there was in Economics, actually. I took the accounting -- the accounting program was required for the first two years. And then after the junior and senior year, then you decide whether or not to continue on the accounting later on. I decided to get into economics, applied economics. INTERVIEWER: What was it like going to school during the war?11 SPEAKER 1: Well, it wasn't really until December 7, 1941, the day of Pearl Harbor, that I think that the [unintelligible - 00:26:52] heavily involved in. There was a -- I don't exactly know when. I don't think that the interest in following through -- there would seem to be a "Let's get it over with. I'm gonna be in the service anyway. Let's get education over with," and everything was accelerated. After 1942, they dispensed with the summer vacation from college. Normally you would get out of college in first week of June. We went right through, started our senior year in June of 1942. We finished our -- we finished our junior year in May of 1942. It took just a few weeks, two days before we started the senior year, went right through the summer. [Unintelligible - 00:28:17] a week down to July 4th, holiday. It was like that right through the summer of 1942. And with the accelerated program, we graduated February 1943 where we should have been graduated in June of 1943. And there was gas rationing in those days, and travel was my priority. So it was difficult to travel. INTERVIEWER: At that time you were traveling back and forth at Leominster? SPEAKER 1: I was commuting back and forth. INTERVIEWER: So how did you do that? SPEAKER 1: We have enough gas. It was rationed. We have enough gas to go to school. But because of the travel restriction, they cancelled our graduation exercises. So we had no graduation exercises in 1943, and we received our diplomas through the mail. I might say that about traveling, it wasn't commuting back and forth that was the worst to Holy Cross from Leominster that my brother and myself, in my sophomore year, bought a 1929 Packard that I could use and was gonna use later on in this business. So when I went back to school in September of my sophomore year with the Packard, I had about four, five other students as passengers, and that helped to defer the cost of traveling gas and oil back and forth to Worcester. 12 And this Packard broke down after the second week that I was in college. I had to tow it back to Leominster. So over the weekend there was an old 1934 Packard that was for sale, so my brother purchased this 1934 Packard for $50. And I used that, but it consumed a lot of gasoline. I probably got six or seven or eight miles a gallon at the most. But gasoline was not expensive in those days. You can probably get -- I think we were paying 12 to 15 cents a gallon of gasoline in 1940, 1941. So… INTERVIEWER: So it sounds as if your brothers gave out a lot for the family. SPEAKER 1: Well, I always -- they helped, definitely. When I need a couple of dollars here and there, and usually they would let me have a dollar or two if I need it. But then as I worked at the DuPont Company and got in, got my time, especially in the summer, I worked full time. I worked 40 hours a week and probably even 48 or 50. I put in plenty of time. And then the two-week vacation period that I got paid for, I actually worked at the DuPont Company, so I developed this sufficient income stream to carry, to support myself. INTERVIEWER: Did anyone else go to college from your family? SPEAKER 1: No. Not anyone. No. INTERVIEWER: Again, going back to the war. Did you have to serve? SPEAKER 1: No, I didn't. I was eligible for limited service. So I wasn't eligible for the draft until I was graduated from college. In those days I believe all the college students were permitted to finish their college career as long as they are in good standing. And so I was eligible for limited service. First time that the draft board called upon me, I went down and they didn't need anyone for limited service. And at that time I was working for Peat Marwick Mitchell Company. This was in 1943, and I was involved in auditing in the British West Indies, Central America, Northern South America. There was security involved in auditing, and I was doing it, and it 13 involved auditing for the United States government. And so I never got into the service. INTERVIEWER: Is this company in Leominster? SPEAKER 1: No. Peat Marwick Mitchell is one of the big three accounting firms in those days. There were Peat Marwick Mitchell, Price Waterhouse, [unintelligible - 00:33:52], companies like that. And today, Peat Marwick Mitchell is now known as KPGM, one of the big, large international firms. So I went to work for them in November of 1943. INTERVIEWER: And where was it located? SPEAKER 1: They have -- well, they have had their worldwide headquarters in London, in Scotland, in New York, throughout the United States, and I worked at the Boston office in the Worcester branch. I had assignments. I went to work with them in November. We audited companies like Melville Shoe, which became the Thom McAn shoe stores, the General Electric company, American Optical, [unintelligible - 00:34:50] Electronics… INTERVIEWER: Did you stay in Leominster and commute? SPEAKER 1: Yes. I probably -- much of the time I was with Peat Marwick Mitchell, I was traveling. And for instance, we would go to Southbridge and audit the books of American Optical; that would take about six weeks, seven weeks. And we would stay at the Columbia Hotel in Southbridge, Massachusetts all week long. So I would come home on weekends. It was like that. We audited the General Electric Company in Pittsville, Massachusetts with the same arrangement. We would stay at the hotel. There was lot of traveling away from -- in fact, in 1944, I was on assignment to Central America from Labor Day to Thanksgiving. So I was away and conducting audits for the United States Commercial Company, that supplies corporation that was part of the security that Peat Marwick Mitchell was involved in during the war. There was also, 14 in Panama, there was a tropical radio and telegraph company, which was very important for communication. That was part of the auditing contract that Peat Marwick Mitchell had with the United States government. But the big account that was prevalent throughout those areas was United Food Company, which was like a government unto itself. It had schools. It supported the schools. It had its own schools, education, railroads throughout the Central America. INTERVIEWER: And how long did you go with that company? SPEAKER 1: I was with Peat Marwick Mitchell until November of 1947. No, December, end of December, until January 1948 I was with Peat Marwick Mitchell. I left Peat Marwick Mitchell and went to work with Baker and Baker. It was another CPA firm out of [Worcester in] New York. And one of the assignments I had with them, the longest, was down in New York City working at 90 Broad Street, and we conducted investigation of the New York Waterworks. Investigation involves contracts and transactions that dated back to the early 1900s when they installed the water supply from New York City in Long Island. So I worked in the fraud investigation regarding a case that was going on. And as I lived in New York from -- I think I was assigned there from the end of July of 1948, July or August of 1948, and I was there until November of '48. We stayed at the St. George Hotel or St. Charles Hotel in Long Island. I would take the subway to Wall Street to 90 Broad Street where we were working on the audit. INTERVIEWER: Okay, and how long were you with that company? SPEAKER 1: I was with them I would say until 1950. And then I went to work -- one of the accounts that Baker and Baker had was the Dollar Greeting Cards, which was located in Fitchburg, Massachusetts. And I had conducted the audit of Dollar Greeting Cards for Baker and Baker Company. And then you recall there was a recession in 15 1949, and so Baker and Baker had to let much of its staff go. And I was one of the staff that was let go in probably August or September of 1949. SPEAKER 2: In May. SPEAKER 1: Well, they told me they were gonna let me go in May, but then after our wedding we came back, and they told me they're gonna keep me on. So that's an interesting story if you want me to tell you a little bit about it. INTERVIEWER: I was just about to ask you when you got married. 1949? SPEAKER 2: May 1949. He was unemployed. SPEAKER 1: Well, let me tell you the story is that that we had our wedding date set up May 7, 1949. It was two or three weeks before the wedding, Baker and Baker notified me that they're gonna have to let me go during my vacation, because of the, you know, the recession. So I didn't mention that to her. And so we were married. I think we were honeymooning in Canada, we went up to Canada, I said, well this is a safe place to tell her. So I let her know that she had married an unemployed person but not to worry about it because things will work out okay. And so we got back, and Baker and Baker kept me on for another two months, and I land the Dollar Greeting Cards audit after that. And then when they had to leave Baker and Baker, and so they came about the Dollar Greeting Card. Dollar Greeting Card needed assistants in the accounting department, the special projects that they had going on. So I was hired. So I left them. I was hired by Dollar Greeting cards. So I left Baker and Baker on a Friday, and on Monday I showed up at the Dollar Greeting Cards Company. And I worked there on special projects, and probably important projects. I worked onwards on assignments that determine the tax advantages and disadvantages of transferring Dollar Greeting Cards from being a Massachusetts corporation to a 16 North Hampshire corporation. That was one of the assignments I had, and I made the recommendation that it would be a great tax saving by relocating to North Hampshire. And so shortly after I made that report, I left. I left Dollar Greeting cards. I passed the CPA exam in November of 1949. Yes. And so it's 1950, I left Dollar Greeting Cards, and I went to work for Colorado Fuel and Iron Corporation that had the large steel manufacturing company. They had headquarters in Buffalo, Colorado. The eastern division was headquarters and offices at 585 Madison Avenue, and I worked out of the New York office. And my position with them is -- I was named assistant to the chief plant department for the Eastern division for of Colorado Fuel and Iron. And it had various divisions, it had the [unintelligible - 00:44:06] Iron and Steel division, which was located in New England. And while I was an auditor with Peat Marwick Mitchell, I ran -- Colorado Fuel was one of the clients of Peat Marwick Mitchell. So I ran the audit of the [unintelligible - 00:44:24] Steel division in Worcester, Clinton, and [unintelligible - 00:44:27], Massachusetts. And over this part there was a problem. There was an accounting problem regarding the inventory problem, which was quite serious, that I was involved in. And as a result of the examinations that I had to make, I got to meet the treasurer of the Colorado Fuel, [unintelligible - 00:44:54] from New York City during the course of this audit, which sort of took place in 1947, when I was auditing the [unintelligible - 00:45:07] Steel division. So we finally settled our differences and we certified the statements for Colorado Fuel and Iron. And at the end of the meetings that we had, the treasurer mentioned to me that most fellas in public accounting where I was, after four, five years, they tire up. They wanna find a place where they can have a career with a great company. And he said to me, think of Colorado Fuel 17 and Iron when you're ready to leave public accounting. So when I was with Dollar Greeting Cards in 1949 or 1950, I didn't see that I had a future there. And so I contacted the treasurer of Colorado Fuel and Iron and went down for an interview in New York City. I was hired immediately, and I went to work for them in 1950. INTERVIEWER: And after that you stayed behind? SPEAKER 2: We stayed in Leominster. SPEAKER 1: Yeah, they lived in Leominster. SPEAKER 2: He'd worked -- he'd come home weekends. And then we'll drive him to the Union Station in Worcester for him to take the midnight train, the sleeper, to go to work maybe Chicago, Buffalo, New York… SPEAKER 1: Not only Buffalo. They had a big -- so in Buffalo, in [unintelligible - 00:46:32] New York, the big steel facility requires [unintelligible - 00:46:36] Steel division. SPEAKER 2: It was -- Sunday night I would drive to Worcester for the midnight train. SPEAKER 1: So I would spend time away. INTERVIEWER: And how long did you stay with them? SPEAKER 1: I was with them -- I can remember the day exactly, April Fools' Day, April 1, 1953, I left. And I was traveling all the time. I was hardly ever home. Closest I ever worked was Clinton. They had a [unintelligible - 00:47:10] Steel, and then in Worcester. But they were all very small in comparison to the other facilities that Colorado Fuel had. In Buffalo there are probably 5,000 or 6,000 workers. And then in Trenton, New Jersey, we acquired the [unintelligible - 00:47:32] division, probably 5,000 or 6,000 people at work there. The nearest facility [unintelligible - 00:47:39] Pennsylvania, New Jersey, Claymont, Delaware, all these facilities that they have, I worked there. INTERVIEWER: So what happened in 1953?18 SPEAKER 1: Well, in 1953, I decided to come back to Leominster and establish my CPA practice. I always wanted to have a CPA practice to public accounting. And I had, I was certified. And so while I was head, all these employments out of town, I developed an accounting practice in Leominster and Fitchburg. And so what was important in getting back to Leominster is I had one account. And I had many, but one of the accounts I had was the Art Plastics Company, and it was a very successful plastics company. And it did the greatest volume of [unintelligible - 00:48:48] would be SS Kresge Company, which today is known as the Kmart. And so in 1951 or 1952, they started to lose their bargain in business that was the Kresge Company, and it got to the point where in late 1952, early 1953, they lost money, the volume of their business with the Kresge Company. And so they became insolvent. And they had -- they owed money to the major chemical manufacturer in those days. Dall Chemical, [unintelligible - 00:49:43] and so, the credit offices of these companies were located in the New York City area. And while I was with Colorado Fuel working down in Madison Avenue in New York, I contacted the credit department of the Dall Chemical, [unintelligible - 00:50:00], and was able to affect the settlement for Art Plastics of 10 to 25 cents on a dollar, they would settle for it, because I was able to show that without some compromise, the Art Plastics was gonna go out of business. They were insolvent, they were heading to bankruptcy. And so as a result of these accommodations I made for the Art Plastics Company, it was able to exist in not just to keep it running from day to day. And they had one account, a custom molding account, which was enough to keep it alive. So they wanted me to see what I could do, improve the facility and join the company and make it viable. And so I accepted an arrangement after great discussion to go to work with them on April 1 and leave Colorado Fuel. And19 my salary was $100 a week, which was less than what I was earning with Colorado Fuel. But the arrangement that I would stay long enough to either make a [unintelligible - 00:51:36] company or not, and that I would put all the time that I could, especially every morning, but then afternoons I would be free if I had to take care of my accounting practice, which I was going to build up. So I used Art Plastics as a steppingstone to develop my public accounting practice. And so I joined Art Plastics, and simultaneously, when I joined, there were three main stockholders, three partners at Art Plastics. One of them left abruptly as I joined the company, and so I joined the company and made all kinds of drastic cuts, like slashed salaries of the remaining partners, almost 50 percent, and you know, in [unintelligible - 00:52:40] warehouse based at [unintelligible - 00:52:44]. I made a lot of cost-cutting procedures. INTERVIEWER: So you were a very popular guy? SPEAKER 1: I was not popular at all. And so at the end of the first month, six to seven weeks that I was there, the second partner approached and said I can't get along on my meager income now, and what I'd like to do is leave the company but I'd like to take the machine shop as a swap for my share in the company. So I okayed it, and I checked with the other partner, the other remaining partner, who was elderly and who was not that active in the plastics business but who was the investment person, the person who put up the fund at the start the company. And so it was fine with him. So at the end of two months, I was -- I found myself there with just one partner. Then he suddenly developed an ulcer and was hospitalized, and he was told to stay away from the plastics company. So in the short space of time, I found myself running the plastic company that I didn't completely understand, and I was learning. And so that went on. I managed to keep running, and…20 INTERVIEWER: Doing all of these for a $100 a week? SPEAKER 1: Well, yes. But I had my accounting practice, and I was earning about as much in my accounting practice on a part-time basis, because I was working for the Art Plastics Company. And the practice was that I would hold my payroll checks for perhaps two or three weeks, whatever I had to, when there was not enough money in Art Plastics to cover the payroll checks. So we managed to stay alive and keep Art Plastics running. We get down to the point where we -- normally, Art Plastics had 60, 70 employees when it was running. But they kept down to the point where we only had five or six employees when there was hardly any business. But we managed to hang in there by cost cutting and settling with creditors in giving us time to pay. We managed to stay alive. And I stayed in the plastics business longer than what I had planned. So I was busy running the plastics business, running my public accounting practice, time goes by. And the plastics business was seasonal, and it worked out that public accounting in those days was seasonal. You were busy from about December until about April, and that's about when the plastics company was not that busy. So I was able to balance the two and keep the plastics company alive. And after three, four, five years, we developed new customers in the plastics, with Art Plastics. I made a decision around 1960 after just being so busy running the plastics business during the day and running my public accounting practice in the evening and weekends, and taking time away from the plastics business during the week, I made the decision to stay in the plastics business. And I thought that I might take my public accounting practice alive by bringing somebody in. And so it was 1959 or 1958, one of those years, that I brought in one of my colleagues that I work with at Peat Marwick Mitchell Company, 21 and he came to work with me, and I was passing on -- he handled all the public accounts. We set up an office, and the [unintelligible - 00:57:31] building downtown, I remember. And that went on for a year or a year and a half, maybe two years, and he abruptly passed away. And right in the middle of taxing, probably February or March. And so all these taxes returns we were working on, I had to get extensions. And so that's when I decided that I wouldn't be able to keep up my public accounting practice, so that's when I divested my accounts and made arrangements for other CPAs in the area to take over some of my accounts. But I wasn't able to give them all up. I kept a couple. Not that I wanted to, but because they wanted to. There was some loyalty there. And so I [unintelligible - 00:58:39] that I kept maybe for another 10, 15 years. It was not a very… INTERVIEWER: What made you stay in the Art Plastics Company? Sounds like an incredible amount of work. SPEAKER 1: Well, there is a lot of work. But we have 30, 40, 50 people there. You can delegate a lot. I think in public accounting, it was -- for me, it was more time-consuming to get the work done, whereas in manufacturing you delegate and you're more of a manager and you have time. And I can recall a conversation that I had with two of my colleagues when I was working in Southbridge at the American Optical, and we were talking one evening, the three of us, as to what we wanted to after we get out of public accounting. And one of them said, "Well, I wanna become the comptroller of a large gold chip firm." And he did, he became comptroller and assistant treasurer of the Pittston Company. And the other fellow wanted to stay in public accounting and be partner, and he did that. He stayed. I remember saying I wanna be a manufacturer. I just think that the opportunity in manufacturing, owning your own business. 22 I remember saying that maybe if turned up that I had that opportunity to work on… INTERVIEWER: So tell me, what did Art Plastics make? SPEAKER 1: Art Plastics had their line of horticultural flower pot ornaments, that was its line. It made these trellises for flower pots, it made the ornaments that you would stick in the flower pots, like the flamingoes, [unintelligible - 01:00:45] watering flowers, those palm trees, a frog on the… INTERVIEWER: And this was very popular in the '60s? SPEAKER 1: Well, it was -- yes, it had a line. But we developed a -- we got into custom molding products. Custom molding is more than we did, the proprietary line. So we became custom molders, basically. That's when we would -- people would come to us with molds of their own, and we would mold their products. And we used to -- one of our big accounts had a big line of toy dolls. And you know that Barbie doll that was popular? We used to mold that. We used to mold it in acetate. That was our main account. We mold it for the company that put the [unintelligible - 01:01:45] sprayed the eyes on it, the eye lashes. INTERVIEWER: The Barbie doll, the Mattel Company? SPEAKER 1: No, they were competitors. Got to be competitors. This was back in the late 1950s, '60s. Yeah. So we were custom molders. We used to mold for other big companies, like [unintelligible - 01:02:16]. They manufacture beautiful knives, forks, and spoons, and we used to mold those. And companies like Tupperware. Have you heard of Tupperware? They would get extremely busy, and they would approach molders like Art Plastics. And we would mold their basins and dish bowls and things like that on a seasonal basis. SPEAKER 2: Clothes hangers?23 SPEAKER 1: Clothes hangers. That was one big account. But we made all their hangers that they made—not for the consumer market but for the display of hangers in stores and department stores like Saks, and… [Lauren] Taylor, companies like that. They have a very expensive line of plastic hangers, and we were their molders. So we were -- we get a great deal of custom molding with Art Plastics. SPEAKER 2: May I insert a story? We were on the trip, and Aldo's looking at the store with fur coats in the windows. And our friends said, "Oh Aldo's looking to buy you a fur coat." I says, "No, he wants to see if that was one of the hangers molded at Art Plastics." SPEAKER 1: I want to see it that was one of our hangers. SPEAKER 2: So I had many stories little stories like that. He'd be looking to see if it was done at Art Plastics Company or some other place. INTERVIEWER: Now, what would happen if you saw that it was done at another? SPEAKER 1: Well, if it was a competitor's, I would report it back to our customers; say you got to get your salesman out there. So that's what Art Plastics did. And so it leads to some [unintelligible - 01:04:15]. INTERVIEWER: But I'm not sure I fully understand Art Plastics, meaning after the partners that you had suddenly died. You decided no longer… SPEAKER 1: No, he developed an ulcer, and he was advised not to return to work for a few months. INTERVIEWER: Oh yeah, not him, but during your public accounting. SPEAKER 1: Oh. Well, I liquidated my company, public accounting practice, and couple of other CPAs in the area took the accounts over. INTERVIEWER: And then you continued with… SPEAKER 1: Then I stayed in plastics; I stayed in plastics and developed Art Plastics. And in 1960, we were paying rent in what they called in those days the old DuPont building. So we had an opportunity to buy a piece of real estate owned by the Borden Chemical Company at 75 Water Street in Leominster. And so we acquired that 24 property I believe in 1960. And so Art Plastics relocated and moved up to this new facility, and that's when I made all my decision that I'm gonna stay in the plastics business, liquidate my public accounting. It was around 1960 when we purchased the Art Plastics building on the Walter Street from the Borden Chemical Company. INTERVIEWER: Now 40 years later, are you in the same location? SPEAKER 1: Comes about it, I'm going back. That's a long circle around. So… SPEAKER 2: That building has always been Art Plastics and Cardinal Co. Then we have another building. But now, Art Plastics is back on 75 Water Street. Lots of stories in between. SPEAKER 1: Lots of stories in between. INTERVIEWER: Do you want to say all of them? Because we're up to 1960, so we might as well go on. SPEAKER 1: All right. So in the '60s we developed Art Plastics in custom molding. And I decided that, that we had culturally floral [unintelligible - 01:06:55] that we had, the trellises and things like that, were not developing the way I thought. And I was looking for a proprietary line to get into. So we had a lot of experience molding combs for the DuPont Company, the Tupperware Company, hangers and things like that, and also standard home products that we used to custom mold. So we had a background in molding combs. And Leominster is known as the combing city that it always had. They manufacture combs here. So I had an opportunity to employ somebody who was knowledgeable in comb business, so I decided to be in the comb business, and that was in 1969, that the first thing we did was we had a pocket comb mold built. That caught, let's say, 36-cavity 5-inch pocket comb, heavy-duty pocket comb that cost us $7,200. That was our first mold to go into the comb business. INTERVIEWER: And that cost you $7,200 for the mold?25 SPEAKER 1: For that one mold to introduce us. That was a very pro -- and that was a man's pocket comb. Every man has a pocket comb, a black pocket comb in those days, and it was a bread and butter entry to the business. So we started Cardinal Comb in 1969. Around 1970, there was a -- another company in Leominster that was involved in the comb business, and they have been in business two or three or four years. And they were faltering, and they were going out of business. So we acquired their machinery, molds and machinery. INTERVIEWER: Which business was that? Which company? What was the name of it? Can you remember? SPEAKER 1: They call it Rafaeli Plastics. Cardinal Comb acquired all the assets, the machinery, the equipment, the inventory, and the customer list… whom I was already doing business with. But that doesn't matter. So that was in 1999, we acquire Rafaeli Plastics. And after that, going through our line. INTERVIEWER: Were you the only company in the area producing combs? SPEAKER 1: No, we were not. We were a late entry. Probably a half a dozen other people making combs in Leominster, or at least I knew about. So we entered the comb business. INTERVIEWER: And what gave you the courage for that? SPEAKER 1: Well, I hired this person who had experience in sales in combs. I was -- I felt he could do well in the comb business. So during the '70s and '80s, our comb business grew. We had a machine shop, and we built our own molds. In those days it had the black and the [unintelligible - 01:10:52] movement. And so they were the new styles of combs coming in to the market, and molds have to be built. We had the facility, machine shop facility. We built many of our own molds, and it saved us considerable… INTERVIEWER: Who would make a decision like that? Is it something that you read about, knowing what kinds of combs are coming into style?26 SPEAKER 1: Well, we would go to trade shows. We would go to trade shows in New York, Chicago. And you could -- the trend was out there, there was a trend, and you could detect it. And what other people, what other competitors would do, they have a pulse for what the market wanted. And after that was happening in the '70s or '80s, comb business was changing. And people change styles along. They became sharp. For a while they have all these apple comb, shampoo comb, the big 9-inch comb with a handle on it. Normally they have a regular 9-inch dresser comb which was all comb. Half of the comb was fine teeth; the other half was coarse teeth. So the apple comb with the shampoo comb with coarse teeth with a handle on it. So we were probably one of the first to get in on that trend. And they have this list; they give you the afro look. And we were very involved with that. And at the same time, with the change in the style of combs, there was also a change in the color of combs. Because the comb industry, basically, that we started with, we only had about three colors of comb. You'll have black, baby pink, and baby blue. Those were the colors. So if we went to trade shows, and plastics, the new plastics resins coming in to the market where you could color, add all kinds of color very easily. So color became very important in the comb business. So we got in on that trend and started to make a lot of colors, and it's one of the ways I think that we expanded and kept up with the competition. INTERVIEWER: Is Art Plastics and Cardinal Combs two separate companies? SPEAKER 1: Yes. SPEAKER 2: Two separate corporations. Same people. SPEAKER 1: Yes. Two separate corporations. Common ownership. The family owns -- I actually took the beginning. The family, to mention, our family, owned Art Plastics and Cardinal Comb. My son didn't join me in the plastics business until probably 1980 or so. 27 SPEAKER 2: Because of college. INTERVIEWER: Two sons, or… SPEAKER 2: Two sons in the plastics business now. INTERVIEWER: But did they originally all work in the plastics? SPEAKER 1: No. I'll tell you a little story. But the important and interesting is -- so we started to develop these colors like yellow and fuchsia, strawberry and lime, all the different colors of a comb. So it was probably my son Edward -- when did get he out of college? SPEAKER 2: '82. SPEAKER 1: '82. Edward, the youngest of my three sons, joined me at Cardinal Comb, and he was in charge of production, scheduling. And he and I went to trade shows. And then my second son Anthony was working in Boston in public accounting. So at one point my son Anthony said, "Dad I'm gonna be joining Cardinal Comb," and I said, "Are you?" "Yes. Edward wants me to join the company. He said that we need some help." I said that's fine. Glad to hear it. And so Anthony joined the company around 1983, something like that. So then I decided, this is not all the heads that we're gonna have, so we really have to expand to cover Anthony's salary. And so we concentrated more on marketing. So I put Anthony in charge of sales and marketing. And so Anthony would go to the trade shows. And so he came back from one trade show after he's been with the company for a year or so, he said, "Dad, we have to have more colors. We just can't get by with just three or four. We have to have eight or nine different colors. And we can get more of the shares of the market." And so I called Edward in, I said "Edward, we're gonna increase the inventory line of combs from about four colors to about eight or nine." Edward said, "Over my dead body, Dad. I'm not ready to have any more different colors." So I had these two very strong individuals, strong personality, and I could say from my experience from public accounting, I had seen 28 collisions or difficulty come in to certain partnerships and family arrangements. And I sat back and said no, these two [unintelligible - 01:17:11] want to run the show. It can only have one person running an operation; I got to find another way. I got to separate these companies. So that's when I made the decision to purchase another company called St. John, which we renamed First Plastics. And then I put Edward in charge of that. And so each -- it is my decision or purpose or call, really, to have each one of my eldest boys run their own company, which they would run it completely and be responsible. And that would give them the incentive, too. If they did well, they'd be rewarded. So it worked out very well, I think. INTERVIEWER: So is Art Plastics also making combs? SPEAKER 2: No. Just molding. SPEAKER 1: No. First Plastics was strictly a custom molding operation. That had some customers. So we acquired First Plastics in 1987, '88. 1988. We actually acquired it. And we had a relationship of molding with them. When we purchased -- when we set up First Plastics, the name of the company was St. John, and that was owned by the [unintelligible - 01:18:48] family from [unintelligible - 01:18:55] Massachusetts. So we get custom molding for them, and they own it solely because they have to go into plastics to make their plastics and things like that. But after they go on a few years, it didn't work out well for them and they decided that they were going to get out of the plastics business, and that's when St. John was up for sale. And that's when we purchased the company. And they had some custom molding and customer list, small customer list that went a long way. So we set up First Plastics in a separate location down the [unintelligible - 01:19:36], and Edward became the president of First Plastics, and Anthony became the president of Cardinal Comb./AT/jf/kb/es
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Lebanon's main Islamist party has undergone a profound transformation over the past four decades. Once associated with suicide bombings and hostage-taking, Hezbollah has steadily evolved from an underground movement in 1982 to the dominant political player in Lebanon in 2022. Yet even though Hezbollah is strong militarily and politically, it also faces greater challenges than ever before. They range from the party's massive expansion since 2006 to the domestic discontent over its refusal to abandon its weapons and the growing disenchantment within its Shiite base.Hezbollah's role in the region has been particularly controversial. The most powerful regional militia, Hezbollah used its vast arsenal to fight Israel for thirty-four days in 2006. The conflict was Israel's longest Middle East war and left no clear winner, although Hezbollah chief Sheikh Hassan Nasrallah emerged afterwards at the top of popularity polls across the region. But its armed intervention in Syria, beginning in 2012, on behalf of President Bashar al-Assad deeply tarnished its image among Sunnis across the region as a champion of anti-Israel resistance. After 2006, the party's expansion in manpower, military capabilities and funding also loosened internal control and made it more susceptible to corruption and penetration by Israel.Image CreditThe movement, created under Iran's auspices and aid after Israel's 1982 invasion, reflects the dynamic Shiite dimension of Islamist politics in the Arab world. Hezbollah was inspired by the teachings of Iranian revolutionary leader Ayatollah Ruhollah Khomeini. It subscribes to a doctrine known as the velayat-e faqih—or, in Arabic, the wali al-faqih—Khomeini's theory of Islamic governance, which bestows guardianship of government on a senior religious scholar. Iran remains Hezbollah's chief ideological, financial, and military supporter. Syria is also a close ally.Hezbollah's core ideological goals are resisting Israel, establishing an Islamic state in Lebanon, and offering obedience to Iran's supreme leader. But Hezbollah has developed a keen sense of realpolitik that helped shape its political agenda and allowed it to sidestep challenges to its armed status. It long ago accepted, for example, that an Islamic state is not appropriate for Lebanon, and it has considered alternative systems of government, while not relinquishing its ideological preference for an Islamic state.Hezbollah has deepened its involvement in Lebanese politics over the years, but it did so largely in response to potential threats to its armed status, what it calls its "resistance priority". Ideally, the party would prefer to avoid the pitfalls of Lebanon's political quagmire, believing that it complicates the more pressing goal of confronting Israel."We have never sought to be in government ministries," Nasrallah said after the collapse of then government of Prime Minister Saad Hariri in 2011. "All we have been saying to successive governments—and we still say it today—is the following: Brothers, we are a resistance movement.… We do not seek to run the government. Our hearts and minds are elsewhere. When people go to sleep, we conduct [military] training and prepare ourselves."Over four decades, Hezbollah's deepening political engagement also transformed the movement into the main representative of Lebanon's Shiites, the largest of the country's seventeen recognized sects. In turn, the movement now needs continued support of the community to ensure its own survival. Yet the interests of its constituents do not always correspond to the agenda of Iran's leaders, to whom Hezbollah is ideologically beholden. Balancing these rival obligations is a paradox that Hezbollah is finding ever more difficult to reconcile.The BeginningHezbollah emerged in the wake of Israel's 1982 invasion of Lebanon, but its genesis lay in the Shiite religious seminaries of Najaf in southern Iraq. In the 1960s and 1970s, Lebanese clerical students were influenced by leading Shiite ideologues such as Mohammed Baqr al Sadr and Ruhollah Khomeini. Sadr, a founder of the Party of the Islamic Call, or Hizb al Dawa al Islamiyya, promoted Islamic values as a counterweight to secularism and the leftist ideologies then attracting Arab youth. Khomeini achieved prominence with his doctrine of velayat-e faqih.Lebanese students and teachers in Iraqi seminaries were forced to return home after President Saddam Hussein cracked down on the Shiite clerics in the late 1970s. Some then began to preach the ideas of Khomeini and Sadr to a domestic audience. By the end of the 1970s, three developments helped create fertile ground for the eventual emergence of Hezbollah. One factor was the creation of Amal, the first strong Shiite movement. Amal's founder was Musa Sadr, a charismatic Iranian-born cleric who tapped into rising anger among Shiites over their repression by other Lebanese sects, particularly Christians and Sunni Muslims. But in 1978, Sadr vanished during a trip to Libya. After his disappearance, Amal drifted in a more secular direction under new leadership, to the dismay of the movement's Islamists.Hezbollah's flagImage CreditThe second event was Israel's first invasion of Lebanon in 1978 in a bid to expel the Palestine Liberation Organization (PLO) from south Lebanon. Israel installed a security cordon along the border inside Lebanon, which was controlled by an Israeli-backed militia. It was the first time many southern Lebanese lived under occupation.The third crucial event was the Iranian Revolution in 1979, when the first modern theocracy replaced the dynastic rule that had prevailed in Iran for more than 2,500 years. The revolution had an electrifying effect on Lebanese Shiites in general and on the clerical followers of Khomeini in particular. Iranian leaders and Lebanese clerics held lengthy discussions about importing the revolution to Lebanon and building an armed anti-Israel movement. Among the Lebanese clerics were Sheikh Sobhi Tufayli, who later became Hezbollah's first secretary-general, and Abbas Musawi, a preacher from the Bekaa Valley village of Nabi Sheet. The idea was delayed by an Iranian power struggle and the beginning of the eight-year war between Iran and Iraq in 1980.Then Israel invaded Lebanon in June 1982to drive the PLO out of Lebanon. Iran immediately offered assistance, dispatching 5,000 Revolutionary Guards to Syria for deployment in Lebanon. But the main fighting soon ended, and most of the Iranians returned home. With Syrian approval, a smaller contingent of Iranians moved into the northern Bekaa Valley to begin mobilizing and recruiting Shiites into a new anti-Israel force that was the basis of what became Hezbollah.By 1983, the nascent Hezbollah's influence was seeping from the Bekaa Valley into Beirut's Shiite suburbs and from there further south toward the front line of the Israeli occupation. By 1985, Israel, exhausted by the intensifying resistance campaign, withdrew to a security belt along the Lebanon-Israel border. Hezbollah—along with Amal and secular local resistance groups, which played smaller roles—had more success in pressuring Israel in two years than had the PLO in a decade. Hezbollah won additional support by providing social welfare services to the Shiite community.In 1985, Hezbollah formally declared its existence in its "Open Letter," a manifesto outlining its identity and agenda. The goals included driving Israeli forces from south Lebanon as a precursor to the destruction of the Jewish state and the liberation of Jerusalem. Hezbollah confirmed that it abided by the orders of "a single wise and just command" represented by Ayatollah Khomeini, the "rightly guided imam."Hezbollah also rejected Lebanon's sectarian political system and instead advocated creation of an Islamic state. At the same time, the party was careful to emphasize that it did not wish to impose Islam as a religion on anyone and that other Lebanese should be free to pick their preferred system of governance.In formally declaring its existence and goals, Hezbollah emerged from the shadows and demonstrated that it was not a fleeting aberration of the civil war but a force determined to endure.First Phase: UndergroundHezbollah's evolution falls into six distinct phases. The first was from 1982 to 1990 and coincided with the chaotic 1975–90 civil war, during which the Lebanese state had little control. Lebanon was instead carved into competing fiefdoms dominated by militias and occupying armies. These were Hezbollah's wild days, when it could do as it pleased under Iran's guidance and Syria's guarded tolerance.The movement became synonymous with extremist attacks, including two on U.S. embassies in 1983 and 1984. Its deadliest attacks were the simultaneous truck bombings of the U.S. Marine barracks and the nearby French Paratroop headquarters, which killed 241 American servicemen and sixty-eight French soldiers. From 1984, more than 100 foreigners in Lebanon were kidnapped. Hezbollah denied responsibility, although some of its members were later linked with the attacks.After 1986, Hezbollah began to dominate the resistance against Israel's occupation in south Lebanon. But the party's growing influence in the south also brought it into conflict with the rival Amal movement. In 1988, the two factions fought the first in a series of bloody internecine battles that over the next two years resulted in thousands of dead and generated an animosity that continued to linger more than three decades later.Second Phase: Running for ParliamentThe second phase was from 1991 to 2000, following the end of Lebanon's civil war in 1990. The restoration of state control sparked a debate within Hezbollah over its future course of action. Hardliners, represented by Sheikh Tufayli, argued that Hezbollah should not compromise its ideological agenda regardless of the nation's changed circumstances. Others countered that Hezbollah had to adapt to the new situation to protect its "resistance priority"—the right to confront Israel's continued occupation of the south.The debate played out over whether Hezbollah should run in the 1992 parliamentary election, the first in twenty years. Joining parliament would strengthen Hezbollah's standing in Lebanon, but it would also flout its 1985 manifesto that rejected a sectarian political system. Pragmatists won after receiving the blessing of Ayatollah Ali Khamenei, Iran's supreme leader, to participate in the elections. Hezbollah won eight parliamentary seats.Hezbollah also went through a leadership change. A few months before the 1992 election, Hezbollah secretary-general Sayyed Abbas Musawi was assassinated in an Israeli helicopter ambush. He was replaced by his protégé, Sayyed Hassan Nasrallah, a 32-year-old cleric.Under Nasrallah, Hezbollah reorganized, adding new bodies to handle its military, political, and social work. It expanded its social welfare activities nationwide to sustain its popular support within the Shiite community. It also launched a television station, Al-Manar, as the flagship of its propaganda arm, and opened a media relations office. Hezbollah even began a dialogue with other factions and religious representatives, including Christians.Hezbollah's newfound pragmatism did not represent an ideological softening or a decision to exchange Islamic militancy for a share of Lebanon's political space. Hezbollah was instead adapting to postwar circumstances to safeguard the resistance. Shortly after the 1992 election, Nasrallah explained, "Our participation in the elections and entry into [parliament] do not alter the fact that we are a resistance party."Hezbollah's resistance efforts intensified after 1992. Other militias were disbanded under Syrian fiat, but Hezbollah was permitted to keep its armed status as resistance against the Israeli occupation. Its hit-and-run guerrilla tactics claimed ever-higher Israeli casualties during the decade. In 1993 and 1996, Israel responded with air and artillery blitzes against Lebanon in failed attempts to dent Hezbollah's campaign.The late 1990s were, in retrospect, Hezbollah's "golden years." Hezbollah's military exploits won it admirers across the Arab and Islamic worlds and earned the respect of all Lebanese, even those inclined to view the Shiite party with suspicion. Under growing pressure from Hezbollah, Israel finally ended its occupation in May 2000, the first time that the Jewish state had ceded occupied territory through force of Arab arms.Third Phase: ConfrontationThe third phase was from 2000 to 2005. With Israel's withdrawal, Hezbollah's reputation had never been higher. But its victory risked being Pyrrhic. A growing number of Lebanese began questioning why Hezbollah needed to keep its arms after Israel pulled out of Lebanon. Hezbollah countered by citing minor territorial disputes along the border and a number of Lebanese still detained in Israeli prisons. It claimed its weapons were a vital part of Lebanon's defense—in case the Israelis returned. Many Lebanese accused Hezbollah of serving an Iranian—rather than a Lebanese—agenda. But Hezbollah still enjoyed the political cover afforded by Syria, which continued to endorse the party's armed status. Beginning in September 2000, Hezbollah mounted a small-scale campaign against Israeli troops occupying Shebaa Farms, a mountainside area along Lebanon's south-east border. Shebaa Farms was claimed by Lebanon, but recognized as Syrian territory by the United Nations and occupied by Israel since 1967. The sporadic campaign of mortar and rocket attacks every two or three months helped sustain resistance against Israel.In February 2005, Rafik Hariri, a former prime minister of Lebanon, was assassinated in a truck bomb explosion. Many Lebanese blamed Damascus; more than a million people--one quarter of the population--turned out in protests against Syria. Syria pulled its troops out of Lebanon in April, two months after Hariri's murder, ending three decades of military occupation.The sudden loss of Syrian cover compelled Hezbollah to step deeper into Lebanese politics to defend its "resistance priority." It allied with Amal, its longtime predominantly Shiite rival, for the June 2005 parliamentary elections. After the election, Hezbollah joined the cabinet for the first time to defend its interests. In early 2006, Hezbollah signed a memorandum of understanding with the Free Patriotic Movement, then the main representative of the Christian community led by retired General Michel Aoun. Yet Hezbollah's political participation did not defuse the core military issue. Hezbollah rejected demands, by the United Nations as well as rival parties, to disarm. Lebanese politics grew increasingly rancorous over Hezbollah's arms. It became the single most divisive national issue.Fourth Phase: War and RebuildingThe fourth phase ran from 2006 to 2012. It featured Hezbollah's biggest military gamble. On July 12, 2006, its militia abducted two Israeli soldiers along the border to bargain for release of Lebanese detainees in Israel. The audacious kidnapping triggered a month-long war with Israel, which sought to disarm Hezbollah and demilitarize the borders. The war ended in a military stalemate—and at a high cost. More than 1,100 Lebanese died; damage was in the billions of dollars. Hezbollah nevertheless declared a "divine victory" simply for preventing an Israeli victory in its longest war since 1948.Facing intense political criticism for the deaths and destruction, Hezbollah walked out of the Lebanese government in November 2006. A month later, it mobilized a mass protest to force the government to resign. The government stood its ground, but Lebanon was gripped by political paralysis.Tensions between Hezbollah and the central government escalated. In 2008, the government of Prime Minister Fouad Siniora announced it intended to shut down Hezbollah's private telecommunications network. Hezbollah reacted by staging a brief takeover of west Beirut, triggering a week of clashes that killed more than 100 people and took the country to the edge of civil war. The crisis ended with the formation of a new government and the long-delayed election of a new president, Michel Suleiman.In 2009, Lebanon faced a new crisis when a U.N. investigation obtained evidence implicating Hezbollah in the assassination of former Prime Minister Rafik Hariri four years earlier. Hezbollah denied the allegations and claimed that the Dutch-based tribunal was serving the political interests of the United States and Israel. The government of Prime Minister Saad Hariri (the son of Rafik Hariri) refused to abandon its support for the tribunal. In January 2011, as the tribunal was preparing to issue its first set of indictments, Hezbollah and its political allies forced a vote of no confidence in the government. The new government was composed of Hezbollah and its allies; it was led by Prime Minister Najib Mikati, a billionaire businessman and political moderate.Fifth Phase: The Syria InterventionThe fifth phase began in response to turmoil in Syria. In March 2011, a popular uprising was launched against the regime of Bashar al Assad as the Arab Spring rippled across the Middle East. Hezbollah initially expected it to blow over quickly. But by the end of 2011, the uprising had morphed into a civil war. Within months, Hezbollah began covertly dispatching fighters to assist the Syrian army against nascent rebel groups.In May 2013, Nasrallah admitted that Hezbollah was fully engaged in Syria's civil war. He argued that the Syrian opposition was composed of radical Sunnis who would take the war to Lebanon after defeating Assad. He also warned that the Assad regime was the "backbone of resistance" against Israel and that its defeat would lead to the victory of Israel and the end of the Palestinian cause. Many Lebanese were dismayed at Hezbollah's military intervention in Syria. It breached the Baabda Declaration of 2012, when Lebanese leaders agreed to immunize Lebanon from the conflict tearing apart its larger neighbor. The intervention also eroded Arab and Muslim support. Once hailed for ending the Israeli occupation in 2000 and humiliating the Israeli army in 2006, Hezbollah was now vilified as a ruthless tool of Iranian power projection across the Middle East.Syria's civil war spilled into Lebanon, deepening political and sectarian tensions. In 2013 and 2014, Sunni militants carried out more than a dozen car bombings in Shiite areas of Lebanon. Almost 100 people were killed, 900 wounded. The emergence of the Islamic State of Iraq and Syria (ISIS) and other radical Sunni militias dampened criticism of Hezbollah. Shiites and other Lebanese minorities viewed the party as a protector against Sunni extremists. But Hezbollah casualties were higher than in any of its battles with Israel over the previous three decades. Discontent rumbled within its Shiite base. President Suleiman's six-year term ended in May 2014. In Lebanon, presidents are elected by parliament. Hezbollah endorsed its Christian ally, Michel Aoun, for the presidency and refused to attend successive sessions of parliament to vote until it could guarantee Aoun would win. The stalemate lasted two and a half years, during which the caretaker government lacked the power to pass legislation. The economy steadily declined. In October 2016, Hezbollah's opponents gave up. Aoun was elected in a deal in which Hariri returned as prime minister. Hezbollah became the paramount kingmaker in Lebanese politics, a paradox given its ideological rejection of Lebanon's confessional political system.Sixth Phase: The Collapse of LebanonFor three years, President Aoun and Prime Minister Hariri worked together in an uneasy partnership. It ended abruptly in October 2019 when the cash-starved government slapped a tax on the popular WhatsApp messaging portal, an action that symbolized a broader economic crisis over soaring prices, high unemployment, rampant corruption and poor public services. The largest protests in more than a decade erupted in Beirut and brought out members of all Lebanon's rival sects. Banks closed and prevented customers from accessing their U.S. dollar accounts. The value of the lira plummeted as the scope of Lebanon's financial disaster became apparent. The protests morphed into a nationwide anti-government movement amid anger at three decades of mismanagement by a political elite rarely held unaccountable. Hariri resigned and was replaced by Hassan Diab.In early 2020, the protests grew more violent, and security forces clamped down more rigorously. Hezbollah supporters stormed the protests--beating demonstrators with fists and sticks--on several occasions. Hezbollah, the self-described champion of the "oppressed" and "downtrodden," emerged as the Praetorian Guard for the corrupt and sclerotic status quo.The onset of the Covid-19 pandemic and subsequent lockdowns effectively killed off the protests even as a political opposition began to coalesce on the sidelines. In August 2020, a massive explosion at the Beirut port, caused by hundreds of tons of poorly stored ammonium nitrate, killed more than 200 people and badly damaged a swathe of east Beirut. Hezbollah challenged the official investigation its political allies were indicted. Its opposition fueled suspicions that the party may have had a connection to the ammonium nitrate.Hezbollah's deployment in Syria gradually decreased as the Assad regime regained a tenuous control over much of the country. But Hezbollah remained active in other regional theaters. Since 2014, it had dispatched cadres to Iraq to fight the Islamic State. In 2015, it sent fighters and trainers to Yemen to help the Houthi rebels against a Saudi-led military coalition.In May 2022, Lebanon held the first parliamentary election since the economic crisis. Hezbollah and its allies narrowly lost their parliamentary majority. Shiite turnout was low in what was interpreted as a protest against the two main Shiite parties--Hezbollah and Amal.In October 2022, Aoun's term comes to an end and the race will begin on a successor. Hezbollah has remained the paramount political force in the country. But a series of challenges between 2019 and 2022 dented its popularity as it struggled to balance domestic interests with its obligations to Iran.Key PositionsHezbollah has remained faithful to the core ideological pillars in its 1985 manifesto: the confrontation against Israel, the observance of the wilayet al-faqih leadership doctrine, and the preference to live in an Islamic state.But the party has adjusted its public discourse and operational behavior over the years to suit the unfolding political and social environment in Lebanon. Its survival strategy was evident in the 2009 "Political Document," a long-awaited update to the original "Open Letter." Much of the fiery rhetoric of the earlier manifesto was replaced with nuanced deliberations on a future Lebanese state and the most suitable form of democracy.Islam and DemocracyIn the 1985 "Open Letter," Hezbollah stated, "We do not wish to impose Islam on anybody, and we hate to see others impose on us their convictions and their systems. We do not want Islam to rule in Lebanon by force.… But we stress that we are convinced of Islam as a faith, system, thought, and rule, and we urge all to recognize it and resort to its law."Nearly four decades later, Hezbollah still prefers an Islamic state. As a jihadist Islamist organization, it would be anathema for Hezbollah to renounce the idea of living in a state run under Islamic Sharia law. But its leadership long ago accepted that Lebanon's multi-sectarian and pluralist environment are not suited to the establishment of an Islamic state. Instead, Hezbollah has debated acceptable alternatives.In its 2009 "Political Document," Hezbollah repeated its long-standing rejection of Lebanon's sectarian political system, which it considered "a strong constraint to the achievement of true democracy under which an elected majority may govern and an elected minority may oppose." Until political sectarianism is abolished, Hezbollah argued that "consensual democracy will remain the fundamental basis of governance in Lebanon."Hezbollah explained: "The consensual democracy constitutes an appropriate political formula to guarantee true partnership and contributes in opening the doors for everyone to enter the phase of building the reassuring state that makes all its citizens feel that it is founded for their sake."Women and Personal FreedomsHezbollah has had a more open attitude toward women's role in society than do many other Islamist organizations. Women play important roles within Hezbollah's social-welfare, media, and administrative departments. In the 2009 "Political Document," Hezbollah said that it sought a state "that works to consolidate the role of women at all levels in the framework of benefiting from their characteristics [and] influence while respecting their status."Hezbollah does not aggressively interfere in the lifestyles of its Shiite constituents. Certain taboos are observed. For example, Hezbollah bans the sale of alcohol and tries to stamp out drug use in areas under its control—but Hezbollah is generally uninterested in antagonizing its supporters by imposing a strict moral regimen.Other ReligionsHezbollah recognizes Lebanon's diverse religious landscape and has open channels of dialogue with all other sects. Hezbollah champions unity between the Shiite and Sunni sects on grounds that resistance against Israel takes precedence over doctrinal differences. Hezbollah counts Sunni Islamists among its allies, despite sporadic Shiite-Sunni tensions and the strains caused by its military intervention in Syria's civil war. Hezbollah opened a dialogue with the Maronite church for the first time in 1992, and a party representative regularly meets with religious leaders of various Christian denominations.The United States and the WestIn the 1985 "Open Letter," Hezbollah described the United States as the "first root of vice" and "the reason for all our catastrophes and the source of all malice." By 2022, that view had not changed. The 2009 "Political Document" railed against U.S. global hegemony, accusing it of being the "origin of every aspect of terrorism" and, under the administration of President George W. Bush, "a danger that threatens the whole world in every level and field."The 2009 "Political Document" also stated:"The unlimited U.S. support for Israel and its cover for the Israeli occupation of Arab lands in addition to the American domination of international institutions and dualism in issuing and implementing international resolutions, the policy of interfering in other states' affairs, militarizing the world and adopting the principle of circulating wars in international conflicts, evoking disorder and turbulence all over the world put the American administration in a position hostile to our nation and peoples and hold it essentially responsible of causing chaos in the international political system."In the 1980s, Hezbollah listed France, Israel, and the United States as its main enemies. In the past two decades, however, Hezbollah officials often meet with European representatives, and the party's attitude toward Europe is more reproachful than hostile. European policies, Hezbollah said, "fluctuate between incapability and inefficiency on one hand and unjustified subjugation to U.S. policies on the other."IsraelIn the 1985 "Open Letter," Hezbollah explicitly said that Israel "is a usurping enemy that must be fought until the usurped right [i.e., Palestine] is returned to its owners.… Our struggle with usurping Israel emanates from an ideological and historical awareness that this Zionist entity is aggressive in its origins and structure and is built on usurped land and at the expense of the rights of a Muslim people. Therefore, our confrontation of this entity must end with its obliteration from existence."In the 2009 "Political Document," Hezbollah cited its hostility toward Israel to justify keeping its arms and a military wing:"The role of the Resistance is a national necessity as long as Israeli threats and ambitions to seize our lands and waters continue, in the absence of the capable strong state and the strategic imbalance between the state and the enemy."Chief AlliesIran is Hezbollah's main financial, military, and logistical supplier, and Iran's supreme leader is the party's ultimate source of authority. Under the late President Hafez al Assad, Syria was Hezbollah's protector and supervisor. Since Assad's son Bashar al Assad took over in 2000, Syria became an even closer strategic ally. Syria was the vital geostrategic linchpin connecting Iran to Hezbollah. It provided strategic depth and a conduit for the transfer of arms, which explained the heavy effort by Iran and Hezbollah to preserve Assad's regime.The Palestinian Hamas movement and Palestinian Islamic Jihad have been allies of Hezbollah since the early 1990s. Both groups benefited from Iranian financial and material patronage. But Hamas, a Sunni movement, did not share the Shiite ideology of Iran and Hezbollah, making Hamas and Hezbollah sometimes uncomfortable bedfellows beyond a shared hostility toward Israel.Amal and the Free Patriotic Movement, both secular Lebanese political entities, have been allied with Hezbollah since 2005 and 2006, respectively. These relations, however, are tactical, political and interest-based rather than strategic and ideological. Hezbollah also maintains alliances with smaller pro-Syrian factions and individuals, Islamist groups, and Palestinian groups.The FutureAs of mid-2022, Hezbollah remained the most powerful political force in Lebanon through the implicit force majeure of its armed wing. It was also the most formidable non-state military actor in the Middle East—and arguably in the world. Yet Hezbollah also faced grave challenges from its dual roles as Iran's surrogate and, at the same time, chief representative of Lebanon's Shiites. Iran has helped transform Hezbollah into a robust and unique military force that serves as part of Iran's deterrence against efforts by Israel and the West to contain it. Hezbollah's military involvement in Lebanon, Syria, Iraq and Yemen has made it the largest force enabler to help to project its influence across the Middle East.Hezbollah is also, however, answerable to the economic needs and political interests of its domestic constituency. By 2022, Hezbollah's standing had declined since the heady days after it emerged from the underground and ran for parliament in the 1990s. Its refusal to disarm was at the heart of Lebanon's festering political divide. Since 2005, Hezbollah has been sucked ever deeper into Lebanon's political swamp—forging complex alliances and deals with unreliable and capricious politicians—in order to defend its "culture of resistance."Sustaining the "culture of resistance" within the Shiite base has grown harder with the passage of time and direct military engagement with Israel. Israel ended its 22-year occupation in 2000; the last major conflict was the 2006 war. Since then, Hezbollah has had only a handful of limited skirmishes with Israel. Lebanon's demographics have also changed. Since 2000, a new generation of Shiites has grown up without the memory of the hardships and misery during Israel's occupation. Their interests have shifted to securing employment or – as the economic crisis accelerated – emigrating from Lebanon rather than joining any "resistance" against an increasingly nebulous enemy.Internally, Hezbollah has also struggled to grapple with the insidious corruption. Since 2006, Hezbollah has grown extensively--militarily, financially, and politically. Its sprawling bureaucracy has looser internal controls compared to its early days decades ago, opening the door to embezzlement and theft within the party. It has also become more vulnerable to penetration by Israeli intelligence agencies. By 2022, the leadership's inability to curb corrupt practices represented the single gravest danger to Hezbollah long-term.So Hezbollah is likely to remain a powerful political player in Lebanon for the foreseeable future. But it faces the challenge of balancing the ideological and logistical obligations to Iran against its political and social duties to Lebanon's Shiite community--a paradox that may only grow more difficult in the years ahead.Nicholas Blanford is a Beirut-based nonresident senior fellow with the Atlantic Council's Middle East programs. He is the author of Killing Mr. Lebanon: The Assassination of Rafik Hariri and Its Impact on the Middle East (2006) and Warriors of God: Inside Hezbollah's Thirty-Year Struggle against Israel (2011).
Striking, overtime bans and refusing to carry out certain tasks[1] are collective forms of actions that can arise from workplace disputes. These industrial actions are of fundamental importance: the temporary halt in work production leverages a demand to enforce workers' rights. Despite this, the UK does not recognise the legal right to withdraw labour. Instead, the UK's "right to strike" is said to depend on a complex statutory scheme[2]. This article will analyse a variety of sources, "statutes such as TULRCA 1992, the common law, Convention rights, and relevant case law[3]", to determine whether the UK's "right to strike" "is a classic instance of a 'legislated' right[4]" or if it is merely a "slogan/legal metaphor[5]". [1] Hugh Collins, Aileen McColgan and Keith D Ewing,Labour Law(2nd edn, Cambridge University press 2019) pg.706. [2] Alan Bogg and Ruth Dukes, 'Statutory Interpretation and The Limits of a Human Rights Approach: Royal Mail Group Ltd V Communication Workers Union' (2020) 49(3) Industrial Law Journal pg.478. [3] Ibid, pg.478. [4] Ibid, pg.478. [5] Metrobus v UNITE [2009] EWCA Civ 829 (Maurice Kay LJ). - 'In truth, the "right to strike" in the UK depends for its realisation on a complex statutory scheme. Even in jurisdictions where the right to strike is specified textually in a constitutional document, such a complex right must be operationalised through labour statutes. It is a classic instance of a "legislated" right. Since the enactment of the Human Rights Act, and the evolving jurisprudence of the ECtHR, UK law may now be described as protecting a right to strike albeit one that is pieced together from a variety of sources: statutes such as TULRCA, the common law, Convention rights, and relevant case law.'[1] Does this statement accurately encapsulate the UK law on the 'right to strike'? How do the different sources of law interact and what factors determine the correct balance to be reached between competing interests in regulating industrial action? Use case law, statute, legal commentary and social science material in your answer and provide illustrations to support your analysis. In line with socialism and Professor Beverly Silver's assertions, capitalism is established upon 'two contradictory tendencies': 'crises of profitability and crises of social legitimacy'.[2] This 'inherent labour-capital'[3] struggle is reflected within the UK's hostile regulation of industrial action. The courts' and legislature's ideological approaches towards the collective right to withdraw labour unanimously and substantially favours economic growth above social welfare.[4] Striking, overtime bans, and refusing to carry out certain tasks are collective forms of actions that can arise from workplace disputes.[5] These disputes typically occur because employers are unwilling to negotiate with employees and workers about their working terms or conditions. Undeniably, the duration – and the aftermath – of the collective action results in financial losses to the business and affect innocent third parties (i.e. the general public).[6] Therefore, in order to appease and 'bring the labour under control', the capital would 'have to make concessions [i.e. comply with the strikers' new terms], which provoke crises of profitability'.[7] However, the loss suffered by a business[8] during and after industrial action is justified on two persuasive grounds. The first ground identified by Gwyneth Pitt is the human right aspect.[9] To restrict the right to strike would be akin to the horrific period of slavery,[10] where man had no power to withdraw his labour. This justification is recognising the inequalities in bargaining power between employer and employee.[11] This inequality has been further escalated by the growth of the modern-day unstable gig economy; one in nine UK workers are in precarious work.[12] This form of work has limited protection and much lower salaries.[13] Hence, a subsequent ground for the justification of withdrawal of labour is the equilibrium argument. The power of the employer and their actions can only be matched and questioned by a 'concerted stoppage of work'.[14] Essentially, the right to strike is more than the withdrawal of labour: it is also the encompassing 'right to free expression, association, assembly and power'.[15] Yet there is 'no positive legal right to strike in the UK'.[16] Instead, 'the "right to strike" in the UK depends for its realisation on a complex statutory scheme'.[17] In contrast to its neighbouring European countries' (Spain and Italy) jurisdictions 'where the right to strike is specified textually in a constitutional document', the UK law 'protects a right to strike … from a variety of sources: statutes such as TULRCA, the common law, Convention rights, and relevant case law'.[18] The accuracy of Bogg and Dukes' encapsulation of the UK law on the 'right to strike' and how the different sources of law interact will be subsequently discussed. Common Law Judiciary While Spain[19] and Italy[20] protect the right to strike by suspending the contract of employment during industrial action, this contract is broken under English law.[21] This is because the English common law does not confer a right to strike,[22] hence 'the rigour of the common law applies in the form of a breach of contract on part of the strikers and economic torts … [for] the organisers and their union'.[23] It is tortious and indefensible[24] to induce an individual to breach their contract of employment.[25] This principle was established in Lumley v Gye,[26] and this liability extends to trade unions in the context of industrial action.[27] Additionally, there are two further economic torts trade unions can be held liable for: liability for conspiracy to injure (Quinn v Leathem)[28] and causing loss by unlawful means. UntilOBG Ltd v Allan, Douglas, and others v Hello! Ltd,[29] the 'tort of procuring a breach of contract had been ["blurred"[30] and] extended [to be a wider] tort of unlawful interference with contractual relations'.[31] These torts were later distinguished and separated in the House of Lord's (HoL) judgment of OBG v Allan. While it is not often, the courts are encouraged to distinguish and introduce new torts. The HoL in OBG v Allan subsequently outlined the distinguishing elements between unlawful means and the tort of procuring a breach of contract. The tort of procuring a breach of contract is an accessory liability. Whilst the tort of unlawful means is a 'primary liability that is not dependent on the third party having committed a wrong against the claimant'.[32] Yet, despite the tort differences, the HoL confirmed that the same act could give rise to liability under both unlawful interference and procuring a breach of contract.[33] This clarification and the development of unlawful interferences as a separate liability has notably accommodated employers in holding trade unions liable for more than one tort. The OBG v Allan judgment is significant for discussing industrial action for two notable reasons. The first is that it confirms the judiciary's 'uncontrolled power'[34] in developing and 'defining torts boundaries on a case-to-case basis.[35] This power is 'ensur[ing] that trade unions cannot provide a lawful excuse or justification for their actions'[36]; trade unions are ultimately 'stood naked and unprotected at the altar of the common law'.[37] The insufficiency of protection for trade unions under the common law exhibits the judiciary's biased and hostile ideology towards industrial action.[38] This subsequently aligns with the following observation: the courts favour economic profits. This is discerned by the extent to which the contemporary judiciary extends protection for commercial bodies.[39] The primary function of English tort law was to protect physical integrity and property rights; tort law was never concerned with the protection of economic interests.[40] Nor had the common law ever been historically exercised to 'legitimately control aspects of the economy'[41] and yet OBG v Allan demonstrates the extent to which this has now changed. The judiciary has extensively and needlessly stretched the common law and its torts[42] to protect 'already powerful organisations'.[43] Hence, from the perspective of trade unions and their members, the common law's (inadequate) protection for the 'right to strike' has been, undeniably, very disappointing. Statutes Legislature One of the major problems facing trade unions was the 'exposure of their funds to legal action by employers'[44]; in 1901, Taff Vale Railway Co successfully sued the Amalgamated Society of Railway Servants union for £42,000.[45] This sum is equivalent to £5,196,328.39 today. This verdict, in effect, eliminated 'the strike as a weapon of organized labour'.[46] Naturally, workers turned to political parties for redress. The concern and advocacy for trade union reform accounted for 59% of the winning Liberal party's election manifesto.[47] The Liberal government, led by Prime Minister Henry Campbell-Bannerman, provided unions with wide immunity against any tortious liability arising from trade disputes under The Trade Disputes Act (TDA) 1906. Although this Act did not introduce a 'legislated right' for industrial action,[48] this statute effectively recognised the vulnerability of unions under the common law by 'secur[ing] a [statutory] freedom' instead. [49] The TDA is one of the 'mostimportantpieces oflabour legislationever passed by a British Parliament'[50]; it effectively 'kept the courts at a minimum'[51] and neutralised the most obvious adverse effects of the Taff Vale judgment. The 'sympathetic politicians' were 'periodically reconstructing' the role of the 'class-conscious', profit-favouring judiciary.[52] The outcome of the 1906 general election 'served the unions' interests well'[53] and it continued to for 65 years. The 'long enjoyed'[54] immunity of trade unions for liability in tort was reduced to partial immunity under the Thatcher government (1979-90). There is a 'scale of government ideology' which ranges from 'fully participative' to 'fully authoritative',[55] and the Thatcher government was the undoubtable latter. The Conservative ideology and economists, such as FA Hayek, viewed trade unions as an obstacle to economic growth.[56] This perception was heightened by the Winter of Discontent (1978-79): a period characterised by widespread of strikes in response to the Labour government's wage cap (to maintain falling inflation).[57] Subsequently, Thatcher's government further justified the re-introduction of liability for trade unions upon the succeeding Green Papers: the 1981 Trade Union Immunities[58] and the 1989 Trade Unions and their Members.[59] Both papers outlined concerns regarding democracy, rights, and freedom of trade union members; 'too often in recent years it has seemed that employees have been called out on strike by their unions without proper consultation and sometimes against their express wishes'.[60] Accordingly, the Thatcher government introduced legislation that prior Conservative governments were afeard of passing: the Employment Act 1980, Trade Union Act 1984, and Trade Union Reform and Employment Rights Act 1993. These re-introduced vulnerability and high costs for unions. Under the Employment Rights Act 1980, 'trade-dispute' was re-defined, statutory liabilities were introduced and unions were exposed to injunctions and claims for damages. However, upon complying with the stringent balloting requirements (from secret ballot to the requirement for all ballots to be postal) in the 1984 and 1993 Acts, the dispute would be deemed lawful.[61] It is expensive for unions to comply and evidence the fulfilled balloting requirements, but if lawful union members are statutorily protected from unfair dismissals and injunctions.[62] While this is a brief summary of the Acts, these restrictive measures offer an insight into the Thatcher government's success in exercising its agenda of restricting the lawfulness of industrial action by limiting its previously protected scope and purposes. Subsequently, the process of placing further controls on trade unions continued into the 21st century.[63] The 2015 Conservative government introduced the 'draconian'[64] Trade Union Act 2016 (TUA) – the most significant union legislation since the Employment Act 1980. The TUA introduced a minimum threshold of eligible members to vote in the ballot (at least 50% turnout and 50% voting in favour).[65] Moreover, in the instance the members are engaged in 'important public services',[66] 40% of all members entitled to vote must have voted in support of the industrial action. These stringent procedural requirements have to be strictly followed for a strike to be lawful.[67] Oddly, there was no pressing need to introduce these restrictive measures.[68] There were no significant problems in industrial relations at the time (ie, Winter of Discontent) nor any significant 'pressure from business for further laws on strikes',[69] but the Conservative government justified these 2016 measures through the findings of Bruce Carr QC and Ed Holmes.[70] The Government submitted the Carr Review to indicate a consistent pattern of union bullying workers, and yet Carr himself 'did not contend his findings to be a sufficient basis' for influencing the TUA.[71] Instead, the true motivations behind the government's 2016 legislative programme are observed by the 'striking resemblance'[72] to Ed Holmes Modernising Industrial Relations (MIR) paper.[73] The policy paper daringly questioned the necessity of protecting industrial action by reflecting on the development of employment tribunals and discussing the economic consequences of strikes. The same 'free-market economic theory' that underpinned the MIR's recommendations 'drove' the pragmatically restrictive and economically influenced 2016 statute developments.[74] The substance of today's statute in protecting trade unions 'is far removed and much weaker than the position established in 1906'.[75] Since the Henry Campbell-Bannerman leadership, trade union membership has declined by more than half due to the 'three successive Conservative governments [who] have enacted labour legislation opposed by unions'.[76] It appears the deep-rooted ideology of the political party in power influences the legislative steps for protecting trade unions.[77] Therefore, the extent of the Conservative government's 'authoritarian, class-biased and oppressive'[78] industrial action policies will be exemplified and 'more evident than they are today when a Labour government is elected again'.[79] Judiciary While the likes of Maurice Kay LJ and Lord Neuberger MR 'characterised the statutory immunities as limited exceptions to the common law' to justify interpreting the statute provisions 'strictly against the trade union', the court's overall response to industrial action 'has been more mixed'.[80] The court in Merkur Island Shipping v Laughton[81] developed a three-part test to examine the legality of industrial action. This test encapsulates the substantive and procedural requirements for a lawful strike whilst observing the intertwined and 'uneasy' relationship between the common law and statute.[82] If the industrial action is unlawful at common law, the judiciary asks whether there is a 'prime facie statutory immunity' for the commission of torts.[83] This substantive question considers whether the action was 'in contemplation or furtherance of a trade dispute'[84] before questioning whether the immunity had been procedurally lost by one of the three specified statutory reasons in TULRCA 1992.[85] The union's partial immunity could be lost for minor 'inconsequential breaches of the statutory rules'[86]; there is a series of High Court instances of injunctions being granted to 'ever more powerful and well-resourced employers'[87] owing to invalid strike ballots.[88] The readily available labour injunctions continued to be the "key piece[89]" of suppressing collective action until the minor development in 2011. In RMTv Serco Ltd;ASLEFv London and Birmingham Railway Limited (RMT and ASLEF),[90] the Court of Appeal approved and applied Millett LJ's 1996 observation in London Underground Limited v National Union of Railwaymen, Maritime and Transport Staff:[91] 'the democratic requirement of a secret ballot is not to make life more difficult for trade unions … but for the protection of the Union's own members'.[92] Owing to this proposed democratic aim, the court in RMT and ASLEF confirmed it was 'to interpret the statutory provisions somewhat less stringently'.[93] This interpretation is a stark contrast to Maurice Kay LJ's understanding of parliament's intentions. The court furthered Millett LJ's aim by recommending a neutral, 'without presumptions one way or the other',[94] interpretation of TULRCA. Upon the fact TULRCA is premised on the existing common law framework, the court's 'judicial creativity' could have easily 'outflank[ed] the intentions of Parliament'.[95] Instead of a 'neutral' approach, the courts have the power to mitigate unions disproportionate vulnerability against injunctions, damages, and unfair dismissals by encouraging and favouring social legitimacy. Although, the RMT and ASLEF court 'only indicated a change in emphasis rather than substance'[96] (since unions are still burdened with the challenges of exercising a 'lawful' strike),[97] this judgment enhanced union's ability to resist injunction applications (as observed by Balfour BeattyEngineering Services Limitedv Unitethe Union).[98] The unbiased interpretation encouraged in RMT and ASLEF continues to be the leading approach to interpreting domestic statutes regarding industrial action. ECHR Judiciary Admittedly, the scope of Maurice Kay LJ's strict interpretation was narrowly limited by the European Court of Human Rights (ECtHR).[99] The ECtHR confirmed, in Enerji Yapi-Yol Sen v Turkey,[100] that Article 11 of the European Convention on Human Rights included protection of the right to strike. This Article, and Article 6 of the European Social Charter[101] bestow the right to strike for their member states members and due to the UK Human Rights Act 1998, 'British workers are understood to enjoy a right to strike'.[102] This, unlike the mere domestic statutory immunities, is the only instance of a 'legislated' right to strike in the UK.[103] Under section 3(1) of the Human Rights Act 1998, 'statutory provisions must be read and given effect in a way which is compatible with the Conventionrights'[104] – 'the opportunity to test this line of argument'[105] in the English courts arose in Metrobus Ltd v Unite the Union (Metrobus).[106] The Court of Appeal rejected the Enerji arguments; the Court denied the authority's relevance for the interpretation of UK statutory provisions. This judgment continues to be the leading precedent on the UK's provisions of Article 11,[107] despite the RMT and ASLEF judgment. In RMT and ASLEF, the UK courts acknowledged the 'clearly protected'[108] right to strike under ECHR Article 11. However, the court emphasised the importance of a 'fair balance to be struck between the competing interests of the individual and the community as a whole'.[109] The emphasised interests of the 'community' motivated the court's justification for the ban on secondary action owing to its 'potential to … cause broad disruption within the economy and to affect the delivery of services to the public'.[110] Subsequently, the court confirmed that this ban aligns with Article 11(2) 'on the basis of a wide margin of appreciation accorded to the State'.[111] While the court is correct to recognise their bestowed margin of appreciation, the court rationalised the granting of the injunction, 'which itself cost the union a substantial sum',[112] upon economic factors. This factor is not only 'wholly irrelevant to the specific facts of the application' but it disregarded and postponed 'the exercise of what was acknowledged to be a convention protected right'.[113] The court effectively and 'successfully prevented industrial action on the basis of legal' human rights provisions 'which are intended to benefit workers'.[114] In short, there 'is no point creating rights' or passing human rights legislation if the 'court is not prepared to defend them'.[115] There will continue to be an erosion of human rights protection until there is greater coordination between the domestic courts and the ECtHR. It is credible to conclude that the UK judiciary is more concerned with profitability, self-preservation of UK powers, and 'in appeasing political forces'[116] above the interests of the individuals it and the Convention Rights was established to serve. Legislature The RMT and ASLEF court's 'blessing of a wide margin of appreciation' in the 'encompassment' of Article 11 offered a 'green light for further restrictive legislation on industrial action' by the 'only too happy Government'.[117] Here, Boggs and Ewing detect 'the crude politics of power'.[118] Upon observing the Court of Appeal's reluctance to exercise EU conventions, and the UK courts' developments that continue to be 'very much in line with the political approach of the Conservative government',[119] it materialises that the court and government are not 'looking to open a third (ECtHR) front'.[120] The Government has recently launched an 'independent review' of the Human Rights Act.[121] The review aims to evaluate 'the duty to take into account' ECtHR case law and assess 'whether dialogue between our domestic courts and the ECtHR works effectively and if there is room for improvement'.[122] It is worth highlighting that this 'independent' review will be led by former Court of Appeal Judge, Sir Peter Gross – the same judge who remarked that 'the more that controversial areas are "outsourced" … the greater the challenge for … judicial leadership'.[123] The former judge is a notable advocate for greater domestic judicial leadership.[124] This advocacy hints the likelihood of the review condemning the relevance and precedence of the ECtHR (and Human Rights Act 1998) in 'controversial' matters such as industrial action. This review has the powerful ability to eliminate the only instance of a legislated right to strike in the UK.[125] Ultimately 'The notion of lawful industrial action is restrictive', the procedural requirements are 'onerous' and the consequences of unions liability for unlawful strikes are 'serious'.[126] Nearly two decades after the European Social Charter's review,[127] the UK still does not guarantee the right to strike. The precedent in Metrobus still stands. There continues to be a 'poorly reasoned and barely consistent' series of judgments 'by what looks like a weak, timid'[128] and politically influenced[129] judiciary. The enactment of the 'Human Rights Act and the evolving jurisprudence of the ECtHR'[130] will not prescribe a right to strike in the UK until the Supreme Court or ECtHR rule UK's current provisions as incompatible with Article 11. In truth, 'the right to strike [in the UK] has never been much more than a slogan or a legal metaphor'.[131] This 'slogan' is a regime of immunities that are purposely designed upon an overly complex and expensive statutory system.[132] These immunities are not adequately or proportionately protecting workers, unions, and one in nine vulnerable, precarious workers against the 'pitfalls'[133] of damages, injunctions, and unfair dismissals.[134] This system was successfully underlined with the political agenda of deterring trade disputes; the UK's worker strike total has fallen to its 'lowest level since 1893'.[135] The 'unanimous and hostile'[136] approach of the legislature and the judiciary towards industrial action exhibits the UK's covert 'culture of routinely disregarding'[137] social legitimacy in favour of profits. [1] Alan Bogg and Ruth Dukes, 'Statutory Interpretation and The Limits of a Human Rights Approach: Royal Mail Group Ltd v Communication Workers Union' (2020) 49 ILJ 477, 478. [2] Nicholas Pohl,'Political and Economic Factors Influencing Strike Activity During the Recent Economic Crisis: A Study of The Spanish Case Between 2002 And 2013' (2018) 9 Global Labour Journal 19, 21. [3] ibid, 21. [4] Harry Smith, 'How Far Does UK Labour Law Provide for The Effective Exercise of a Right to Strike?' (2014) 6 The Student Journal of Law accessed 15 December 2020. [5] Hugh Collins, Aileen McColgan and Keith D Ewing,Labour Law(2nd edn, CUP 2019) 706. [6] Gwyneth Pitt,Cases and Materials on Employment Law(1st edn, Pearson Education Limited 2008) 570. [7] Pohl (n 2), 21. [8] Beverly J Silver,Forces of Labor Workers' Movements and Globalization Since 1870(CUP 2003) 17. [9] Pitt (n 6), 570. [10] Manfred Davidmann, 'The Right to Strike' (Solhaam, 1996) accessed 15 December 2020. [11] Adam Smith,An Inquiry into The Nature and Causes of The Wealth of Nations(Cofide 1776). [12] Bethan Staton, 'The Upstart Unions Taking on The Gig Economy and Outsourcing' (Financial Times, 20 January 2020) accessed 16 December 2020 [13] Employment Rights Act 1996,s212. [14] Trade Union and Labour Relations (Consolidation) Act (TULRCA)1992, s246. [15] Brian Smart, 'The Right to Strike and The Right to Work' (1985) 2 Journal of Applied Philosophy 31. [16] 'Industrial Action' (UNISON National) accessed 7 December 2020 [17] Bogg and Dukes (n 1), 478. [18] ibid, 478. [19] Article 18 of the Spanish Constitution and regulated by Royal Decree-Law 17/1977 of 4 March on Labour Relations ('RDLLR') and Article 4.1.e) of the Spanish Workers' Statute. [20] Article 40 of theItalianRepublic Constitution of 1948. [21] Collins, McColgan, and Ewing (n 5), 714. [22] RMT v Serco; ASLEF v London and Birmingham Railway [2011] EWCA Civ 226, [2011] ICR 848 [2]. [23] Metrobus Ltd v Unite the Union [2009] EWCA Civ 829, [2010] ICR 173 [118]. [24] South Wales Miners' Federation v Glamorgan Coal Co [1905] AC 239. [25] Collins, McColgan, and Ewing (n 5), 714. [26] (1853) 118 ER 749. [27] Taff Vale Railway Co vAmalgamated Society ofRailwayServants [1901] AC 426. [28] [1901] AC 495. [29] [2007] UKHL 21, [2008] 1 AC 1. [30] 'House of Lords Overhaul Economic Torts' (Herbert Smith Freehills, 17 May 2007) accessed 9 December 2020 [31] ibid. [32] OBG v Allan (n 29). [33] ibid, [37]. [34] Hazel Carty, 'The Economic Torts and English Law: An Uncertain Future' (2007) 95 Kentucky LJ 849. [35] Lonrho v Fayed [1990] 2 QB 479, 492-93. [36] Collins, McColgan, and Ewing (n 5), 714. [37] ibid, 714. [38] ibid, 849. [39] ibid, 848. [40] ibid, 847. [41] ibid, 847. [42] Cartey (n 34), 847. [43] ibid, 849. [44] Richard Kidner, 'Lessons in Trade Union Law Reform: The Origins and Passage of The Trade Disputes Act 1906' (2018) 2 Legal Studies 37. [45] Taff Vale (n 27). [46] Merriam-Webster,Merriam-Webster's Collegiate Encyclopedia(Merriam-Webster 2000) 1157. [47] Kidner (n 44), 47. [48] Bogg and Dukes (n 1), 478. [49] RMT and ASLEF (n 22) [2]. [50] Keith Ewing, 'The Right to Strike: From the Trade Disputes Act 1906 To A Trade Union Freedom Bill 2006' (Institute of Employment Rights, March 2013) accessed 11 December 2020. [51] The Editors of Encyclopedia Britannica, 'Trade Disputes Act' (Encyclopedia Britannica, 20 July 1998) accessed 11 December 2020. [52] Ewing (n 50). [53] Encyclopedia Britannica (n 51). [54] FA Hayek, 'Trade Union Immunity Under the Law' The Times (London, 21 July 1977) 15 accessed 11 December 2020 [55] Davidmann (n 10). [56] Hayek (n 54). [57] Alex Kitson, '1978-1979: Winter of Discontent' (Libcom.org, 24 January 2007) accessed 11 December 2020. [58] Cmd, 8128, 1981. [59] Cmd 821, 1989. [60] Trade Union Immunities (n 58), para 247. [61] Trade Union Reform and Employment Rights Act 1993, s238A. [62] TULRCA 1992, ss237-38. [63] Michael Ford and Tonia Novitz, 'Legislating for Control: The Trade Union Act 2016' (2020) 45 ILJ 227. [64] Bart Cammaerts, 'The Efforts to Restrict the Freedom to Strike and To Deny A Right to Strike Should Be Resisted Fiercely' (LSE Blogs, 14 September 2015) accessed 11 December 2020. [65] TUA 2016, s226(2)(a) (ii). [66] ibid, s226(2)(e). [67] ibid, s238A. [68] Ford and Novitz (n 63), 291. [69] ibid, 291. [70] ibid, 291. [71] ibid, 291. [72] ibid, 279. [73] Modernising Industrial Relations n.7. [74] Ford and Novitz (n 63), 279. [75] Ewing (n 50). [76] Brian Towers, 'Running the Gauntlet: British Trade Unions Under Thatcher, 1979-1988' (1989) 42 ILR Rev 163. [77] Gareth Thomas and Ian K Smith,Smith & Thomas' Employment Law(9th edn, OUP 2007), 737. [78] Davidmann (n 10). [79] Bogg and Dukes (n 1), 492. [80] Ruth Dukes, 'The Right to Strike Under UK Law: Not Much More Than A Slogan? NURMT v SERCO, ASLEF v London & Birmingham Railway Ltd' (2011) 40 ILJ 302, 309. [81] [1983] ICR 490. [82] Collins, McColgan, and Ewing (n 5), 847. [83] TULRCA 1992, s219. [84] ibid. [85] ibid, ss222, 224, and 226. [86] Dukes (n 80), 309. [87] Kalina Arabadjieva, 'Royal Mail Group Ltd v Communication Workers Union (CWU): Injunctions Preventing Industrial Action and The Right to Strike' (UK Labour Law, 6 March 2020) accessed 12 December 2020. [88] TULRCA 1992, s226. [89] Arabadjieva (n 87). [90] n 22. [91] [1996] ICR 170. [92] ibid, [180]-[182]. [93] Dukes (n 82), 309. [94] RMT and ASLEF (n 22), [2]. [95] Smith (n 4). [96] Ford and Novitz (n 63), 281. [97] Arabadjieva (n 87). [98] [2012] EWHC 267 (QB). [99] Keith Ewing and Alan Bogg, 'The Implications of The RMT Case' (2014) 40 ILJ 221, 222. [100] [2009] ECHR 2251. [101] 'The right to bargain collectively.' [102] Keith Ewing and John Hendy, 'The Dramatic Implications of Demir and Baykara' (2010) 39 ILJ 2. [103] Bogg and Dukes (n 1), 478. [104] ibid. [105] Dukes (n 82), 303. [106] n 23. [107] Dukes (n 82), 310. [108] Ewing and Bogg (n 99), 221. [109] RMT and ASLEF (n 22), [77]. [110] ibid, [82]. [111] ECHR Art 11 (2). [112] Ewing and Bogg (n 99), 251. [113] ibid, 221. [114] Arabadjieva (n 87). [115] Ewing and Bogg (n 99), 223. [116] ibid, 251. [117] Ford and Novitz (n 63), 282. [118] Ewing and Bogg (n 99), 223. [119] Thomas and Smith (n 77), 737. [120] Ewing and Bogg (n 99), 223. [121] Ministry of Justice, 'Government Launches Independent Review of the Human Rights Act' (Gov.uk, 7 December 2020) accessed 15 December 2020. [122] ibid. [123] Jamie Susskind, 'Jamie Susskind Comments on Sir Peter Gross' Lecture on Judicial Leadership' (Littleton Chambers) accessed 15 December 2020. [124] ibid. [125] ECHR Art 11. [126] Ruth Dukes, The Right to Strike Under UK Law: Something More Than A Slogan? Metrobus v Unite The Union [2009] EWCA Civ 829' (2010) 39 ILJ 1, 7. [127] ESC, Report of the Committee of Experts 2002. [128] Ewing and Bogg (n 99), 251. [129] Thomas and Smith (n 77), 737. [130] Bogg and Dukes (n 1), 478. [131] Metrobus (n 23) (Maurice Kay LJ). [132] Bogg and Dukes (n 1), 478. [133] Dukes (n 125), 9. [134] ibid, 7. [135] Richard Partington, 'UK Worker Strike Total Falls to Lowest Level Since 1893' (The Guardian, 30 May 2018) accessed 15 December 2020 [136] Smith (n 4). [137] ibid.
AN ANALYSIS OF TRANSLATING THE ADDRESSING TERMS IN PRAMOEDYA ANANTA TOER'S THIS EARTH OF MANKIND Azimatul Fauziah English Literature, Faculty of Languages and Arts, State University of Surabaya azimatul13@gmail.com Dian Rivia Himmawati, SS, M.Hum. English Language and Literature Department, Faculty of Languages and Arts, State University of Surabaya dianrivia@gmail.com ABSTRAK Studi ini focus pada penerjemahan sapaan dalam Bumi Manusia sebagai bahasa sumber dan This Earth of Mankind sebagai bahasa sasaran. Penelitian ini bertujuan untuk mengetahui pengaruh dari kekuasaan dan solidaritas dalam penerjemahan sapaan dan mengetahui faktor yang menyebabkan ketakterjemahan dalam menerjemahkan sapaan. Metode deskriptif kualitatif, teori penerjemahan (House; 2009), hubungan antar kata , kata ganti orang yang memiliki kekuasaan dan solidaritas (Brown and Gilman; 1960), dan register kategori Halliday digunakan untuk menganalisa data. Hasil analisa menunjukan bahwa ada tiga macam sapaan di This Earth of Mankind, sapaan dalam bahasa Belanda, Melayu, dan Jawa. Beberapa sapaan dari bahasa yang berbeda memiliki makna yang sepadan dan penerjemah menerjemahkannya dengan istilah yang sama dengan menggunakan 'denotative equivalence' dan pragmatic equivalence. Penerjemah gagal memahami bahwa penulis membedakan sapaan untuk penjajah dan jajahan, keluarga bangsawan dan masyarakat umum, hubungan formal dan keakraban. Masalah penerjemahan sapaan terjadi ketika sapaan tersebut memiliki konsep khusus yang berhubungan dengan budaya tertentu namun tidak memiliki istilah padanan dalam bahasa sasaran dan karena sistem tatabahasa yang berbeda. Oleh karena itu, penerjemah menggunakan dua pandangan yang berbeda untuk menerjemahkan sapaan. pandangan yang pertama terpusat pada bahasa sumber sedangkan pandangan yang kedua terpusat pada proses penafsiran penerjemah. Hal tersebut membuat terjemahan menjadi sangat berbeda jika dilihat dari mode (cara), field (bidang), dan tenor (tujuan). Kata Kunci: penerjemahan, sapaan, padanan, budaya, kekuasaan ABSTRACT This study focuses on the translation of addressing term in Bumi Manusia as source text and This Earth of Mankind as target text. The purpose of this study is to find out the influence of power and solidarity in translating the addressing terms and find out the factors of untranslatability in translating addressing term. Descriptive qualitative method, translation theory (House; 2009), lexical relation (Kreidler; 1998), pronoun of power and solidarity (Brown and Gilman; 1960), and Hallidayan register categories are applied to analyze the data. The result show that there are three kinds of addressing terms in This Earth of Mankind, Dutch addressing term, Malay addressing term, and Javanese addressing term. Some addressing terms from different language have the same proportional meaning and the translator translated them as the same term and the translator used denotative equivalence and pragmatic equivalence. The translator failed to catch that the author differ the addressing term to show the difference between colonize and colonizer, aristocrat family and common people, intimacy relation and formal relation. The problem of translating addressing terms appeared when the special concept of addressing term related to particular culture do not have any equivalence term in target text and the different of grammatical system. Therefore, it makes the translator use double perspective in translating the addressing term. The first focuses on the source text while the other focus on the process of interpretation by the translator. It made the result of the translation become really different from the original seen from register categories: mode, field, and tenor. Keywords: translation, addressing term, equivalence, culture, dan power INTRODUCTION Bumi Manusia is one of the greatest works of Pramoedya Ananta Toer who was frequently discussed as Indonesia's and Southeast Asia's best candidate for a Nobel Prize in Literature. Terms of addressee plays important role in Bumi Manusia because it indicates the social status of someone. There are three kinds of addressing terms based on ethnicity in this novel. They are Dutch addressing term, Malay addressing term, and Javanese addressing term. Oyetade (as quoted in Chu-Cing Hsu; 2) defines terms of addresseeas words or linguistic expression which speakers use to designate the person being talked to while talk is in progress or which writers use to address the recipient in written communication. Moreover, Braun (1988:7) explains that the actual use and the function of addressing terms depands on the stucture of language, on the speaker's intention and on the address relationship between two interlocutors, as well as on the occasion of the occurrence. Juliane House (2009: 4) defined translation as a process of replacing a text in one language by text in another language. He also explained that translating is not only a linguistic act but it is also an act of communication across culture. Translating terms of addressee from Indonesian into English is not easy because they have different pronominal form. In translating addressing term, the translator should notice on the detail. Words can only be understood when it is considered together with the cultural context. So, in translating addressing term, it is not only replacing the word to another language but creating the same meaning and atmosphere as similar as the original text. Moreover, the addressing terms in Bumi Manusia are closely related to power. Braun and Gilman defined Power as ability to control behavior over another. They also said that power is a relationship between at least two persons, and it is nonreciprocal in the sense that both can not have the same power in the same area of behavior (1960: 254). People who have power will be addressed differently from common people. Power is associated with high social status and it reflects respect and honor. So, people from high social status will be addressed in polite way to show a great reverence. To translate a text as similar as the source text, it is needed to see whether the source text is equivalent to target text or not. House defined equivalence as how similarity of message or function is interpreted (2009: 29). There are many types of equivalence and it depends on the perspective that the translator used. It is possible to use denotative equivalence that use 'real world' referents to which the text relates. Also, the translator could use other equivalence such as pragmatic equivalence which focuses to fulfill its communicative function for the recipients. This study tries to discuss the factors of untranslatability in translating addressing term. There are two research questions for this study, (1) How does the translator translate the Indonesian addressing terms in Toer's Bumi Manusia into English version, This Earth of Mankind? (2) What is the influence of power and solidarity toward the choices of addressing terms in Toer's Bumi Manusia? This study tries to describe about the method of the translator in translating addressing term and know the influence of power and solidarity in translating the addressing term. This study only focuses on translating the addressing terms that have any equivalence problems in their translation and do not pay attention to grammar or another linguistic aspect. This study tries to describe about the process of young learner with visual learning style acquire language and know the relationships between personality and learning style. This study is not only focusing in linguistics but also covering learning activities and psychology area but it is not for learning strategy. Several theories are becoming main cores of this study, such as translation theory of House, lexical relation of Kreidler and Brown and Gilman in pronoun of power and solidarity. . RESEARCH METHOD This study uses descriptive-qualitative in getting and describing about the translating addressing terms phenomena in This Earth of Mankind. This study needs to be explained by words not by numbers or statistics, because this study is stressing on translation aspect and its relationship with culture. Bodgan and Biklen (1984:5) defined the qualitative approach as a research procedure which produces a descriptive data such as verbal or nonverbal utterances or words from the object being observed. The data for this study are utterances. There are two sources of data used in this study. Those data are Toer's Bumi Manusia as source text that was written by Pramoedya Ananta Toer and This Earth of Mankind as target text that was translated by Max Lane. Observation is used to analyze this research. Observation includes collection of the data that is needed by the researcher without manipulating. Sugiyono(2010, p. 146) adds that observation is done by the researcher about what the researcher wants to observe in the research. To observe this research, internet access and taking a note are needed by the researcher as the basic instrument. There were three steps to analyze the data. They were data reduction, data display and conclusion and verification. The researcher sorted the data by choosing the addressing terms that had problem with equivalence. Then, she displayed the data in table. Conclusion and verification became the last step of the data analysis process. In this case, the data had been displayed and discussed before were concluded. The conclusion was the answer of the problems existing supported by some theories related (Sugiyono, 2010, p. 345). To answer the first question, the researcher used lexical relation of Kreidler in his book introducing English semantic and translation theory by Machali. Then, in answering the research question number two, the researcher used pronoun of power and solidarity by Brown and Gilman, translation theory by Nababan and House, then collaborate with Hallidayan register categories of field, mode and tenor. ANNALYSIS AND DISCUSSION There are two analyses in this section. The first is the analysis of the method that was used by translator to translate addressing terms. The second is the analysis of relation between power and solidarity toward the addressing terms. In translating terms of addressees, the translator should find the equivalence between the source text and the target text. House (2009: 29) defines equivalence as a similar message and fulfills a similar function. The writer noticed that the translator use some different patterns. The first pattern, the translator tried to find out the literal or denotative equivalence which use 'real world' as referents for source text to target text. The second pattern, the translator used the original addressing terms from the source text and provided glossary for informing the meaning of the addressing terms in the end of the novel. The last, the translator changed the addressing terms to different addressing terms as the adaptation to the context of target language. After analyzing the method that was used by translator to translate addressing terms, the research used the following table to sum up the result: Table 1 The Comparison of Addressing Terms in Bumi Manusia and This Earth of Mankind No Original Translation Procedure Problem 1. Juffrouw Miss Literal translation Different in context 2. Noni Miss Literal translation Different in context 3. Noni Noni Annotation Inconsistent 4. Mevrouw Mrs/Madam/ Ma'am Literal translation Different in context 5. Mevrouw Miss Free translation Different in meaning 6. Tuanmuda Young master Literal translation Different in context 7. Tuanmuda Master Literal translation Inconsistent 8. Tuan Sir/Mr. Literal translation Different in context 9. Tuan Tuan Annotation Inconsistent 10. Tuan You/he Free translation Different in function 11. Tuan-tuan Tuans Free translation Different in meaning 12. Ndoro Master Literal translation Different in context 13. Ndoro Ndoro Annotation Inconsistent 14. Sahaya I Literal translation Different in context 15. Sahaya Your servant Free translation Different in meaning 16. Meneer Mr. Literal translation Different in context 17. Papa Father Literal translation Different in context 18 Kowe You Literal translation Different in context 19. Nak Child Literal translation Different in context 20. Nyai Nyai Annotation - 21. Nyai-nyai Nyais Free translation Different in meaning 22. Gus Gus Annotation - 23. Sinyo Sinyo Annotation - 24. Mas Mas Annotation - 25. Abang Your friend Free translation Different in meaning 26. Man Man Free translation Different in context 27. Mr Mr. Free translation Different in meaning As shown from the table above, Malay dominated the addressing terms because Malay is neutral language that can be used by Javanese and Dutch in their daily conversations. Noni, Tuanmuda, Tuan, Ayah, Ayahanda, Sahaya, Nak, Sinyo, and Abang are addressing terms that belong to Malay addressing terms. These terms are more common because Malay is widely used in all Dutch East Indies. In the other hand, there were some Javanese addressing terms such as Nyai, Ndoro, Kowe, Gus, Mas, and Man that were used in particular occasions or refer to particular people. Similar to Javanese addressing terms, Dutch addressing terms are only used for certain people. Juffrouw, Mevrouw, Meneer, and Meester are Ducth addressing terms that only used to call Dutch people. There are three patterns in translating addressing terms. In the first pattern, the translator used denotative equivalence which only focused on the meaning of the terms. Machali (2000) stated that as a method, literal translation considers as the most important translation procedure because the basic of literal translation is in clause or sentence level. However, translating addressing terms include and reflect the culture of the society because the addressing terms that were used by the characters determine their background whether their status or ethnicity. Even the words in source text have the same denotation with target text, they do not always have the same connotation. The translator used two different procedures in translating the addressing terms for the first pattern. The first procedure is lexical translation which is used to translate Tuanmuda, Tuan, Papa, Ayah, Ayahanda, Sahaya, Aku, Kowe, and Nak. Some of the terms are not appropriate because there is the difference of interpersonal perspective. The second procedure is adaptation. The translator attempted to make the addressing terms familiar in target text. The terms Juffrouw, Mevrouw, Meneer, Ndoro, and Noni are special concepts that were used in Dutch colonial era. The translation text could be understood by the reader of the target text, but the reader can not catch the essence that those terms are particular addressing terms for certain groups. So, even the words of source text have denotative equivalence in target text, but they are not suitable for the context of source text. In the second pattern, the translator did not change the addressing terms because the terms, Noni, Nyai, Ndoro, Gus, Sinyo, and Mas are special concept of source text that do not have any equivalence word in target text. The translator used annotation to translate because he persisted to use the original terms and gave glossary to explain the meaning of the term. The writer noticed that the translator is understand that the addressing terms have important role to distinguish the identity of the characters, but he only highlighted Javanese addressing terms. The concept of thing in Dutch and English are almost similar because they are in the same language family. So, the translator was easy to find out the lexical equivalence from Ducth terms to English terms. However, the concept of some words such as Noni, Sinyo, and Nyai are especially used in colonial era, so it is difficult to find out the equivalence in target text. Ndoro, Gus, and Mas are terms from Javanese culture who really emphasis in status and familiarity while English only differ for formal or informal situation. Unfortunately, the translator used inconsistent translation procedures for one term. For instance, the term Noni is translated as Miss by using lexical translation and the translator also used annotation in other text so that he did not change the addressing terms. These conditions would make the reader confuse and would make wrong interpretation that Miss and Noni are different. The last pattern showed that the translator change the form of the addressing terms. The translator used free style translation. The translator missed to understand the language system of source text and target text because he translated Nyai-Nyai as Nyais and Tuan-Tuan as Tuans. Nyai and Tuan are not English term, so the plural form of Nyai and Tuan are not necessarily Nyais or Tuans because it is unclear whether Nyai and Tuan are countable or uncountable noun. Accountability concept is universal concept that can be understood by all people and can be expressed through lexical structure in all language, but not all languages have grammatical category for number and not all languages apply the same concept for number. The second analysis is relation between power and solidarity toward the addressing using T and V because in previous part, there are many translations of addressing term that are not appropriate to the context of the novel. The ways of people in choosing the addressing terms are really related to the culture that exist in their society. The culture of society consists of everything that everybody has to know or believe in order to operate manner that acceptable for its member. In Javanese society, especially in the past, the kingdom applied feudal system. This system force lower class people to respect much to people who have more power. Gilman (1960; 252) defined Power as a relationship between at least two persons and it is nonreciprocal because both can not have the same authority. There are many forms of power such as physical strength, wealth, age, sex, institutionalized role in the state, the army, or within the family. The relations called older than, richer than, stronger than, employer of, richer than and nobler then are all asymmetrical. If A is older than B, B is not older than A. The relation called "more powerful than". The pronoun usage expressing this power relation is also asymmetrical or nonreciprocal, with the greater receiving V and the lesser T. Pronoun form of T and V were used by some European countries to differ between 'singular you' tu (T) and 'plural you' vos (V). Now, T and V are used as symbols; the T form is often described as the familiar form and the V form as the polite one. The superior will say T to the inferior and receives V, and vice versa. T and V approach also could be used to indicate solidarity. The T form is usually used by people who stand in the same position. It reflects symmetrical relation; for instance: attended the same school or have the same parents or practice in the same profession. The T of solidarity can be produced by frequency of contact as well as by objective similarities. The dimension of solidarity is potentially appropriate to all persons addressed. Power superiors may be solidarity (parents, elder siblings) or not solidarity (officials whom one seldom sees). Reciprocal T usage was always available to show intimacy. The following part would discuss the power of characters and its influence among the other characters and the writer used T and V form to analyze them. To sum up the relation of power and solidarity through the addressing term that were chosen by the characters in Bumi Manusia, the writer summarized them into a table. The table would illustrate the addressing terms, the interlocutors, the relation between interlocutors, and the function of the addressing terms. Table 2 The T and V form of Addressing Terms in Bumi Manusia No Addressing Term Interlocutor Relation Function 1 Juffrouw Java – Dutch Dutch- Indo nonreciprocal nonreciprocal Respecting respecting 2 Noni Java – Indo nonreciprocal Respecting 3 Mevrouw Java – Dutch Dutch -Dutch Indo – Indo nonreciprocal reciprocal reciprocal Respecting showing intimacy respecting 4 Nyai Java – Java Dutch - Java reciprocal nonreciprocal Respecting respecting 5 Tuanmuda Dutch – Java Java - Java nonreciprocal nonreciprocal Respecting respecting 6 Tuan Java - Java Java – Dutch nonreciprocal nonreciprocal Respecting respecting 7 Ndoro Java – Dutch Java – Java nonreciprocal nonreciprocal Respecting respecting 8 Meneer Java – Dutch nonreciprocal Respecting 9 Mama Ann – Nyai Minke – Nyai nonreciprocal nonreciprocal showing intimacy showing intimacy 10 Papa Indo – western nonreciprocal showing intimacy 11 Aku Java - Java Java – Dutch reciprocal nonreciprocal showing intimacy showing intimacy 12 Sahaya Java – Java nonreciprocal showing intimacy 13 Kowe Dutch – Java nonreciprocal Disrespecting 14 Nak Java – Java nonreciprocal showing intimacy 15 Gus Java – Java nonreciprocal showing intimacy 16 Sinyo Java –Indo Java – Java nonreciprocal nonreciprocal Respecting respecting 17 Abang Indo - Indo Java – Java nonreciprocal nonreciprocal Respecting showing intimacy 18 Mas Indo – Java reciprocal showing intimacy 19 Man Dutch – Java nonreciprocal Disrespecting 20 Mr (Meester) Java – Dutch nonreciprocal Respecting The table above shows that there are three functions of addressing terms, respecting, disrespecting, and showing intimacy. From the data above, the relations of the interlocutors are mostly nonreciprocal, so it shows that social status is very important in colonial era because the nonreciprocal relations illustrate the difference power between addressor and addressee. In many nonreciprocal cases, the higher social status will get V form from the addressors to show their respect and say T form because they are not stand in the same position as the addressee. Except respecting, nonreciprocal relation is also used to show disrespect. The addressing terms that are used to disregard are especially designed for lower class by upper class or have bad connotation. In contrast, to show intimacy, the relations of the interlocutors are sometimes reciprocal or nonreciprocal. The dimension of solidarity is little bit different from power, because even the interlocutors are not stand in the same position they can use intimate addressing terms because their relations are close. DISCUSSION After analyzing the translation of addressing terms from the source text to target text, now the writer discusses the result of the analysis. Comparison of Original and Translation The research compares the field, tenor, and mode of Bumi Manusia and This Earth of Mankind. The concept of field, tenor, and mode are sociolinguistic dimensions of context of situation jointly characterizing a particular register. House (2009; 33) stated that the original and its translation should have an equivalent function whenever possible. He also said that text and context of situation are indeed separated, but the two interact with each other through inextricable connection between the social environment and the functional organization of language. Before analyzing the register, it is needed to analyze the genre first. House (2009; 35) explained that genre connect an individual text with the larger cultural context of the linguistic and cultural community in which the text is embedded. The genre of Bumi Manusia is historical fiction but it is based on the reality. It included to historical story because the setting illustrated the situation of Indonesia in the late of nineteenth century. The author used particular time and places that make the story as if it was real. The story happened in 1890's, when the national movement had been begun by native to fight against colonizer through non-violence way. Field The first dimension of register is field. Holmes (2009; 34) explained that field captures the subject matter or topic. It describes what the text is about and what kinds of thing are in text. The text was about Minke's life. It describe Minke's journey who is a naïve boy at first to be a mature person. In that process, Minke should face many problems dealing not only with himself but also his society and the colonizer. The complexities of Minke's problem include the conflict of social judgments, hierarchy system, and racial conflict. The description of this story is not so much as historical text but an attractive, easily readable story. Evidence for this is the use of Malay language in telling the story rather than Javanese or Dutch. Malay was language of interracial communication which was used by many people weather Native or Eurasian. However, there were many terms that are not Malay, but they were only used as addressing term. The choice of particular addressing term in Bumi Manusia shows the style of speaking and the purpose of the speaker, indeed the social status. Mevrouw, Juffrouw, Meester, and Meneer are some addressing terms that were borrowed from Dutch language, while Mas, Ndoro, Gus, Mas and Man are some addressing terms that were borrowed from Javanese language. The used of various addressing terms has function as the mark of power and solidarity. As seen in table 4.1.3 (see page 102) there are three functions of addressing terms, respecting, disrespecting, and showing intimacy. From that data, the relations of the interlocutors are mostly nonreciprocal, so it shows that social status is very important in colonial era because the nonreciprocal relations illustrate the difference power between addressor and addressee. The feudal and colonial system forced people to respect everyone who have more power. Geertz (1960: 282) explained that it is nearly impossible for language that applied etiquette system to say anything without indicating the social relationship between the speaker and the listener in terms of status and familiarity. In many nonreciprocal cases, the higher social status will get V form from the addressors to show their respect and say T form because they are not stand in the same position as the addressee. Juffrouw, Noni, Mevrouw, Nyai, Tuanmuda, Tuan, Ndoro, Menner, Sahaya, Sinyo, Abang, and Meester are addressing terms to show respect. The translation appears to be generally and decrease its local color because the absence of Dutch addressing terms as the marker of Dutch colonial. Even the translation of Dutch addressing terms have the same function to respect the addressee, the translation can not replace the emotion and the feeling of the original. Except respecting, nonreciprocal relation is also used to show disrespect. The addressing terms that are used to disregard are especially designed for lower class by upper class or have bad connotation. For instance, Kowe is addressing term that was used by Dutch people to express disrespect toward Javanese. The translation of Kowe, you, can not express the same function as the original because this term is neutral addressing term. In contrast, to show intimacy, the relations of the interlocutors are sometimes reciprocal or nonreciprocal. The dimension of solidarity is little bit different from power. Even the interlocutors were not stand in the same position they can use intimate addressing terms because their relations are close. In Bumi Manusia, the relations of the people who used intimate addressing terms such as Mama, Papa, Gus, Abang, and Nak were nonreciprocal. Gus, Abang and Nak were used by older people to younger people. In Javanese, age is one of the main distinctions of nonreciprocal relation. The older people do not need to use polite form, but in this case Gus, Abang and Nak are polite addressing term that indicated close relationship between older and younger people. The translation of Abang (your friend) and Nak (child) can not full fill the same function as the intimate sign like the original did. Tenor House (2009; 34) stated that tenor refers to the nature of the participants, the author and his or her addressee, the relationship between them in terms of social power and familiarity, the author's intellectual and affective position, that is, his or her personal viewpoint. The author was an Indonesian author of novels, short stories, essays, polemic and histories of his homeland and its people. The author seemed to be very aware of the conditions of his story. He attempted to create colonial atmosphere as same as the reality. The choice of the addressing terms included Dutch, Malay, and Javanese was the evident. By differing the addressing terms based on the ethnicity and social status, the author would like to inform the reader the 'reality' in the past. He wanted to show that there were social distance between poor and rich, also Javanese as the colony and Dutch as the colonizer. He persisted to use Dutch addressing terms rather than change it into Malay to create colonial atmosphere because at that time Dutch people make their language as exclusive language. The translator also tried to create colonial atmosphere by using Java and Malay addressing term that do not have equivalent in English. However, instead of using Dutch term as the author did, the translator change the addressing terms into English. Dutch and English are still in the same language family, so there are many terms of English and Dutch that have the same meaning. Mevrouw, Juffrouw, Meneer, and Meester are Dutch terms. Except Meester, they are denotatively equivalent. Mevrouw could be translated as Mrs, Juffrouw as Miss, and Meneer as Mr. They have the same referents in the real world, so it makes them denotatively equivalents. Although, the translator failed to capture that Dutch addressing term has special function as imperial impression. Ashcroft (2002; 7) stated that one of main features of imperial oppression is control over language. Dutch people, at that time, not only controlled for social, politic, and economic aspects but also controlled the language. They limit the used of their language for themselves and their offspring to marginalize their colonies. The translator did not catch the author's aim that he wanted to show the great distance between Dutch and Javanese people. Instead of giving the Dutch colonial atmosphere, the translator gave mental image of British colonialism because the special terms that implicate Dutch colonialism had been translated in English terms. Based on the table in 4.1 (see page 3), most addressing term translation dealt with cultural context. This problem arose because the translation and the original can not make the same psychological understanding for the readers. In addition, the translator used inconsistent term in his translations that primarily make the reader confused. Mode House (2009; 34) defined Mode as a channel of communication. Equivalence in dimension of mode relates to the means whereby the communication is performed. In Bumi Manusia, there were some addressing terms that have different meaning than the lexical meaning because of the feeling of the speaker. Kowe actually is common addressing terms in Javanese society to address someone who is younger or have closed relation, but when it is used by Dutch people the function is changed from showing intimacy become disrespecting. When the Dutch people used Kowe in Bumi Manusia novel, the character always used it in high tension. However, the reader will not catch that Kowe has negative connotation directly because the translation term, you, is neutral addressing terms. The communication purpose of the term Kowe cannot easily catch. So, the irritation of the character could not be understood by the reader. As seen from the mode, field, and tenor analyses above, it show that the original and the translation are not equivalence. The genre of the translation in translating addressing term is not so much as the original because some translation of the addressing terms can not reveal the atmosphere of Dutch colonial that become the main point in this equivalence problem. Equivalence Problem in Translating Addressing Terms in Bumi Manusia The analysis of register categories above clearly showed that the original and translation are not equal. Equivalence of source text and target has limited area because not all of the equivalence approaches can achieved all translation cases. The main factor that made the addressing in source text do not have suitable equivalence in target text is the special concept of Dutch colonial and Javanese culture. Nababan (1999: 99) said that the concept of source text can reveal a concept that is not well known in the target text. Some addressing terms from source text that has special concept are difficult to have their equivalence in target text because of the cultural concept of addressing term from Dutch and Javanese like Juffrouw, Noni, Mevrouw, Nyai, Ndoro, Meneer, Gus, Sinyo, Mas, Man, and Meester. Those terms can not easily be transferred to target text because those terms are created by certain condition in particular communities. Some of those terms, Juffrouw, Noni, Mevrouw, Ndoro, and Meneer have the same denotation with the translation term, but the original and translation addressing term have different connotation that make them share different interpretation. The special concept that can not be replaced in target text lead to others related problem. The special concept of particular culture make the language concept of source text is not available in target text. Nababan (1999: 99) explained that the words of source text could be understand and recognized in target text but the target text does not have a term that can reveal the concept from source text. In this case, the term Sahaya and Kowe in source text have different concept from Aku and Kau. The target text do not differ the first and second singular pronoun that make the translation of Sahaya and Kowe have different function from source text. Even the concept of Sahaya and Kowe could be understand in the target text, but the term that have the same meaning and connotation with those term are not available. So, the translator used 'I' and 'you' in a pinch to replace Sahaya and Kowe even 'I' and 'you' also used to translate Aku and Kau. The complexities of Javanese community that apply speech level also direct the translation to the equivalence problem because it makes difference of interpersonal perspective. Nababan (1999: 03) argued that interpersonal perspective is related to the relation of the participants in a text. In a language that really concern to etiquette like Javanese, Geertz stated that it is impossible to address someone without pay attention to the status of the addressee. Etiquette system force the people to create different term for one concept, so the participant can easily choose the right term to address someone that suitable for both the addressor and the addressee. For instance, in Bumi Manusia there are three different addressing terms to call male parent, Papa, Ayah and Ayahanda. The use of those addressing term could reflect the social status of the addressor and the addressee. Papa is used in western family who live Dutch East Indies, Ayah is used in middle-low family, while Ayahanda is used in Javanese aristocrat family. This difference of Papa, Ayah and Ayahanda can not be seen in the translation because the translator translated them as 'father'. The other problem of equivalence that appears because of the particular culture of the two languages is the difference of expressive meaning. According to Nababan (1999: 103) the words in source text and target text have the same proportional meaning but often they are different in expressive meaning. There are many addressing terms that have the same proportional meaning but they are different in expressive meaning because Malay terms differentiate the addressing terms based on the relationship and the social status. The term Nak has the same proportional meaning with child, but they are used in different intention. Nak is for showing intimacy but child dispose to create formal atmosphere rather than familiarity. Both terms have the same proportional meaning but they express different purpose and connotation. The different perspective toward a concept will also lead the translation to equivalence problem (Nababan, 1999: 101). Furthermore, it is also the effect of special concept in source text. The term Man in Javanese context at that time was used to address Javanese adult male from middle-low status. In the translation text, the term Man translated as man because English does not distinguish the term man for rich or poor people. In the other hand, the translator also missed to capture the perspective of the character in choosing particular term when he translated Abang. The proportional meaning of Abang is addressing term to call elder brother but it could be used to call man or boy who is elder than the addressee. The translator translated Abangmu as your friend but from Nyai Ontosoroh's point of view, she used Abangmu to make Annelies felt comfort and consider Minke as her own son. Changing the term Abangmu as your friend would lead the reader to different understanding because it seems that Nyai Ontosoroh treat Minke as only her guest. The other factor except special concept of Dutch colonial and Javanese culture is the difference in grammatical system. Nababan (1999; 108) stated that grammatical equivalence focuses to the similar concept of source text and target text at the level of number, gender, person, tense, and aspect. In translating the addressing term, the problem appeared when source language and target language have different grammatical system. The term Nyai-Nyai became Nyais or Tuan-Tuan became Tuans is not equivalence because both term are Malay term. Malay and English apply different method to change the singular concept to be plural. The translator used free style translation and he missed to understand the language system of source text and target text because he translated Nyai-Nyai as Nyais and Tuan-Tuan as Tuans. Nyai and Tuan are not English term, so the plural form of Nyai and Tuan are not necessarily Nyais or Tuans because it is unclear whether Nyai and Tuan are countable or uncountable noun. Accountability concept is universal concept that can be understood by all people and can be expressed through lexical structure in all language, but not all languages have grammatical category for number and not all languages apply the same concept for number. Therefore, the translator should observe carefully whether one concept of a language could be applied to another language or not. The reader of the target text would feel unfamiliar because in some text, the translator used Nyai and Tuan for singular form, but after that those terms became Nyais and Tuans, whereas the reader could have another understanding rather than think that those terms are plural form because they never know the terms Nyais and Tuans before. Double Perspective in Translating Bumi Manusia Constructing the effective translation is one of the purposes of translation. Nababan (1999:88) stated that there are two main factors that determine the effectiveness of the translation. The first is dimension of linguistic and knowledge. Straight (as quoted in Nababan, 1999) said that fruitfulness in conveying the message depends on the knowledge about the context of culture and the language system of source language and target language. In this case, the translator failed to capture that addressing term play important role because it reflects etiquette culture of Javanese and Dutch colonial culture in Dutch East Indies. The second factor is purpose dimension. Nababan (1999, 87) stated that the translator should decide the purpose of the translation. Further, he explained that the purpose should meet this criteria; fruitful to the original, use translation style that appropriate to source text, use suitable equivalence, and the readability level of translation fitted to the source text. However, the analysis in the previous part show that the translation of addressing terms dealt with many equivalence problems and shared different function and connotation from the original that make the translation become unreadable and confusing for the reader. Both dimensions above can not be reached by the translator because he used more than one perspective in translating the addressing terms. Before translating a text, a translator had to analyze the source text to understand the content of the text. Then, the translator chose the approach that is suitable for source text. From the data in the table in 4.1 (see page 3), the writer found some addressing terms that have many equivalent problems. The translator may use more than one procedure in translating addressing terms because the procedure of translation is for sentences or smaller linguistics units as clause, phrase, word, etc. However, before determining the procedure, the translator should choose the perspective or method that he wants to apply in translating the source text. The method that the translator used will be a framework that guides the translator to translate the text in a line. The writer noticed that the translator used double perspectives that make his translation contradictory. In translating addressing terms such as Noni, Ndoro, Nyai, Tuan, Tuanmuda, Papa, Gus, Sinyo, and Mas, the translator used perspective that was focus on the original text. House (2009: 15) explained that a focus on the (original) texts mean analyzing it, and systematically linking its form and functions in order to reveal the original author's motivated choices. The translator considered the reason of the author in choosing addressing terms and tried to find out the closest equivalence in target text, even for some addressing terms do not have any equivalence that make the translator insisted to use the original term. In contrast, the translator also used perspective that focus on the process of interpretation. House (2009: 20) defined this perspective as the translator way to builds up an individual mental representation of its meaning. House added that the reconstitution of the 'the meaning' of a text to fit another language and context is not the central point. It is dealing more with the invention of the translator then discovery of what is already exist in a text. Therefore, when the translator used this perspective to translate some addressing terms such as Juffrouw, Noni, Mevrouw, Nyai-Nyai, Tuan-Tuan, Nak, Abang, Man, etc the translation become very different from the context in source text. This perspective also leads the translator to make confusing translation because the translation for one term becomes inconsistent. Moreover some addressing terms have different meaning and connotation from the source text. In translating a text, translator should use only one perspective to make the synchronized translation. Double translation would lead the translator to different way in translating addressing term because one perspective deal with different point of view to another perspective. In Bumi Manusia case, it is much better for the translator to only apply the perspective that focus on the source text since the background of the original can not be easily transferred to target text. Moreover, if the translator was consistent to use one perspective, he would not make ambiguity translation. By understanding the whole context of the story that include ecology, technology, material culture, social organization, myth, and linguistic system of source text, the translator would have better perceptive to make good translation that fruitful to the original but it is still readable for the target reader. CONCLUSION This study is conducted to describe how the phenomenon of translating addressing terms is rolled out in BumiManusia and This Earth of Mankind. The conclusion of this study is formulated based on the statement of problems. Some translation theory based on several authors (House; 2009; Machali 2000; and Nababan; 1999): translation perspective, equivalence in translation, equivalence problem, and register categories of field, mode, and tenor are combined to the theory of addressing term (Wardaugh; 2006), pronouns of power and solidarity (Brown and Gilman; 1960) and lexical relation (Kreidler; 1998) to identify how the translator translated the addressing terms and the relation of the addressing terms toward the cultural context. Then, the writer comes to a conclusion that: The T and V approach also showed that power and solidarity become the main consideration for the characters in choosing addressing terms, so that the characters used different addressing terms depend on the status of the addressee and the relation among the characters. The translator used three patterns in translating addressing terms. In the first pattern, the translator used literal translation to translate Juffrouw, Noni, Mevrouw, Tuanmuda, Tuan, Ndoro, Meener, Papa, Ayah, Ayahanda, Sahaya, Aku, Kowe, and Nak. In second pattern, the translator used original terms, Noni, Nyai, Ndoro, Gus, Sinyo, and Mas in the target text. The last pattern is changing the addressing terms such as Nyai-Nyai, Tuan, Sahaya, Abang, Man, and Meester since the adaptation of target text. From the patterns above, it was found that the translator was inconsistent to translate some addressing terms because he translated one term used some different procedure that make the meaning of the addressing terms contradictory. Also he did not pay attention to the culture and the context that involve in addressing terms so he only did linguistic translation without concerning to the cultural influences. The main factor that lead untranslatability of translating Bumi Manusia's addressing terms is special concept of Javanese culture and Dutch colonial system that make the addressing terms can not be easily transferred to target. The difference of grammatical system of source language and target language also lead the translator to get difficulties in finding suitable equivalence for the addressing terms. Therefore the translator used double perspective to solve the equivalence problems. As a result double perspective that was expected to solve the problem instead made a larger problem because the translation of addressing terms become untranslatability and unreadable. SUGGESTION Addressing terms is general phenomenon which occurs in daily life. But, the analysis of translating addressing terms is still rarely discussed whereas linguistics and its branches is basically concerning with the use of language. From this study, the future researchers are suggested to be more interested in enlarging their knowledge dealing with applied linguistics, especially translating addressing terms which concerns with how translating addressing terms based on cultural context. Equally important, it is suggested for the readers to pay attention in choosing addressing terms based on the condition and the status of the addressee because the wrong addressing terms choices will make the addressee feel insulted or annoyed REFERENCES Ananta Toer, Pramoedya. 2011. Bumi Manusia. Jakarta: Lentera Dipantara. Ananta Toer, Pramoedya. 1996. This Earth of Mankind. New York: Penguin books Ltd. Ashcroft, Bill and Griffiths, Gareth. 2002. The Empire Writes Back – Theory and practice in post-colonial literatures. New York and London: Routledge Taylor & Francis Group. Bogdan, Robert. C and Sari Knopp Biklen. 1982. Qualitative Research for Education: an Introduction to Theory and Methods.Allyn and Bacon. Inc. USA Brown, R., Gilman, A. 1960. The pronouns of Power and Solidarity. Thomas A. Sebeok, eds. Style in Language. Cambridge-Massachusetts: The Technology Press of Massachusetts Institute of Technology, 252-275. Geertz, Clifford. 1960. Linguistic Etiquette. Thomas A. Sebeok, eds. Style in Language. Cambridge-Massachusetts: The Technology Press of Massachusetts Institute of Technology, 282-295 Holmes, Janet. 1992. An Inroduction to Sociolinguistics. London and New York: Longman Group. Hornby, A. S. (Ed.) 1948. Advanced Learner's Dictionary (7th ed.). Oxford: Oxford University Press. House, Juliane. 2009. Translation. Oxford: Oxford University Press. Machali, R. .2000. Pedoman Bagi Penerjemah. Jakarta: Grasindo. Nababan, R. 1999. Teori Menerjemah Bahasa Inggris. Yogyakarta: PustakaPelajar Pramoedya Ananta Toer. Retrieved on June 25, 2013 from site: http://en.wikipedia.org/wiki/Pramoedya_Ananta_Toer Rothschild, Metthew. Interview with Pramoedya Ananta Toer. The Progressive Magazine. Retrieved on June 26, 2013 from site: http://www.progressive.org/mag_intv1099 Sugiyono. 2010. MetodePenelitianKuantitatif R & D. Bandung: Alfabeta. Wardhaugh, Ronald. 2006. An Introduction to Sociolinguistic.Oxford: Blackwell Publishing Widyastuti, Susana. Componential Analysis of Meaning: Theory and Applications. Online journal. Retrieved on June 25, 2013 from site: http://eprints.uny.ac.id/1174 W. Kreidler, Charles. 1998. Introducing English Semantic. London: Routledge.
AN ANALYSIS OF TRANSLATING THE ADDRESSING TERMS IN PRAMOEDYA ANANTA TOER'S THIS EARTH OF MANKIND Azimatul Fauziah English Literature, Faculty of Languages and Arts, State University of Surabaya azimatul13@gmail.com Dian Rivia Himmawati, SS, M.Hum. English Language and Literature Department, Faculty of Languages and Arts, State University of Surabaya dianrivia@gmail.com ABSTRAK Studi ini focus pada penerjemahan sapaan dalam Bumi Manusia sebagai bahasa sumber dan This Earth of Mankind sebagai bahasa sasaran. Penelitian ini bertujuan untuk mengetahui pengaruh dari kekuasaan dan solidaritas dalam penerjemahan sapaan dan mengetahui faktor yang menyebabkan ketakterjemahan dalam menerjemahkan sapaan. Metode deskriptif kualitatif, teori penerjemahan (House; 2009), hubungan antar kata , kata ganti orang yang memiliki kekuasaan dan solidaritas (Brown and Gilman; 1960), dan register kategori Halliday digunakan untuk menganalisa data. Hasil analisa menunjukan bahwa ada tiga macam sapaan di This Earth of Mankind, sapaan dalam bahasa Belanda, Melayu, dan Jawa. Beberapa sapaan dari bahasa yang berbeda memiliki makna yang sepadan dan penerjemah menerjemahkannya dengan istilah yang sama dengan menggunakan 'denotative equivalence' dan pragmatic equivalence. Penerjemah gagal memahami bahwa penulis membedakan sapaan untuk penjajah dan jajahan, keluarga bangsawan dan masyarakat umum, hubungan formal dan keakraban. Masalah penerjemahan sapaan terjadi ketika sapaan tersebut memiliki konsep khusus yang berhubungan dengan budaya tertentu namun tidak memiliki istilah padanan dalam bahasa sasaran dan karena sistem tatabahasa yang berbeda. Oleh karena itu, penerjemah menggunakan dua pandangan yang berbeda untuk menerjemahkan sapaan. pandangan yang pertama terpusat pada bahasa sumber sedangkan pandangan yang kedua terpusat pada proses penafsiran penerjemah. Hal tersebut membuat terjemahan menjadi sangat berbeda jika dilihat dari mode (cara), field (bidang), dan tenor (tujuan). Kata Kunci: penerjemahan, sapaan, padanan, budaya, kekuasaan ABSTRACT This study focuses on the translation of addressing term in Bumi Manusia as source text and This Earth of Mankind as target text. The purpose of this study is to find out the influence of power and solidarity in translating the addressing terms and find out the factors of untranslatability in translating addressing term. Descriptive qualitative method, translation theory (House; 2009), lexical relation (Kreidler; 1998), pronoun of power and solidarity (Brown and Gilman; 1960), and Hallidayan register categories are applied to analyze the data. The result show that there are three kinds of addressing terms in This Earth of Mankind, Dutch addressing term, Malay addressing term, and Javanese addressing term. Some addressing terms from different language have the same proportional meaning and the translator translated them as the same term and the translator used denotative equivalence and pragmatic equivalence. The translator failed to catch that the author differ the addressing term to show the difference between colonize and colonizer, aristocrat family and common people, intimacy relation and formal relation. The problem of translating addressing terms appeared when the special concept of addressing term related to particular culture do not have any equivalence term in target text and the different of grammatical system. Therefore, it makes the translator use double perspective in translating the addressing term. The first focuses on the source text while the other focus on the process of interpretation by the translator. It made the result of the translation become really different from the original seen from register categories: mode, field, and tenor. Keywords: translation, addressing term, equivalence, culture, dan power INTRODUCTION Bumi Manusia is one of the greatest works of Pramoedya Ananta Toer who was frequently discussed as Indonesia's and Southeast Asia's best candidate for a Nobel Prize in Literature. Terms of addressee plays important role in Bumi Manusia because it indicates the social status of someone. There are three kinds of addressing terms based on ethnicity in this novel. They are Dutch addressing term, Malay addressing term, and Javanese addressing term. Oyetade (as quoted in Chu-Cing Hsu; 2) defines terms of addresseeas words or linguistic expression which speakers use to designate the person being talked to while talk is in progress or which writers use to address the recipient in written communication. Moreover, Braun (1988:7) explains that the actual use and the function of addressing terms depands on the stucture of language, on the speaker's intention and on the address relationship between two interlocutors, as well as on the occasion of the occurrence. Juliane House (2009: 4) defined translation as a process of replacing a text in one language by text in another language. He also explained that translating is not only a linguistic act but it is also an act of communication across culture. Translating terms of addressee from Indonesian into English is not easy because they have different pronominal form. In translating addressing term, the translator should notice on the detail. Words can only be understood when it is considered together with the cultural context. So, in translating addressing term, it is not only replacing the word to another language but creating the same meaning and atmosphere as similar as the original text. Moreover, the addressing terms in Bumi Manusia are closely related to power. Braun and Gilman defined Power as ability to control behavior over another. They also said that power is a relationship between at least two persons, and it is nonreciprocal in the sense that both can not have the same power in the same area of behavior (1960: 254). People who have power will be addressed differently from common people. Power is associated with high social status and it reflects respect and honor. So, people from high social status will be addressed in polite way to show a great reverence. To translate a text as similar as the source text, it is needed to see whether the source text is equivalent to target text or not. House defined equivalence as how similarity of message or function is interpreted (2009: 29). There are many types of equivalence and it depends on the perspective that the translator used. It is possible to use denotative equivalence that use 'real world' referents to which the text relates. Also, the translator could use other equivalence such as pragmatic equivalence which focuses to fulfill its communicative function for the recipients. This study tries to discuss the factors of untranslatability in translating addressing term. There are two research questions for this study, (1) How does the translator translate the Indonesian addressing terms in Toer's Bumi Manusia into English version, This Earth of Mankind? (2) What is the influence of power and solidarity toward the choices of addressing terms in Toer's Bumi Manusia? This study tries to describe about the method of the translator in translating addressing term and know the influence of power and solidarity in translating the addressing term. This study only focuses on translating the addressing terms that have any equivalence problems in their translation and do not pay attention to grammar or another linguistic aspect. This study tries to describe about the process of young learner with visual learning style acquire language and know the relationships between personality and learning style. This study is not only focusing in linguistics but also covering learning activities and psychology area but it is not for learning strategy. Several theories are becoming main cores of this study, such as translation theory of House, lexical relation of Kreidler and Brown and Gilman in pronoun of power and solidarity. . RESEARCH METHOD This study uses descriptive-qualitative in getting and describing about the translating addressing terms phenomena in This Earth of Mankind. This study needs to be explained by words not by numbers or statistics, because this study is stressing on translation aspect and its relationship with culture. Bodgan and Biklen (1984:5) defined the qualitative approach as a research procedure which produces a descriptive data such as verbal or nonverbal utterances or words from the object being observed. The data for this study are utterances. There are two sources of data used in this study. Those data are Toer's Bumi Manusia as source text that was written by Pramoedya Ananta Toer and This Earth of Mankind as target text that was translated by Max Lane. Observation is used to analyze this research. Observation includes collection of the data that is needed by the researcher without manipulating. Sugiyono(2010, p. 146) adds that observation is done by the researcher about what the researcher wants to observe in the research. To observe this research, internet access and taking a note are needed by the researcher as the basic instrument. There were three steps to analyze the data. They were data reduction, data display and conclusion and verification. The researcher sorted the data by choosing the addressing terms that had problem with equivalence. Then, she displayed the data in table. Conclusion and verification became the last step of the data analysis process. In this case, the data had been displayed and discussed before were concluded. The conclusion was the answer of the problems existing supported by some theories related (Sugiyono, 2010, p. 345). To answer the first question, the researcher used lexical relation of Kreidler in his book introducing English semantic and translation theory by Machali. Then, in answering the research question number two, the researcher used pronoun of power and solidarity by Brown and Gilman, translation theory by Nababan and House, then collaborate with Hallidayan register categories of field, mode and tenor. ANNALYSIS AND DISCUSSION There are two analyses in this section. The first is the analysis of the method that was used by translator to translate addressing terms. The second is the analysis of relation between power and solidarity toward the addressing terms. In translating terms of addressees, the translator should find the equivalence between the source text and the target text. House (2009: 29) defines equivalence as a similar message and fulfills a similar function. The writer noticed that the translator use some different patterns. The first pattern, the translator tried to find out the literal or denotative equivalence which use 'real world' as referents for source text to target text. The second pattern, the translator used the original addressing terms from the source text and provided glossary for informing the meaning of the addressing terms in the end of the novel. The last, the translator changed the addressing terms to different addressing terms as the adaptation to the context of target language. After analyzing the method that was used by translator to translate addressing terms, the research used the following table to sum up the result: Table 1 The Comparison of Addressing Terms in Bumi Manusia and This Earth of Mankind No Original Translation Procedure Problem 1. Juffrouw Miss Literal translation Different in context 2. Noni Miss Literal translation Different in context 3. Noni Noni Annotation Inconsistent 4. Mevrouw Mrs/Madam/ Ma'am Literal translation Different in context 5. Mevrouw Miss Free translation Different in meaning 6. Tuanmuda Young master Literal translation Different in context 7. Tuanmuda Master Literal translation Inconsistent 8. Tuan Sir/Mr. Literal translation Different in context 9. Tuan Tuan Annotation Inconsistent 10. Tuan You/he Free translation Different in function 11. Tuan-tuan Tuans Free translation Different in meaning 12. Ndoro Master Literal translation Different in context 13. Ndoro Ndoro Annotation Inconsistent 14. Sahaya I Literal translation Different in context 15. Sahaya Your servant Free translation Different in meaning 16. Meneer Mr. Literal translation Different in context 17. Papa Father Literal translation Different in context 18 Kowe You Literal translation Different in context 19. Nak Child Literal translation Different in context 20. Nyai Nyai Annotation - 21. Nyai-nyai Nyais Free translation Different in meaning 22. Gus Gus Annotation - 23. Sinyo Sinyo Annotation - 24. Mas Mas Annotation - 25. Abang Your friend Free translation Different in meaning 26. Man Man Free translation Different in context 27. Mr Mr. Free translation Different in meaning As shown from the table above, Malay dominated the addressing terms because Malay is neutral language that can be used by Javanese and Dutch in their daily conversations. Noni, Tuanmuda, Tuan, Ayah, Ayahanda, Sahaya, Nak, Sinyo, and Abang are addressing terms that belong to Malay addressing terms. These terms are more common because Malay is widely used in all Dutch East Indies. In the other hand, there were some Javanese addressing terms such as Nyai, Ndoro, Kowe, Gus, Mas, and Man that were used in particular occasions or refer to particular people. Similar to Javanese addressing terms, Dutch addressing terms are only used for certain people. Juffrouw, Mevrouw, Meneer, and Meester are Ducth addressing terms that only used to call Dutch people. There are three patterns in translating addressing terms. In the first pattern, the translator used denotative equivalence which only focused on the meaning of the terms. Machali (2000) stated that as a method, literal translation considers as the most important translation procedure because the basic of literal translation is in clause or sentence level. However, translating addressing terms include and reflect the culture of the society because the addressing terms that were used by the characters determine their background whether their status or ethnicity. Even the words in source text have the same denotation with target text, they do not always have the same connotation. The translator used two different procedures in translating the addressing terms for the first pattern. The first procedure is lexical translation which is used to translate Tuanmuda, Tuan, Papa, Ayah, Ayahanda, Sahaya, Aku, Kowe, and Nak. Some of the terms are not appropriate because there is the difference of interpersonal perspective. The second procedure is adaptation. The translator attempted to make the addressing terms familiar in target text. The terms Juffrouw, Mevrouw, Meneer, Ndoro, and Noni are special concepts that were used in Dutch colonial era. The translation text could be understood by the reader of the target text, but the reader can not catch the essence that those terms are particular addressing terms for certain groups. So, even the words of source text have denotative equivalence in target text, but they are not suitable for the context of source text. In the second pattern, the translator did not change the addressing terms because the terms, Noni, Nyai, Ndoro, Gus, Sinyo, and Mas are special concept of source text that do not have any equivalence word in target text. The translator used annotation to translate because he persisted to use the original terms and gave glossary to explain the meaning of the term. The writer noticed that the translator is understand that the addressing terms have important role to distinguish the identity of the characters, but he only highlighted Javanese addressing terms. The concept of thing in Dutch and English are almost similar because they are in the same language family. So, the translator was easy to find out the lexical equivalence from Ducth terms to English terms. However, the concept of some words such as Noni, Sinyo, and Nyai are especially used in colonial era, so it is difficult to find out the equivalence in target text. Ndoro, Gus, and Mas are terms from Javanese culture who really emphasis in status and familiarity while English only differ for formal or informal situation. Unfortunately, the translator used inconsistent translation procedures for one term. For instance, the term Noni is translated as Miss by using lexical translation and the translator also used annotation in other text so that he did not change the addressing terms. These conditions would make the reader confuse and would make wrong interpretation that Miss and Noni are different. The last pattern showed that the translator change the form of the addressing terms. The translator used free style translation. The translator missed to understand the language system of source text and target text because he translated Nyai-Nyai as Nyais and Tuan-Tuan as Tuans. Nyai and Tuan are not English term, so the plural form of Nyai and Tuan are not necessarily Nyais or Tuans because it is unclear whether Nyai and Tuan are countable or uncountable noun. Accountability concept is universal concept that can be understood by all people and can be expressed through lexical structure in all language, but not all languages have grammatical category for number and not all languages apply the same concept for number. The second analysis is relation between power and solidarity toward the addressing using T and V because in previous part, there are many translations of addressing term that are not appropriate to the context of the novel. The ways of people in choosing the addressing terms are really related to the culture that exist in their society. The culture of society consists of everything that everybody has to know or believe in order to operate manner that acceptable for its member. In Javanese society, especially in the past, the kingdom applied feudal system. This system force lower class people to respect much to people who have more power. Gilman (1960; 252) defined Power as a relationship between at least two persons and it is nonreciprocal because both can not have the same authority. There are many forms of power such as physical strength, wealth, age, sex, institutionalized role in the state, the army, or within the family. The relations called older than, richer than, stronger than, employer of, richer than and nobler then are all asymmetrical. If A is older than B, B is not older than A. The relation called "more powerful than". The pronoun usage expressing this power relation is also asymmetrical or nonreciprocal, with the greater receiving V and the lesser T. Pronoun form of T and V were used by some European countries to differ between 'singular you' tu (T) and 'plural you' vos (V). Now, T and V are used as symbols; the T form is often described as the familiar form and the V form as the polite one. The superior will say T to the inferior and receives V, and vice versa. T and V approach also could be used to indicate solidarity. The T form is usually used by people who stand in the same position. It reflects symmetrical relation; for instance: attended the same school or have the same parents or practice in the same profession. The T of solidarity can be produced by frequency of contact as well as by objective similarities. The dimension of solidarity is potentially appropriate to all persons addressed. Power superiors may be solidarity (parents, elder siblings) or not solidarity (officials whom one seldom sees). Reciprocal T usage was always available to show intimacy. The following part would discuss the power of characters and its influence among the other characters and the writer used T and V form to analyze them. To sum up the relation of power and solidarity through the addressing term that were chosen by the characters in Bumi Manusia, the writer summarized them into a table. The table would illustrate the addressing terms, the interlocutors, the relation between interlocutors, and the function of the addressing terms. Table 2 The T and V form of Addressing Terms in Bumi Manusia No Addressing Term Interlocutor Relation Function 1 Juffrouw Java – Dutch Dutch- Indo nonreciprocal nonreciprocal Respecting respecting 2 Noni Java – Indo nonreciprocal Respecting 3 Mevrouw Java – Dutch Dutch -Dutch Indo – Indo nonreciprocal reciprocal reciprocal Respecting showing intimacy respecting 4 Nyai Java – Java Dutch - Java reciprocal nonreciprocal Respecting respecting 5 Tuanmuda Dutch – Java Java - Java nonreciprocal nonreciprocal Respecting respecting 6 Tuan Java - Java Java – Dutch nonreciprocal nonreciprocal Respecting respecting 7 Ndoro Java – Dutch Java – Java nonreciprocal nonreciprocal Respecting respecting 8 Meneer Java – Dutch nonreciprocal Respecting 9 Mama Ann – Nyai Minke – Nyai nonreciprocal nonreciprocal showing intimacy showing intimacy 10 Papa Indo – western nonreciprocal showing intimacy 11 Aku Java - Java Java – Dutch reciprocal nonreciprocal showing intimacy showing intimacy 12 Sahaya Java – Java nonreciprocal showing intimacy 13 Kowe Dutch – Java nonreciprocal Disrespecting 14 Nak Java – Java nonreciprocal showing intimacy 15 Gus Java – Java nonreciprocal showing intimacy 16 Sinyo Java –Indo Java – Java nonreciprocal nonreciprocal Respecting respecting 17 Abang Indo - Indo Java – Java nonreciprocal nonreciprocal Respecting showing intimacy 18 Mas Indo – Java reciprocal showing intimacy 19 Man Dutch – Java nonreciprocal Disrespecting 20 Mr (Meester) Java – Dutch nonreciprocal Respecting The table above shows that there are three functions of addressing terms, respecting, disrespecting, and showing intimacy. From the data above, the relations of the interlocutors are mostly nonreciprocal, so it shows that social status is very important in colonial era because the nonreciprocal relations illustrate the difference power between addressor and addressee. In many nonreciprocal cases, the higher social status will get V form from the addressors to show their respect and say T form because they are not stand in the same position as the addressee. Except respecting, nonreciprocal relation is also used to show disrespect. The addressing terms that are used to disregard are especially designed for lower class by upper class or have bad connotation. In contrast, to show intimacy, the relations of the interlocutors are sometimes reciprocal or nonreciprocal. The dimension of solidarity is little bit different from power, because even the interlocutors are not stand in the same position they can use intimate addressing terms because their relations are close. DISCUSSION After analyzing the translation of addressing terms from the source text to target text, now the writer discusses the result of the analysis. Comparison of Original and Translation The research compares the field, tenor, and mode of Bumi Manusia and This Earth of Mankind. The concept of field, tenor, and mode are sociolinguistic dimensions of context of situation jointly characterizing a particular register. House (2009; 33) stated that the original and its translation should have an equivalent function whenever possible. He also said that text and context of situation are indeed separated, but the two interact with each other through inextricable connection between the social environment and the functional organization of language. Before analyzing the register, it is needed to analyze the genre first. House (2009; 35) explained that genre connect an individual text with the larger cultural context of the linguistic and cultural community in which the text is embedded. The genre of Bumi Manusia is historical fiction but it is based on the reality. It included to historical story because the setting illustrated the situation of Indonesia in the late of nineteenth century. The author used particular time and places that make the story as if it was real. The story happened in 1890's, when the national movement had been begun by native to fight against colonizer through non-violence way. Field The first dimension of register is field. Holmes (2009; 34) explained that field captures the subject matter or topic. It describes what the text is about and what kinds of thing are in text. The text was about Minke's life. It describe Minke's journey who is a naïve boy at first to be a mature person. In that process, Minke should face many problems dealing not only with himself but also his society and the colonizer. The complexities of Minke's problem include the conflict of social judgments, hierarchy system, and racial conflict. The description of this story is not so much as historical text but an attractive, easily readable story. Evidence for this is the use of Malay language in telling the story rather than Javanese or Dutch. Malay was language of interracial communication which was used by many people weather Native or Eurasian. However, there were many terms that are not Malay, but they were only used as addressing term. The choice of particular addressing term in Bumi Manusia shows the style of speaking and the purpose of the speaker, indeed the social status. Mevrouw, Juffrouw, Meester, and Meneer are some addressing terms that were borrowed from Dutch language, while Mas, Ndoro, Gus, Mas and Man are some addressing terms that were borrowed from Javanese language. The used of various addressing terms has function as the mark of power and solidarity. As seen in table 4.1.3 (see page 102) there are three functions of addressing terms, respecting, disrespecting, and showing intimacy. From that data, the relations of the interlocutors are mostly nonreciprocal, so it shows that social status is very important in colonial era because the nonreciprocal relations illustrate the difference power between addressor and addressee. The feudal and colonial system forced people to respect everyone who have more power. Geertz (1960: 282) explained that it is nearly impossible for language that applied etiquette system to say anything without indicating the social relationship between the speaker and the listener in terms of status and familiarity. In many nonreciprocal cases, the higher social status will get V form from the addressors to show their respect and say T form because they are not stand in the same position as the addressee. Juffrouw, Noni, Mevrouw, Nyai, Tuanmuda, Tuan, Ndoro, Menner, Sahaya, Sinyo, Abang, and Meester are addressing terms to show respect. The translation appears to be generally and decrease its local color because the absence of Dutch addressing terms as the marker of Dutch colonial. Even the translation of Dutch addressing terms have the same function to respect the addressee, the translation can not replace the emotion and the feeling of the original. Except respecting, nonreciprocal relation is also used to show disrespect. The addressing terms that are used to disregard are especially designed for lower class by upper class or have bad connotation. For instance, Kowe is addressing term that was used by Dutch people to express disrespect toward Javanese. The translation of Kowe, you, can not express the same function as the original because this term is neutral addressing term. In contrast, to show intimacy, the relations of the interlocutors are sometimes reciprocal or nonreciprocal. The dimension of solidarity is little bit different from power. Even the interlocutors were not stand in the same position they can use intimate addressing terms because their relations are close. In Bumi Manusia, the relations of the people who used intimate addressing terms such as Mama, Papa, Gus, Abang, and Nak were nonreciprocal. Gus, Abang and Nak were used by older people to younger people. In Javanese, age is one of the main distinctions of nonreciprocal relation. The older people do not need to use polite form, but in this case Gus, Abang and Nak are polite addressing term that indicated close relationship between older and younger people. The translation of Abang (your friend) and Nak (child) can not full fill the same function as the intimate sign like the original did. Tenor House (2009; 34) stated that tenor refers to the nature of the participants, the author and his or her addressee, the relationship between them in terms of social power and familiarity, the author's intellectual and affective position, that is, his or her personal viewpoint. The author was an Indonesian author of novels, short stories, essays, polemic and histories of his homeland and its people. The author seemed to be very aware of the conditions of his story. He attempted to create colonial atmosphere as same as the reality. The choice of the addressing terms included Dutch, Malay, and Javanese was the evident. By differing the addressing terms based on the ethnicity and social status, the author would like to inform the reader the 'reality' in the past. He wanted to show that there were social distance between poor and rich, also Javanese as the colony and Dutch as the colonizer. He persisted to use Dutch addressing terms rather than change it into Malay to create colonial atmosphere because at that time Dutch people make their language as exclusive language. The translator also tried to create colonial atmosphere by using Java and Malay addressing term that do not have equivalent in English. However, instead of using Dutch term as the author did, the translator change the addressing terms into English. Dutch and English are still in the same language family, so there are many terms of English and Dutch that have the same meaning. Mevrouw, Juffrouw, Meneer, and Meester are Dutch terms. Except Meester, they are denotatively equivalent. Mevrouw could be translated as Mrs, Juffrouw as Miss, and Meneer as Mr. They have the same referents in the real world, so it makes them denotatively equivalents. Although, the translator failed to capture that Dutch addressing term has special function as imperial impression. Ashcroft (2002; 7) stated that one of main features of imperial oppression is control over language. Dutch people, at that time, not only controlled for social, politic, and economic aspects but also controlled the language. They limit the used of their language for themselves and their offspring to marginalize their colonies. The translator did not catch the author's aim that he wanted to show the great distance between Dutch and Javanese people. Instead of giving the Dutch colonial atmosphere, the translator gave mental image of British colonialism because the special terms that implicate Dutch colonialism had been translated in English terms. Based on the table in 4.1 (see page 3), most addressing term translation dealt with cultural context. This problem arose because the translation and the original can not make the same psychological understanding for the readers. In addition, the translator used inconsistent term in his translations that primarily make the reader confused. Mode House (2009; 34) defined Mode as a channel of communication. Equivalence in dimension of mode relates to the means whereby the communication is performed. In Bumi Manusia, there were some addressing terms that have different meaning than the lexical meaning because of the feeling of the speaker. Kowe actually is common addressing terms in Javanese society to address someone who is younger or have closed relation, but when it is used by Dutch people the function is changed from showing intimacy become disrespecting. When the Dutch people used Kowe in Bumi Manusia novel, the character always used it in high tension. However, the reader will not catch that Kowe has negative connotation directly because the translation term, you, is neutral addressing terms. The communication purpose of the term Kowe cannot easily catch. So, the irritation of the character could not be understood by the reader. As seen from the mode, field, and tenor analyses above, it show that the original and the translation are not equivalence. The genre of the translation in translating addressing term is not so much as the original because some translation of the addressing terms can not reveal the atmosphere of Dutch colonial that become the main point in this equivalence problem. Equivalence Problem in Translating Addressing Terms in Bumi Manusia The analysis of register categories above clearly showed that the original and translation are not equal. Equivalence of source text and target has limited area because not all of the equivalence approaches can achieved all translation cases. The main factor that made the addressing in source text do not have suitable equivalence in target text is the special concept of Dutch colonial and Javanese culture. Nababan (1999: 99) said that the concept of source text can reveal a concept that is not well known in the target text. Some addressing terms from source text that has special concept are difficult to have their equivalence in target text because of the cultural concept of addressing term from Dutch and Javanese like Juffrouw, Noni, Mevrouw, Nyai, Ndoro, Meneer, Gus, Sinyo, Mas, Man, and Meester. Those terms can not easily be transferred to target text because those terms are created by certain condition in particular communities. Some of those terms, Juffrouw, Noni, Mevrouw, Ndoro, and Meneer have the same denotation with the translation term, but the original and translation addressing term have different connotation that make them share different interpretation. The special concept that can not be replaced in target text lead to others related problem. The special concept of particular culture make the language concept of source text is not available in target text. Nababan (1999: 99) explained that the words of source text could be understand and recognized in target text but the target text does not have a term that can reveal the concept from source text. In this case, the term Sahaya and Kowe in source text have different concept from Aku and Kau. The target text do not differ the first and second singular pronoun that make the translation of Sahaya and Kowe have different function from source text. Even the concept of Sahaya and Kowe could be understand in the target text, but the term that have the same meaning and connotation with those term are not available. So, the translator used 'I' and 'you' in a pinch to replace Sahaya and Kowe even 'I' and 'you' also used to translate Aku and Kau. The complexities of Javanese community that apply speech level also direct the translation to the equivalence problem because it makes difference of interpersonal perspective. Nababan (1999: 03) argued that interpersonal perspective is related to the relation of the participants in a text. In a language that really concern to etiquette like Javanese, Geertz stated that it is impossible to address someone without pay attention to the status of the addressee. Etiquette system force the people to create different term for one concept, so the participant can easily choose the right term to address someone that suitable for both the addressor and the addressee. For instance, in Bumi Manusia there are three different addressing terms to call male parent, Papa, Ayah and Ayahanda. The use of those addressing term could reflect the social status of the addressor and the addressee. Papa is used in western family who live Dutch East Indies, Ayah is used in middle-low family, while Ayahanda is used in Javanese aristocrat family. This difference of Papa, Ayah and Ayahanda can not be seen in the translation because the translator translated them as 'father'. The other problem of equivalence that appears because of the particular culture of the two languages is the difference of expressive meaning. According to Nababan (1999: 103) the words in source text and target text have the same proportional meaning but often they are different in expressive meaning. There are many addressing terms that have the same proportional meaning but they are different in expressive meaning because Malay terms differentiate the addressing terms based on the relationship and the social status. The term Nak has the same proportional meaning with child, but they are used in different intention. Nak is for showing intimacy but child dispose to create formal atmosphere rather than familiarity. Both terms have the same proportional meaning but they express different purpose and connotation. The different perspective toward a concept will also lead the translation to equivalence problem (Nababan, 1999: 101). Furthermore, it is also the effect of special concept in source text. The term Man in Javanese context at that time was used to address Javanese adult male from middle-low status. In the translation text, the term Man translated as man because English does not distinguish the term man for rich or poor people. In the other hand, the translator also missed to capture the perspective of the character in choosing particular term when he translated Abang. The proportional meaning of Abang is addressing term to call elder brother but it could be used to call man or boy who is elder than the addressee. The translator translated Abangmu as your friend but from Nyai Ontosoroh's point of view, she used Abangmu to make Annelies felt comfort and consider Minke as her own son. Changing the term Abangmu as your friend would lead the reader to different understanding because it seems that Nyai Ontosoroh treat Minke as only her guest. The other factor except special concept of Dutch colonial and Javanese culture is the difference in grammatical system. Nababan (1999; 108) stated that grammatical equivalence focuses to the similar concept of source text and target text at the level of number, gender, person, tense, and aspect. In translating the addressing term, the problem appeared when source language and target language have different grammatical system. The term Nyai-Nyai became Nyais or Tuan-Tuan became Tuans is not equivalence because both term are Malay term. Malay and English apply different method to change the singular concept to be plural. The translator used free style translation and he missed to understand the language system of source text and target text because he translated Nyai-Nyai as Nyais and Tuan-Tuan as Tuans. Nyai and Tuan are not English term, so the plural form of Nyai and Tuan are not necessarily Nyais or Tuans because it is unclear whether Nyai and Tuan are countable or uncountable noun. Accountability concept is universal concept that can be understood by all people and can be expressed through lexical structure in all language, but not all languages have grammatical category for number and not all languages apply the same concept for number. Therefore, the translator should observe carefully whether one concept of a language could be applied to another language or not. The reader of the target text would feel unfamiliar because in some text, the translator used Nyai and Tuan for singular form, but after that those terms became Nyais and Tuans, whereas the reader could have another understanding rather than think that those terms are plural form because they never know the terms Nyais and Tuans before. Double Perspective in Translating Bumi Manusia Constructing the effective translation is one of the purposes of translation. Nababan (1999:88) stated that there are two main factors that determine the effectiveness of the translation. The first is dimension of linguistic and knowledge. Straight (as quoted in Nababan, 1999) said that fruitfulness in conveying the message depends on the knowledge about the context of culture and the language system of source language and target language. In this case, the translator failed to capture that addressing term play important role because it reflects etiquette culture of Javanese and Dutch colonial culture in Dutch East Indies. The second factor is purpose dimension. Nababan (1999, 87) stated that the translator should decide the purpose of the translation. Further, he explained that the purpose should meet this criteria; fruitful to the original, use translation style that appropriate to source text, use suitable equivalence, and the readability level of translation fitted to the source text. However, the analysis in the previous part show that the translation of addressing terms dealt with many equivalence problems and shared different function and connotation from the original that make the translation become unreadable and confusing for the reader. Both dimensions above can not be reached by the translator because he used more than one perspective in translating the addressing terms. Before translating a text, a translator had to analyze the source text to understand the content of the text. Then, the translator chose the approach that is suitable for source text. From the data in the table in 4.1 (see page 3), the writer found some addressing terms that have many equivalent problems. The translator may use more than one procedure in translating addressing terms because the procedure of translation is for sentences or smaller linguistics units as clause, phrase, word, etc. However, before determining the procedure, the translator should choose the perspective or method that he wants to apply in translating the source text. The method that the translator used will be a framework that guides the translator to translate the text in a line. The writer noticed that the translator used double perspectives that make his translation contradictory. In translating addressing terms such as Noni, Ndoro, Nyai, Tuan, Tuanmuda, Papa, Gus, Sinyo, and Mas, the translator used perspective that was focus on the original text. House (2009: 15) explained that a focus on the (original) texts mean analyzing it, and systematically linking its form and functions in order to reveal the original author's motivated choices. The translator considered the reason of the author in choosing addressing terms and tried to find out the closest equivalence in target text, even for some addressing terms do not have any equivalence that make the translator insisted to use the original term. In contrast, the translator also used perspective that focus on the process of interpretation. House (2009: 20) defined this perspective as the translator way to builds up an individual mental representation of its meaning. House added that the reconstitution of the 'the meaning' of a text to fit another language and context is not the central point. It is dealing more with the invention of the translator then discovery of what is already exist in a text. Therefore, when the translator used this perspective to translate some addressing terms such as Juffrouw, Noni, Mevrouw, Nyai-Nyai, Tuan-Tuan, Nak, Abang, Man, etc the translation become very different from the context in source text. This perspective also leads the translator to make confusing translation because the translation for one term becomes inconsistent. Moreover some addressing terms have different meaning and connotation from the source text. In translating a text, translator should use only one perspective to make the synchronized translation. Double translation would lead the translator to different way in translating addressing term because one perspective deal with different point of view to another perspective. In Bumi Manusia case, it is much better for the translator to only apply the perspective that focus on the source text since the background of the original can not be easily transferred to target text. Moreover, if the translator was consistent to use one perspective, he would not make ambiguity translation. By understanding the whole context of the story that include ecology, technology, material culture, social organization, myth, and linguistic system of source text, the translator would have better perceptive to make good translation that fruitful to the original but it is still readable for the target reader. CONCLUSION This study is conducted to describe how the phenomenon of translating addressing terms is rolled out in BumiManusia and This Earth of Mankind. The conclusion of this study is formulated based on the statement of problems. Some translation theory based on several authors (House; 2009; Machali 2000; and Nababan; 1999): translation perspective, equivalence in translation, equivalence problem, and register categories of field, mode, and tenor are combined to the theory of addressing term (Wardaugh; 2006), pronouns of power and solidarity (Brown and Gilman; 1960) and lexical relation (Kreidler; 1998) to identify how the translator translated the addressing terms and the relation of the addressing terms toward the cultural context. Then, the writer comes to a conclusion that: The T and V approach also showed that power and solidarity become the main consideration for the characters in choosing addressing terms, so that the characters used different addressing terms depend on the status of the addressee and the relation among the characters. The translator used three patterns in translating addressing terms. In the first pattern, the translator used literal translation to translate Juffrouw, Noni, Mevrouw, Tuanmuda, Tuan, Ndoro, Meener, Papa, Ayah, Ayahanda, Sahaya, Aku, Kowe, and Nak. In second pattern, the translator used original terms, Noni, Nyai, Ndoro, Gus, Sinyo, and Mas in the target text. The last pattern is changing the addressing terms such as Nyai-Nyai, Tuan, Sahaya, Abang, Man, and Meester since the adaptation of target text. From the patterns above, it was found that the translator was inconsistent to translate some addressing terms because he translated one term used some different procedure that make the meaning of the addressing terms contradictory. Also he did not pay attention to the culture and the context that involve in addressing terms so he only did linguistic translation without concerning to the cultural influences. The main factor that lead untranslatability of translating Bumi Manusia's addressing terms is special concept of Javanese culture and Dutch colonial system that make the addressing terms can not be easily transferred to target. The difference of grammatical system of source language and target language also lead the translator to get difficulties in finding suitable equivalence for the addressing terms. Therefore the translator used double perspective to solve the equivalence problems. As a result double perspective that was expected to solve the problem instead made a larger problem because the translation of addressing terms become untranslatability and unreadable. SUGGESTION Addressing terms is general phenomenon which occurs in daily life. But, the analysis of translating addressing terms is still rarely discussed whereas linguistics and its branches is basically concerning with the use of language. From this study, the future researchers are suggested to be more interested in enlarging their knowledge dealing with applied linguistics, especially translating addressing terms which concerns with how translating addressing terms based on cultural context. Equally important, it is suggested for the readers to pay attention in choosing addressing terms based on the condition and the status of the addressee because the wrong addressing terms choices will make the addressee feel insulted or annoyed REFERENCES Ananta Toer, Pramoedya. 2011. Bumi Manusia. Jakarta: Lentera Dipantara. Ananta Toer, Pramoedya. 1996. This Earth of Mankind. New York: Penguin books Ltd. Ashcroft, Bill and Griffiths, Gareth. 2002. The Empire Writes Back – Theory and practice in post-colonial literatures. New York and London: Routledge Taylor & Francis Group. Bogdan, Robert. C and Sari Knopp Biklen. 1982. Qualitative Research for Education: an Introduction to Theory and Methods.Allyn and Bacon. Inc. USA Brown, R., Gilman, A. 1960. The pronouns of Power and Solidarity. Thomas A. Sebeok, eds. Style in Language. Cambridge-Massachusetts: The Technology Press of Massachusetts Institute of Technology, 252-275. Geertz, Clifford. 1960. Linguistic Etiquette. Thomas A. Sebeok, eds. Style in Language. Cambridge-Massachusetts: The Technology Press of Massachusetts Institute of Technology, 282-295 Holmes, Janet. 1992. An Inroduction to Sociolinguistics. London and New York: Longman Group. Hornby, A. S. (Ed.) 1948. Advanced Learner's Dictionary (7th ed.). Oxford: Oxford University Press. House, Juliane. 2009. Translation. Oxford: Oxford University Press. Machali, R. .2000. Pedoman Bagi Penerjemah. Jakarta: Grasindo. Nababan, R. 1999. Teori Menerjemah Bahasa Inggris. Yogyakarta: PustakaPelajar Pramoedya Ananta Toer. Retrieved on June 25, 2013 from site: http://en.wikipedia.org/wiki/Pramoedya_Ananta_Toer Rothschild, Metthew. Interview with Pramoedya Ananta Toer. The Progressive Magazine. Retrieved on June 26, 2013 from site: http://www.progressive.org/mag_intv1099 Sugiyono. 2010. MetodePenelitianKuantitatif R & D. Bandung: Alfabeta. Wardhaugh, Ronald. 2006. An Introduction to Sociolinguistic.Oxford: Blackwell Publishing Widyastuti, Susana. Componential Analysis of Meaning: Theory and Applications. Online journal. Retrieved on June 25, 2013 from site: http://eprints.uny.ac.id/1174 W. Kreidler, Charles. 1998. Introducing English Semantic. London: Routledge.
AN ANALYSIS OF TRANSLATING THE ADDRESSING TERMS IN PRAMOEDYA ANANTA TOER'S THIS EARTH OF MANKIND Azimatul Fauziah English Literature, Faculty of Languages and Arts, State University of Surabaya azimatul13@gmail.com Dian Rivia Himmawati, SS, M.Hum. English Language and Literature Department, Faculty of Languages and Arts, State University of Surabaya dianrivia@gmail.com ABSTRAK Studi ini focus pada penerjemahan sapaan dalam Bumi Manusia sebagai bahasa sumber dan This Earth of Mankind sebagai bahasa sasaran. Penelitian ini bertujuan untuk mengetahui pengaruh dari kekuasaan dan solidaritas dalam penerjemahan sapaan dan mengetahui faktor yang menyebabkan ketakterjemahan dalam menerjemahkan sapaan. Metode deskriptif kualitatif, teori penerjemahan (House; 2009), hubungan antar kata , kata ganti orang yang memiliki kekuasaan dan solidaritas (Brown and Gilman; 1960), dan register kategori Halliday digunakan untuk menganalisa data. Hasil analisa menunjukan bahwa ada tiga macam sapaan di This Earth of Mankind, sapaan dalam bahasa Belanda, Melayu, dan Jawa. Beberapa sapaan dari bahasa yang berbeda memiliki makna yang sepadan dan penerjemah menerjemahkannya dengan istilah yang sama dengan menggunakan 'denotative equivalence' dan pragmatic equivalence. Penerjemah gagal memahami bahwa penulis membedakan sapaan untuk penjajah dan jajahan, keluarga bangsawan dan masyarakat umum, hubungan formal dan keakraban. Masalah penerjemahan sapaan terjadi ketika sapaan tersebut memiliki konsep khusus yang berhubungan dengan budaya tertentu namun tidak memiliki istilah padanan dalam bahasa sasaran dan karena sistem tatabahasa yang berbeda. Oleh karena itu, penerjemah menggunakan dua pandangan yang berbeda untuk menerjemahkan sapaan. pandangan yang pertama terpusat pada bahasa sumber sedangkan pandangan yang kedua terpusat pada proses penafsiran penerjemah. Hal tersebut membuat terjemahan menjadi sangat berbeda jika dilihat dari mode (cara), field (bidang), dan tenor (tujuan). Kata Kunci: penerjemahan, sapaan, padanan, budaya, kekuasaan ABSTRACT This study focuses on the translation of addressing term in Bumi Manusia as source text and This Earth of Mankind as target text. The purpose of this study is to find out the influence of power and solidarity in translating the addressing terms and find out the factors of untranslatability in translating addressing term. Descriptive qualitative method, translation theory (House; 2009), lexical relation (Kreidler; 1998), pronoun of power and solidarity (Brown and Gilman; 1960), and Hallidayan register categories are applied to analyze the data. The result show that there are three kinds of addressing terms in This Earth of Mankind, Dutch addressing term, Malay addressing term, and Javanese addressing term. Some addressing terms from different language have the same proportional meaning and the translator translated them as the same term and the translator used denotative equivalence and pragmatic equivalence. The translator failed to catch that the author differ the addressing term to show the difference between colonize and colonizer, aristocrat family and common people, intimacy relation and formal relation. The problem of translating addressing terms appeared when the special concept of addressing term related to particular culture do not have any equivalence term in target text and the different of grammatical system. Therefore, it makes the translator use double perspective in translating the addressing term. The first focuses on the source text while the other focus on the process of interpretation by the translator. It made the result of the translation become really different from the original seen from register categories: mode, field, and tenor. Keywords: translation, addressing term, equivalence, culture, dan power INTRODUCTION Bumi Manusia is one of the greatest works of Pramoedya Ananta Toer who was frequently discussed as Indonesia's and Southeast Asia's best candidate for a Nobel Prize in Literature. Terms of addressee plays important role in Bumi Manusia because it indicates the social status of someone. There are three kinds of addressing terms based on ethnicity in this novel. They are Dutch addressing term, Malay addressing term, and Javanese addressing term. Oyetade (as quoted in Chu-Cing Hsu; 2) defines terms of addresseeas words or linguistic expression which speakers use to designate the person being talked to while talk is in progress or which writers use to address the recipient in written communication. Moreover, Braun (1988:7) explains that the actual use and the function of addressing terms depands on the stucture of language, on the speaker's intention and on the address relationship between two interlocutors, as well as on the occasion of the occurrence. Juliane House (2009: 4) defined translation as a process of replacing a text in one language by text in another language. He also explained that translating is not only a linguistic act but it is also an act of communication across culture. Translating terms of addressee from Indonesian into English is not easy because they have different pronominal form. In translating addressing term, the translator should notice on the detail. Words can only be understood when it is considered together with the cultural context. So, in translating addressing term, it is not only replacing the word to another language but creating the same meaning and atmosphere as similar as the original text. Moreover, the addressing terms in Bumi Manusia are closely related to power. Braun and Gilman defined Power as ability to control behavior over another. They also said that power is a relationship between at least two persons, and it is nonreciprocal in the sense that both can not have the same power in the same area of behavior (1960: 254). People who have power will be addressed differently from common people. Power is associated with high social status and it reflects respect and honor. So, people from high social status will be addressed in polite way to show a great reverence. To translate a text as similar as the source text, it is needed to see whether the source text is equivalent to target text or not. House defined equivalence as how similarity of message or function is interpreted (2009: 29). There are many types of equivalence and it depends on the perspective that the translator used. It is possible to use denotative equivalence that use 'real world' referents to which the text relates. Also, the translator could use other equivalence such as pragmatic equivalence which focuses to fulfill its communicative function for the recipients. This study tries to discuss the factors of untranslatability in translating addressing term. There are two research questions for this study, (1) How does the translator translate the Indonesian addressing terms in Toer's Bumi Manusia into English version, This Earth of Mankind? (2) What is the influence of power and solidarity toward the choices of addressing terms in Toer's Bumi Manusia? This study tries to describe about the method of the translator in translating addressing term and know the influence of power and solidarity in translating the addressing term. This study only focuses on translating the addressing terms that have any equivalence problems in their translation and do not pay attention to grammar or another linguistic aspect. This study tries to describe about the process of young learner with visual learning style acquire language and know the relationships between personality and learning style. This study is not only focusing in linguistics but also covering learning activities and psychology area but it is not for learning strategy. Several theories are becoming main cores of this study, such as translation theory of House, lexical relation of Kreidler and Brown and Gilman in pronoun of power and solidarity. . RESEARCH METHOD This study uses descriptive-qualitative in getting and describing about the translating addressing terms phenomena in This Earth of Mankind. This study needs to be explained by words not by numbers or statistics, because this study is stressing on translation aspect and its relationship with culture. Bodgan and Biklen (1984:5) defined the qualitative approach as a research procedure which produces a descriptive data such as verbal or nonverbal utterances or words from the object being observed. The data for this study are utterances. There are two sources of data used in this study. Those data are Toer's Bumi Manusia as source text that was written by Pramoedya Ananta Toer and This Earth of Mankind as target text that was translated by Max Lane. Observation is used to analyze this research. Observation includes collection of the data that is needed by the researcher without manipulating. Sugiyono(2010, p. 146) adds that observation is done by the researcher about what the researcher wants to observe in the research. To observe this research, internet access and taking a note are needed by the researcher as the basic instrument. There were three steps to analyze the data. They were data reduction, data display and conclusion and verification. The researcher sorted the data by choosing the addressing terms that had problem with equivalence. Then, she displayed the data in table. Conclusion and verification became the last step of the data analysis process. In this case, the data had been displayed and discussed before were concluded. The conclusion was the answer of the problems existing supported by some theories related (Sugiyono, 2010, p. 345). To answer the first question, the researcher used lexical relation of Kreidler in his book introducing English semantic and translation theory by Machali. Then, in answering the research question number two, the researcher used pronoun of power and solidarity by Brown and Gilman, translation theory by Nababan and House, then collaborate with Hallidayan register categories of field, mode and tenor. ANNALYSIS AND DISCUSSION There are two analyses in this section. The first is the analysis of the method that was used by translator to translate addressing terms. The second is the analysis of relation between power and solidarity toward the addressing terms. In translating terms of addressees, the translator should find the equivalence between the source text and the target text. House (2009: 29) defines equivalence as a similar message and fulfills a similar function. The writer noticed that the translator use some different patterns. The first pattern, the translator tried to find out the literal or denotative equivalence which use 'real world' as referents for source text to target text. The second pattern, the translator used the original addressing terms from the source text and provided glossary for informing the meaning of the addressing terms in the end of the novel. The last, the translator changed the addressing terms to different addressing terms as the adaptation to the context of target language. After analyzing the method that was used by translator to translate addressing terms, the research used the following table to sum up the result: Table 1 The Comparison of Addressing Terms in Bumi Manusia and This Earth of Mankind No Original Translation Procedure Problem 1. Juffrouw Miss Literal translation Different in context 2. Noni Miss Literal translation Different in context 3. Noni Noni Annotation Inconsistent 4. Mevrouw Mrs/Madam/ Ma'am Literal translation Different in context 5. Mevrouw Miss Free translation Different in meaning 6. Tuanmuda Young master Literal translation Different in context 7. Tuanmuda Master Literal translation Inconsistent 8. Tuan Sir/Mr. Literal translation Different in context 9. Tuan Tuan Annotation Inconsistent 10. Tuan You/he Free translation Different in function 11. Tuan-tuan Tuans Free translation Different in meaning 12. Ndoro Master Literal translation Different in context 13. Ndoro Ndoro Annotation Inconsistent 14. Sahaya I Literal translation Different in context 15. Sahaya Your servant Free translation Different in meaning 16. Meneer Mr. Literal translation Different in context 17. Papa Father Literal translation Different in context 18 Kowe You Literal translation Different in context 19. Nak Child Literal translation Different in context 20. Nyai Nyai Annotation - 21. Nyai-nyai Nyais Free translation Different in meaning 22. Gus Gus Annotation - 23. Sinyo Sinyo Annotation - 24. Mas Mas Annotation - 25. Abang Your friend Free translation Different in meaning 26. Man Man Free translation Different in context 27. Mr Mr. Free translation Different in meaning As shown from the table above, Malay dominated the addressing terms because Malay is neutral language that can be used by Javanese and Dutch in their daily conversations. Noni, Tuanmuda, Tuan, Ayah, Ayahanda, Sahaya, Nak, Sinyo, and Abang are addressing terms that belong to Malay addressing terms. These terms are more common because Malay is widely used in all Dutch East Indies. In the other hand, there were some Javanese addressing terms such as Nyai, Ndoro, Kowe, Gus, Mas, and Man that were used in particular occasions or refer to particular people. Similar to Javanese addressing terms, Dutch addressing terms are only used for certain people. Juffrouw, Mevrouw, Meneer, and Meester are Ducth addressing terms that only used to call Dutch people. There are three patterns in translating addressing terms. In the first pattern, the translator used denotative equivalence which only focused on the meaning of the terms. Machali (2000) stated that as a method, literal translation considers as the most important translation procedure because the basic of literal translation is in clause or sentence level. However, translating addressing terms include and reflect the culture of the society because the addressing terms that were used by the characters determine their background whether their status or ethnicity. Even the words in source text have the same denotation with target text, they do not always have the same connotation. The translator used two different procedures in translating the addressing terms for the first pattern. The first procedure is lexical translation which is used to translate Tuanmuda, Tuan, Papa, Ayah, Ayahanda, Sahaya, Aku, Kowe, and Nak. Some of the terms are not appropriate because there is the difference of interpersonal perspective. The second procedure is adaptation. The translator attempted to make the addressing terms familiar in target text. The terms Juffrouw, Mevrouw, Meneer, Ndoro, and Noni are special concepts that were used in Dutch colonial era. The translation text could be understood by the reader of the target text, but the reader can not catch the essence that those terms are particular addressing terms for certain groups. So, even the words of source text have denotative equivalence in target text, but they are not suitable for the context of source text. In the second pattern, the translator did not change the addressing terms because the terms, Noni, Nyai, Ndoro, Gus, Sinyo, and Mas are special concept of source text that do not have any equivalence word in target text. The translator used annotation to translate because he persisted to use the original terms and gave glossary to explain the meaning of the term. The writer noticed that the translator is understand that the addressing terms have important role to distinguish the identity of the characters, but he only highlighted Javanese addressing terms. The concept of thing in Dutch and English are almost similar because they are in the same language family. So, the translator was easy to find out the lexical equivalence from Ducth terms to English terms. However, the concept of some words such as Noni, Sinyo, and Nyai are especially used in colonial era, so it is difficult to find out the equivalence in target text. Ndoro, Gus, and Mas are terms from Javanese culture who really emphasis in status and familiarity while English only differ for formal or informal situation. Unfortunately, the translator used inconsistent translation procedures for one term. For instance, the term Noni is translated as Miss by using lexical translation and the translator also used annotation in other text so that he did not change the addressing terms. These conditions would make the reader confuse and would make wrong interpretation that Miss and Noni are different. The last pattern showed that the translator change the form of the addressing terms. The translator used free style translation. The translator missed to understand the language system of source text and target text because he translated Nyai-Nyai as Nyais and Tuan-Tuan as Tuans. Nyai and Tuan are not English term, so the plural form of Nyai and Tuan are not necessarily Nyais or Tuans because it is unclear whether Nyai and Tuan are countable or uncountable noun. Accountability concept is universal concept that can be understood by all people and can be expressed through lexical structure in all language, but not all languages have grammatical category for number and not all languages apply the same concept for number. The second analysis is relation between power and solidarity toward the addressing using T and V because in previous part, there are many translations of addressing term that are not appropriate to the context of the novel. The ways of people in choosing the addressing terms are really related to the culture that exist in their society. The culture of society consists of everything that everybody has to know or believe in order to operate manner that acceptable for its member. In Javanese society, especially in the past, the kingdom applied feudal system. This system force lower class people to respect much to people who have more power. Gilman (1960; 252) defined Power as a relationship between at least two persons and it is nonreciprocal because both can not have the same authority. There are many forms of power such as physical strength, wealth, age, sex, institutionalized role in the state, the army, or within the family. The relations called older than, richer than, stronger than, employer of, richer than and nobler then are all asymmetrical. If A is older than B, B is not older than A. The relation called "more powerful than". The pronoun usage expressing this power relation is also asymmetrical or nonreciprocal, with the greater receiving V and the lesser T. Pronoun form of T and V were used by some European countries to differ between 'singular you' tu (T) and 'plural you' vos (V). Now, T and V are used as symbols; the T form is often described as the familiar form and the V form as the polite one. The superior will say T to the inferior and receives V, and vice versa. T and V approach also could be used to indicate solidarity. The T form is usually used by people who stand in the same position. It reflects symmetrical relation; for instance: attended the same school or have the same parents or practice in the same profession. The T of solidarity can be produced by frequency of contact as well as by objective similarities. The dimension of solidarity is potentially appropriate to all persons addressed. Power superiors may be solidarity (parents, elder siblings) or not solidarity (officials whom one seldom sees). Reciprocal T usage was always available to show intimacy. The following part would discuss the power of characters and its influence among the other characters and the writer used T and V form to analyze them. To sum up the relation of power and solidarity through the addressing term that were chosen by the characters in Bumi Manusia, the writer summarized them into a table. The table would illustrate the addressing terms, the interlocutors, the relation between interlocutors, and the function of the addressing terms. Table 2 The T and V form of Addressing Terms in Bumi Manusia No Addressing Term Interlocutor Relation Function 1 Juffrouw Java – Dutch Dutch- Indo nonreciprocal nonreciprocal Respecting respecting 2 Noni Java – Indo nonreciprocal Respecting 3 Mevrouw Java – Dutch Dutch -Dutch Indo – Indo nonreciprocal reciprocal reciprocal Respecting showing intimacy respecting 4 Nyai Java – Java Dutch - Java reciprocal nonreciprocal Respecting respecting 5 Tuanmuda Dutch – Java Java - Java nonreciprocal nonreciprocal Respecting respecting 6 Tuan Java - Java Java – Dutch nonreciprocal nonreciprocal Respecting respecting 7 Ndoro Java – Dutch Java – Java nonreciprocal nonreciprocal Respecting respecting 8 Meneer Java – Dutch nonreciprocal Respecting 9 Mama Ann – Nyai Minke – Nyai nonreciprocal nonreciprocal showing intimacy showing intimacy 10 Papa Indo – western nonreciprocal showing intimacy 11 Aku Java - Java Java – Dutch reciprocal nonreciprocal showing intimacy showing intimacy 12 Sahaya Java – Java nonreciprocal showing intimacy 13 Kowe Dutch – Java nonreciprocal Disrespecting 14 Nak Java – Java nonreciprocal showing intimacy 15 Gus Java – Java nonreciprocal showing intimacy 16 Sinyo Java –Indo Java – Java nonreciprocal nonreciprocal Respecting respecting 17 Abang Indo - Indo Java – Java nonreciprocal nonreciprocal Respecting showing intimacy 18 Mas Indo – Java reciprocal showing intimacy 19 Man Dutch – Java nonreciprocal Disrespecting 20 Mr (Meester) Java – Dutch nonreciprocal Respecting The table above shows that there are three functions of addressing terms, respecting, disrespecting, and showing intimacy. From the data above, the relations of the interlocutors are mostly nonreciprocal, so it shows that social status is very important in colonial era because the nonreciprocal relations illustrate the difference power between addressor and addressee. In many nonreciprocal cases, the higher social status will get V form from the addressors to show their respect and say T form because they are not stand in the same position as the addressee. Except respecting, nonreciprocal relation is also used to show disrespect. The addressing terms that are used to disregard are especially designed for lower class by upper class or have bad connotation. In contrast, to show intimacy, the relations of the interlocutors are sometimes reciprocal or nonreciprocal. The dimension of solidarity is little bit different from power, because even the interlocutors are not stand in the same position they can use intimate addressing terms because their relations are close. DISCUSSION After analyzing the translation of addressing terms from the source text to target text, now the writer discusses the result of the analysis. Comparison of Original and Translation The research compares the field, tenor, and mode of Bumi Manusia and This Earth of Mankind. The concept of field, tenor, and mode are sociolinguistic dimensions of context of situation jointly characterizing a particular register. House (2009; 33) stated that the original and its translation should have an equivalent function whenever possible. He also said that text and context of situation are indeed separated, but the two interact with each other through inextricable connection between the social environment and the functional organization of language. Before analyzing the register, it is needed to analyze the genre first. House (2009; 35) explained that genre connect an individual text with the larger cultural context of the linguistic and cultural community in which the text is embedded. The genre of Bumi Manusia is historical fiction but it is based on the reality. It included to historical story because the setting illustrated the situation of Indonesia in the late of nineteenth century. The author used particular time and places that make the story as if it was real. The story happened in 1890's, when the national movement had been begun by native to fight against colonizer through non-violence way. Field The first dimension of register is field. Holmes (2009; 34) explained that field captures the subject matter or topic. It describes what the text is about and what kinds of thing are in text. The text was about Minke's life. It describe Minke's journey who is a naïve boy at first to be a mature person. In that process, Minke should face many problems dealing not only with himself but also his society and the colonizer. The complexities of Minke's problem include the conflict of social judgments, hierarchy system, and racial conflict. The description of this story is not so much as historical text but an attractive, easily readable story. Evidence for this is the use of Malay language in telling the story rather than Javanese or Dutch. Malay was language of interracial communication which was used by many people weather Native or Eurasian. However, there were many terms that are not Malay, but they were only used as addressing term. The choice of particular addressing term in Bumi Manusia shows the style of speaking and the purpose of the speaker, indeed the social status. Mevrouw, Juffrouw, Meester, and Meneer are some addressing terms that were borrowed from Dutch language, while Mas, Ndoro, Gus, Mas and Man are some addressing terms that were borrowed from Javanese language. The used of various addressing terms has function as the mark of power and solidarity. As seen in table 4.1.3 (see page 102) there are three functions of addressing terms, respecting, disrespecting, and showing intimacy. From that data, the relations of the interlocutors are mostly nonreciprocal, so it shows that social status is very important in colonial era because the nonreciprocal relations illustrate the difference power between addressor and addressee. The feudal and colonial system forced people to respect everyone who have more power. Geertz (1960: 282) explained that it is nearly impossible for language that applied etiquette system to say anything without indicating the social relationship between the speaker and the listener in terms of status and familiarity. In many nonreciprocal cases, the higher social status will get V form from the addressors to show their respect and say T form because they are not stand in the same position as the addressee. Juffrouw, Noni, Mevrouw, Nyai, Tuanmuda, Tuan, Ndoro, Menner, Sahaya, Sinyo, Abang, and Meester are addressing terms to show respect. The translation appears to be generally and decrease its local color because the absence of Dutch addressing terms as the marker of Dutch colonial. Even the translation of Dutch addressing terms have the same function to respect the addressee, the translation can not replace the emotion and the feeling of the original. Except respecting, nonreciprocal relation is also used to show disrespect. The addressing terms that are used to disregard are especially designed for lower class by upper class or have bad connotation. For instance, Kowe is addressing term that was used by Dutch people to express disrespect toward Javanese. The translation of Kowe, you, can not express the same function as the original because this term is neutral addressing term. In contrast, to show intimacy, the relations of the interlocutors are sometimes reciprocal or nonreciprocal. The dimension of solidarity is little bit different from power. Even the interlocutors were not stand in the same position they can use intimate addressing terms because their relations are close. In Bumi Manusia, the relations of the people who used intimate addressing terms such as Mama, Papa, Gus, Abang, and Nak were nonreciprocal. Gus, Abang and Nak were used by older people to younger people. In Javanese, age is one of the main distinctions of nonreciprocal relation. The older people do not need to use polite form, but in this case Gus, Abang and Nak are polite addressing term that indicated close relationship between older and younger people. The translation of Abang (your friend) and Nak (child) can not full fill the same function as the intimate sign like the original did. Tenor House (2009; 34) stated that tenor refers to the nature of the participants, the author and his or her addressee, the relationship between them in terms of social power and familiarity, the author's intellectual and affective position, that is, his or her personal viewpoint. The author was an Indonesian author of novels, short stories, essays, polemic and histories of his homeland and its people. The author seemed to be very aware of the conditions of his story. He attempted to create colonial atmosphere as same as the reality. The choice of the addressing terms included Dutch, Malay, and Javanese was the evident. By differing the addressing terms based on the ethnicity and social status, the author would like to inform the reader the 'reality' in the past. He wanted to show that there were social distance between poor and rich, also Javanese as the colony and Dutch as the colonizer. He persisted to use Dutch addressing terms rather than change it into Malay to create colonial atmosphere because at that time Dutch people make their language as exclusive language. The translator also tried to create colonial atmosphere by using Java and Malay addressing term that do not have equivalent in English. However, instead of using Dutch term as the author did, the translator change the addressing terms into English. Dutch and English are still in the same language family, so there are many terms of English and Dutch that have the same meaning. Mevrouw, Juffrouw, Meneer, and Meester are Dutch terms. Except Meester, they are denotatively equivalent. Mevrouw could be translated as Mrs, Juffrouw as Miss, and Meneer as Mr. They have the same referents in the real world, so it makes them denotatively equivalents. Although, the translator failed to capture that Dutch addressing term has special function as imperial impression. Ashcroft (2002; 7) stated that one of main features of imperial oppression is control over language. Dutch people, at that time, not only controlled for social, politic, and economic aspects but also controlled the language. They limit the used of their language for themselves and their offspring to marginalize their colonies. The translator did not catch the author's aim that he wanted to show the great distance between Dutch and Javanese people. Instead of giving the Dutch colonial atmosphere, the translator gave mental image of British colonialism because the special terms that implicate Dutch colonialism had been translated in English terms. Based on the table in 4.1 (see page 3), most addressing term translation dealt with cultural context. This problem arose because the translation and the original can not make the same psychological understanding for the readers. In addition, the translator used inconsistent term in his translations that primarily make the reader confused. Mode House (2009; 34) defined Mode as a channel of communication. Equivalence in dimension of mode relates to the means whereby the communication is performed. In Bumi Manusia, there were some addressing terms that have different meaning than the lexical meaning because of the feeling of the speaker. Kowe actually is common addressing terms in Javanese society to address someone who is younger or have closed relation, but when it is used by Dutch people the function is changed from showing intimacy become disrespecting. When the Dutch people used Kowe in Bumi Manusia novel, the character always used it in high tension. However, the reader will not catch that Kowe has negative connotation directly because the translation term, you, is neutral addressing terms. The communication purpose of the term Kowe cannot easily catch. So, the irritation of the character could not be understood by the reader. As seen from the mode, field, and tenor analyses above, it show that the original and the translation are not equivalence. The genre of the translation in translating addressing term is not so much as the original because some translation of the addressing terms can not reveal the atmosphere of Dutch colonial that become the main point in this equivalence problem. Equivalence Problem in Translating Addressing Terms in Bumi Manusia The analysis of register categories above clearly showed that the original and translation are not equal. Equivalence of source text and target has limited area because not all of the equivalence approaches can achieved all translation cases. The main factor that made the addressing in source text do not have suitable equivalence in target text is the special concept of Dutch colonial and Javanese culture. Nababan (1999: 99) said that the concept of source text can reveal a concept that is not well known in the target text. Some addressing terms from source text that has special concept are difficult to have their equivalence in target text because of the cultural concept of addressing term from Dutch and Javanese like Juffrouw, Noni, Mevrouw, Nyai, Ndoro, Meneer, Gus, Sinyo, Mas, Man, and Meester. Those terms can not easily be transferred to target text because those terms are created by certain condition in particular communities. Some of those terms, Juffrouw, Noni, Mevrouw, Ndoro, and Meneer have the same denotation with the translation term, but the original and translation addressing term have different connotation that make them share different interpretation. The special concept that can not be replaced in target text lead to others related problem. The special concept of particular culture make the language concept of source text is not available in target text. Nababan (1999: 99) explained that the words of source text could be understand and recognized in target text but the target text does not have a term that can reveal the concept from source text. In this case, the term Sahaya and Kowe in source text have different concept from Aku and Kau. The target text do not differ the first and second singular pronoun that make the translation of Sahaya and Kowe have different function from source text. Even the concept of Sahaya and Kowe could be understand in the target text, but the term that have the same meaning and connotation with those term are not available. So, the translator used 'I' and 'you' in a pinch to replace Sahaya and Kowe even 'I' and 'you' also used to translate Aku and Kau. The complexities of Javanese community that apply speech level also direct the translation to the equivalence problem because it makes difference of interpersonal perspective. Nababan (1999: 03) argued that interpersonal perspective is related to the relation of the participants in a text. In a language that really concern to etiquette like Javanese, Geertz stated that it is impossible to address someone without pay attention to the status of the addressee. Etiquette system force the people to create different term for one concept, so the participant can easily choose the right term to address someone that suitable for both the addressor and the addressee. For instance, in Bumi Manusia there are three different addressing terms to call male parent, Papa, Ayah and Ayahanda. The use of those addressing term could reflect the social status of the addressor and the addressee. Papa is used in western family who live Dutch East Indies, Ayah is used in middle-low family, while Ayahanda is used in Javanese aristocrat family. This difference of Papa, Ayah and Ayahanda can not be seen in the translation because the translator translated them as 'father'. The other problem of equivalence that appears because of the particular culture of the two languages is the difference of expressive meaning. According to Nababan (1999: 103) the words in source text and target text have the same proportional meaning but often they are different in expressive meaning. There are many addressing terms that have the same proportional meaning but they are different in expressive meaning because Malay terms differentiate the addressing terms based on the relationship and the social status. The term Nak has the same proportional meaning with child, but they are used in different intention. Nak is for showing intimacy but child dispose to create formal atmosphere rather than familiarity. Both terms have the same proportional meaning but they express different purpose and connotation. The different perspective toward a concept will also lead the translation to equivalence problem (Nababan, 1999: 101). Furthermore, it is also the effect of special concept in source text. The term Man in Javanese context at that time was used to address Javanese adult male from middle-low status. In the translation text, the term Man translated as man because English does not distinguish the term man for rich or poor people. In the other hand, the translator also missed to capture the perspective of the character in choosing particular term when he translated Abang. The proportional meaning of Abang is addressing term to call elder brother but it could be used to call man or boy who is elder than the addressee. The translator translated Abangmu as your friend but from Nyai Ontosoroh's point of view, she used Abangmu to make Annelies felt comfort and consider Minke as her own son. Changing the term Abangmu as your friend would lead the reader to different understanding because it seems that Nyai Ontosoroh treat Minke as only her guest. The other factor except special concept of Dutch colonial and Javanese culture is the difference in grammatical system. Nababan (1999; 108) stated that grammatical equivalence focuses to the similar concept of source text and target text at the level of number, gender, person, tense, and aspect. In translating the addressing term, the problem appeared when source language and target language have different grammatical system. The term Nyai-Nyai became Nyais or Tuan-Tuan became Tuans is not equivalence because both term are Malay term. Malay and English apply different method to change the singular concept to be plural. The translator used free style translation and he missed to understand the language system of source text and target text because he translated Nyai-Nyai as Nyais and Tuan-Tuan as Tuans. Nyai and Tuan are not English term, so the plural form of Nyai and Tuan are not necessarily Nyais or Tuans because it is unclear whether Nyai and Tuan are countable or uncountable noun. Accountability concept is universal concept that can be understood by all people and can be expressed through lexical structure in all language, but not all languages have grammatical category for number and not all languages apply the same concept for number. Therefore, the translator should observe carefully whether one concept of a language could be applied to another language or not. The reader of the target text would feel unfamiliar because in some text, the translator used Nyai and Tuan for singular form, but after that those terms became Nyais and Tuans, whereas the reader could have another understanding rather than think that those terms are plural form because they never know the terms Nyais and Tuans before. Double Perspective in Translating Bumi Manusia Constructing the effective translation is one of the purposes of translation. Nababan (1999:88) stated that there are two main factors that determine the effectiveness of the translation. The first is dimension of linguistic and knowledge. Straight (as quoted in Nababan, 1999) said that fruitfulness in conveying the message depends on the knowledge about the context of culture and the language system of source language and target language. In this case, the translator failed to capture that addressing term play important role because it reflects etiquette culture of Javanese and Dutch colonial culture in Dutch East Indies. The second factor is purpose dimension. Nababan (1999, 87) stated that the translator should decide the purpose of the translation. Further, he explained that the purpose should meet this criteria; fruitful to the original, use translation style that appropriate to source text, use suitable equivalence, and the readability level of translation fitted to the source text. However, the analysis in the previous part show that the translation of addressing terms dealt with many equivalence problems and shared different function and connotation from the original that make the translation become unreadable and confusing for the reader. Both dimensions above can not be reached by the translator because he used more than one perspective in translating the addressing terms. Before translating a text, a translator had to analyze the source text to understand the content of the text. Then, the translator chose the approach that is suitable for source text. From the data in the table in 4.1 (see page 3), the writer found some addressing terms that have many equivalent problems. The translator may use more than one procedure in translating addressing terms because the procedure of translation is for sentences or smaller linguistics units as clause, phrase, word, etc. However, before determining the procedure, the translator should choose the perspective or method that he wants to apply in translating the source text. The method that the translator used will be a framework that guides the translator to translate the text in a line. The writer noticed that the translator used double perspectives that make his translation contradictory. In translating addressing terms such as Noni, Ndoro, Nyai, Tuan, Tuanmuda, Papa, Gus, Sinyo, and Mas, the translator used perspective that was focus on the original text. House (2009: 15) explained that a focus on the (original) texts mean analyzing it, and systematically linking its form and functions in order to reveal the original author's motivated choices. The translator considered the reason of the author in choosing addressing terms and tried to find out the closest equivalence in target text, even for some addressing terms do not have any equivalence that make the translator insisted to use the original term. In contrast, the translator also used perspective that focus on the process of interpretation. House (2009: 20) defined this perspective as the translator way to builds up an individual mental representation of its meaning. House added that the reconstitution of the 'the meaning' of a text to fit another language and context is not the central point. It is dealing more with the invention of the translator then discovery of what is already exist in a text. Therefore, when the translator used this perspective to translate some addressing terms such as Juffrouw, Noni, Mevrouw, Nyai-Nyai, Tuan-Tuan, Nak, Abang, Man, etc the translation become very different from the context in source text. This perspective also leads the translator to make confusing translation because the translation for one term becomes inconsistent. Moreover some addressing terms have different meaning and connotation from the source text. In translating a text, translator should use only one perspective to make the synchronized translation. Double translation would lead the translator to different way in translating addressing term because one perspective deal with different point of view to another perspective. In Bumi Manusia case, it is much better for the translator to only apply the perspective that focus on the source text since the background of the original can not be easily transferred to target text. Moreover, if the translator was consistent to use one perspective, he would not make ambiguity translation. By understanding the whole context of the story that include ecology, technology, material culture, social organization, myth, and linguistic system of source text, the translator would have better perceptive to make good translation that fruitful to the original but it is still readable for the target reader. CONCLUSION This study is conducted to describe how the phenomenon of translating addressing terms is rolled out in BumiManusia and This Earth of Mankind. The conclusion of this study is formulated based on the statement of problems. Some translation theory based on several authors (House; 2009; Machali 2000; and Nababan; 1999): translation perspective, equivalence in translation, equivalence problem, and register categories of field, mode, and tenor are combined to the theory of addressing term (Wardaugh; 2006), pronouns of power and solidarity (Brown and Gilman; 1960) and lexical relation (Kreidler; 1998) to identify how the translator translated the addressing terms and the relation of the addressing terms toward the cultural context. Then, the writer comes to a conclusion that: The T and V approach also showed that power and solidarity become the main consideration for the characters in choosing addressing terms, so that the characters used different addressing terms depend on the status of the addressee and the relation among the characters. The translator used three patterns in translating addressing terms. In the first pattern, the translator used literal translation to translate Juffrouw, Noni, Mevrouw, Tuanmuda, Tuan, Ndoro, Meener, Papa, Ayah, Ayahanda, Sahaya, Aku, Kowe, and Nak. In second pattern, the translator used original terms, Noni, Nyai, Ndoro, Gus, Sinyo, and Mas in the target text. The last pattern is changing the addressing terms such as Nyai-Nyai, Tuan, Sahaya, Abang, Man, and Meester since the adaptation of target text. From the patterns above, it was found that the translator was inconsistent to translate some addressing terms because he translated one term used some different procedure that make the meaning of the addressing terms contradictory. Also he did not pay attention to the culture and the context that involve in addressing terms so he only did linguistic translation without concerning to the cultural influences. The main factor that lead untranslatability of translating Bumi Manusia's addressing terms is special concept of Javanese culture and Dutch colonial system that make the addressing terms can not be easily transferred to target. The difference of grammatical system of source language and target language also lead the translator to get difficulties in finding suitable equivalence for the addressing terms. Therefore the translator used double perspective to solve the equivalence problems. As a result double perspective that was expected to solve the problem instead made a larger problem because the translation of addressing terms become untranslatability and unreadable. SUGGESTION Addressing terms is general phenomenon which occurs in daily life. But, the analysis of translating addressing terms is still rarely discussed whereas linguistics and its branches is basically concerning with the use of language. From this study, the future researchers are suggested to be more interested in enlarging their knowledge dealing with applied linguistics, especially translating addressing terms which concerns with how translating addressing terms based on cultural context. Equally important, it is suggested for the readers to pay attention in choosing addressing terms based on the condition and the status of the addressee because the wrong addressing terms choices will make the addressee feel insulted or annoyed REFERENCES Ananta Toer, Pramoedya. 2011. Bumi Manusia. Jakarta: Lentera Dipantara. Ananta Toer, Pramoedya. 1996. This Earth of Mankind. New York: Penguin books Ltd. Ashcroft, Bill and Griffiths, Gareth. 2002. The Empire Writes Back – Theory and practice in post-colonial literatures. New York and London: Routledge Taylor & Francis Group. Bogdan, Robert. C and Sari Knopp Biklen. 1982. Qualitative Research for Education: an Introduction to Theory and Methods.Allyn and Bacon. Inc. USA Brown, R., Gilman, A. 1960. The pronouns of Power and Solidarity. Thomas A. Sebeok, eds. Style in Language. Cambridge-Massachusetts: The Technology Press of Massachusetts Institute of Technology, 252-275. Geertz, Clifford. 1960. Linguistic Etiquette. Thomas A. Sebeok, eds. Style in Language. Cambridge-Massachusetts: The Technology Press of Massachusetts Institute of Technology, 282-295 Holmes, Janet. 1992. An Inroduction to Sociolinguistics. London and New York: Longman Group. Hornby, A. S. (Ed.) 1948. Advanced Learner's Dictionary (7th ed.). Oxford: Oxford University Press. House, Juliane. 2009. Translation. Oxford: Oxford University Press. Machali, R. .2000. Pedoman Bagi Penerjemah. Jakarta: Grasindo. Nababan, R. 1999. Teori Menerjemah Bahasa Inggris. Yogyakarta: PustakaPelajar Pramoedya Ananta Toer. Retrieved on June 25, 2013 from site: http://en.wikipedia.org/wiki/Pramoedya_Ananta_Toer Rothschild, Metthew. Interview with Pramoedya Ananta Toer. The Progressive Magazine. Retrieved on June 26, 2013 from site: http://www.progressive.org/mag_intv1099 Sugiyono. 2010. MetodePenelitianKuantitatif R & D. Bandung: Alfabeta. Wardhaugh, Ronald. 2006. An Introduction to Sociolinguistic.Oxford: Blackwell Publishing Widyastuti, Susana. Componential Analysis of Meaning: Theory and Applications. Online journal. Retrieved on June 25, 2013 from site: http://eprints.uny.ac.id/1174 W. Kreidler, Charles. 1998. Introducing English Semantic. London: Routledge.
Part one of an interview with George Antonioni. Topics include: Family history. How his mother started in the restaurant business and opened the Lazy A and then the Il Camino. What it was like making pizza and working in the Lazy A. How his parents came to the U.S. from Italy. His parents settled in Leominster. Italian clubs in the Fitchburg-Leominster area. George's childhood memories of food, reading, and travel. Speaking English at home. His mother's work history. Working in the family restaurant business. George's education and work as a principal and teacher in the Leominster school system. How he knew Norma, his wife. ; 1 WENDY: This is Wendy Rhodes online with the Center for Italian Culture at Fitchburg State College. It's Monday, September 24th, 10:20 AM, and we're here at the home of… GEORGE: George Antonioni, 24 Dillon Street, Leominster, Massachusetts. WENDY: Okay, and with us is… ANNE: Anne Masifero. WENDY: And… NORMA: With Norma. WENDY: Okay. So George, thank you for agreeing to do this, first of all, and maybe we should start with the restaurant business. Can you tell me about your parents? GEORGE: Yes. My parents came over as children; in fact, they came over the same year, 1916. My mother was 10 years old and my father was 12. And they grew up… my father at first was in Oakdale living with his uncle on a farm, and upon reaching 16, he moved back to the Leominster-Fitchburg area. My mother lived down on the Railroad Street with her parents until she, uh, married my father at which time they moved to Leominster because they both worked at DuPont. And over the years, my mother always had a yen to cook. WENDY: Could you just tell us your mother's name? Including… GEORGE: Ilda, Ilda Cattel. And, um, in fact they lived in Fitchburg. And as we grew up, my parents, of course, were not able to go to school too long. My mother stopped school at the age of 13, and my father at about 14 or 15. But my mother was tri-lingual; she could speak French, Italian, English and wrote as well as any high school student. And my father was a well-educated man for he always read, and they insisted on us studying at all times. We were at times a semi-Italian family and other times an American family. We did not speak Italian at home. But during the war, my mother finally convinced my father that perhaps she could have a restaurant.2 WENDY: And which for? Which restaurant? GEORGE: This was the Lazy A Restau-, at World War II. And upon coming home, my mother was cooking in the house and sending products out. She was making a lot of pizza and éclairs. And then, in 1948 they started The Lazy A Restaurant. It's not an Italian name, but that was the lazy Antonioni's. WENDY: [Unintelligible - 00:02:57] GEORGE: You could not be lazy there. WENDY: So where does the term "lazy" come from? GEORGE: My brother, I believe, thought of the name The Lazy A. And so we carried that restaurant for 10 years, I believe; and it probably was the third Italian restaurant that the city had had because Monti's was, I believe, the first and still in existence, and that was started way in the '30s. And then for a brief period there was another Italian restaurant, Concheto's. You probably remember that. That was very highly successful but did not stay in business for too long. And then The Lazy A came in. And The Lazy A is now called The Gondola and it's still in business. And then… WENDY: Where is The Lazy A? GEORGE: On Lancaster Street. WENDY: Now, is this close to where you lived? GEORGE: Yes, we lived on Longwood Avenue, so the house was on Longwood Avenue and the restaurant was on Lancaster Street. [We're home from three blocks] straight through, so there's no problem about having to travel; and I had married and my wife came to Leominster to live, and we stayed with my folks because I was still in college, and we're all working in the restaurant. And then we get out of the business, and my mother got anxious again and wanted to go back in business again, and so they started the Il Camino Restaurant, which is down on Central Street. And that too was a highly successful restaurant; but at this time they start and 3 get up in age, you know. My brother was not interested in taking it over; he was a lawyer and I had just been promoted to junior high school principalship, so I wasn't interested in taking the business over. Only my wife was, and we didn't do it. So it's a strange thing. We sold the Lazy A to Mary and Gus Lelli; and Gus is a partner in the business, and his wife is an Angelini. And then when we sold the Il Camino, that's Lelli's wife's sister is an Angelini also. Well, married and this [Chikielini], and her daughter bought the restaurant; so we actually sold it both times to Angelinis, but the Daigneault's on it 'cause the husband is a survivor. WENDY: Okay. The Angelini… GEORGE: Still a lot of Angelinis. WENDY: I haven't interviewed anyone yet by that name. But getting back to the restaurant business, can you explain a little bit more about your mother? You said that she started making éclairs and pizza? GEORGE: Yes. WENDY: So what does that mean? She made it for whom? GEORGE: Well, we lived at -- the Lancaster Street lots faced DuPont, and my mother was known as a very good cook. And she used to make pizza, and so they would order it from her. So when they left on Fridays especially, she would have a large number of pizzas and have it delivered at DuPont. And éclairs. Because of those, they didn't eat meat on Friday evening. So pizza was a big item. So we take over 30, 40, 50 pizzas; and so my father knew that the business would succeed. But just in case the business did not succeed, the original building was such that you could convert it easily into a four-room house. So the financial risk wasn't as great as it probably would have been if you built it as a restaurant per se. WENDY: Who made all of the bread dough or the pizza dough?4 GEORGE: We made it. What we would do on a Friday, my mother would be the cook and take care of all the restaurant part. My father and my brother would be making the pizzas, that is, putting the ingredients on; and we had another person who'd be rolling the dough. We didn't flip it like they do now; we bought a pie-making machine, okay, down in Boston, and my mother had bought some dough down there and she worked it around and they could get a nice round pizza right there, so. I think they bought it from Johnson and Johnson, and I think after that Johnson and Johnson's [unintelligible - 00:07:51] the pie-making machine is a pizza machine also, because it's… WENDY: Can you explain the workings of it? GEORGE: Well, I guess if you… all it was a set of rollers, and you would feed the dough through the roller and it'd shape it as you push the tube. And you get any size you want depending on how big the pizza dough you put through. And then you put it in the pan and you put all of them aside and let them raise. Because on those days, raised pizza dough was the rage. It wasn't like today where you have all the thin pizza crust. It was still thick dough on those days. WENDY: Now, is that called Sicilian? GEORGE: Now they call it Sicilian pizza, but everybody who made pizza in the old days was more of a half-inch thick. WENDY: And what kind of toppings? GEORGE: On the toppings, my brother and my father would put tomato, a little bit of oregano, grated cheese -- the mozzarella hadn't really come in yet because mozzarella's a later thing. But those days it was grated cheese, and we put on anchovies. Friday was popular. At the end of the week, you put peppers, onions and hamburg. We use to call that The Summer Special. And while they did all that work, I had the easy job; all I did was answer the telephone, wrap 5 it in, give the pizzas to the customers. For two hours that's all I did. WENDY: That's all you do? GEORGE: That's how big a business it was. WENDY: We can stop and take a break. GEORGE: Excuse me? WENDY: Would you like to stop? GEORGE: Yeah, I get a… WENDY: Okay. GEORGE: We had a very big business, very big business. And of course, Norma was out, blown all the way to sink. As I said, Norma would be there also and she'll be a waitress and take care of the dining room; and then when the other girls came in, Norma's day was not done. Now she became my mother's assistant and go on with cooking also. WENDY: So you must have liked it. NORMA: I did like it. WENDY: Sounds like a lot NORMA: [Unintelligible - 00:10:08] WENDY: You don't mind doing it. NORMA: I don't mind doing it. GEORGE: When I married Norma, she didn't know how to cook. WENDY: I guess that helps [laughter]. GEORGE: Norma was working… well, in the economy [unintelligible - 00:10:25] things like that. Actually she was down at the MIT Lincoln Lab a while also. So she had been around, but she didn't cook, assisted with the cooking at home. NORMA: I was the cleaner. WENDY: You were the cleaner? I could see why you'd want to learn how to cook then.6 GEORGE: But now she's an excellent cook. My brother said she's the best in the family on cooking. From a beginner to the top. And that's pretty how much we did it. WENDY: Let me clarify something. You said that your mother began with the pizzas and the éclairs because she was primarily catering to the DuPont crowd and you would bring them. Now, was the restaurant open? GEORGE: No, not at that time. And just before we opened, actually, she was delivering pizzas on Friday noontime to Foster [Grant], which was a big company in town on those days, and -- I still have one of the big pants that we used to use. And we'd take those up there and they would sell them in their lunchroom, because they had a lunchroom. It was such a big place and they'd buy four to six sheets of pizza every Friday. WENDY: And then they would reheat them, or…? GEORGE: Well, they come up hot and we'd give them right up there to them. And I don't think they had to reheat them, but they would sell them. And it's quite a thing. She had a going business before she was even opening the door. WENDY: Yeah, when did she begin making the pizzas to deliver on that Friday? GEORGE: The delivering of the pizzas started during the war after I had gone into the service. So by 1945 I'd say she started doing it regularly. WENDY: But as she began making the pizzas, you said that she would deliver them on Fridays but it must have been a process all week? Can you… GEORGE: No, no. WENDY: No? GEORGE: No, to make the pizza, you can make the dough couple hours ahead of time to get it raised, and then we'll start cooking them. Doesn't7 take long. Pizza's a quick item, actually, and it cooks in 15 minutes at the most. WENDY: So there wasn't a lot of preparation? NORMA: She got up early in the morning. GEORGE: On that day, yeah. WENDY: Preparing time. GEORGE: Because she did éclairs also, she'd make huge trays of éclairs. She used to make them with a custard filling, and people liked them. She'd been making those before. My mother was an excellent baker. She was very good at baking, and people knew it and they would call up and ask her to make éclairs. She wasn't a cookie person, you know. People think of Italians as cookie persons, but my mother was more cakes and éclairs, cream puffs. WENDY: Did she bring any of those recipes from the old country? GEORGE: No, I don't believe so, 'cause she came over as a -- as I say she was nine, ten years old depending on what part of the year she came over 'cause she was born on 1906 and she came over in 1916, so. WENDY: But her mother -- did she travel with her mother to this country? GEORGE: She came over with her mother. In fact, [pure witness of the game], she came over on the same trip. We have a picture of them in my daughter's house. My daughter's great aunt [unintelligible - 00:14:01] old family pictures, and she's got one on the wall there, my grandmother coming over with the girls. [Unintelligible - 00:14:10] four with my Ma on that picture? NORMA: Four of them at that time. GEORGE: See? That had to be quite a trip. Mother coming with four daughters. WENDY: Did you hear anything about the trip? GEORGE: My mother used to talk about it, yeah. They had a lot of trouble on that ship coming over. I think there was a murder. The ship had 8 been used when they came over to transport some beef, and all these people going back spat up and get rowdy and they had trouble amongst themselves, and there were submarines. It was not a pleasure cruise. So it was… I imagine it was a howling experience. WENDY: So she traveled here with her and mother and her sisters. GEORGE: Yeah, came directly to Fitchburg. WENDY: Did anyone else travel with them? GEORGE: Not to my knowledge. They came as a family unit, and that was it. WENDY: But you have an uncle or a brother. GEORGE: Well, my grandfather was already over here, and she had been over here before. WENDY: Your grandmother? GEORGE: Yeah. She had been over here before. My mother had never been here before. My grandmother had been here to visit my grandfather obviously; and same thing with my father, he came over with his father, though, and then his mother was supposed to come over with the sisters. So one of the sisters was [unintelligible - 00:15:47] and they had to wait 'til she got married, you know, before they could come over. And in the meantime, my grandfather on my father's side went back, but he left my father here with his brother down in Oakdale. And my father never saw his father again, actually, 'cause he didn't go back. WENDY: Okay. GEORGE: He was working on the railroad, the reservoir, one or the other. Because right there in Oakdale, we have a big sand area that they were using, and my uncle's farm was probably half a mile away to the woods, which I've traveled many times. So it wasn't too far to go to work, and he's kept working there, and then he'd go back to Italy. All these men in the old days used to leave home and go to 9 work, make some money and go back the other way. So they have made many trips. In fact, they have a watch. It's in the bank vault right now, but it was my grandfather's watch and it's 1885. So he had made trips over here previous of that trip. WENDY: Your grandfather was here and your father was here. GEORGE: Yeah, they stayed on the farm. WENDY: Okay, and how old was your father when he made the trip? GEORGE: He would be 12. WENDY: About 12. What part of Italy did they come from, your father? GEORGE: My father came from what you'd call Central Italy on the Adriatic side, and it is what they call them the Marque. And [unintelligible - 00:17:38] is the big city where he came from; they lived around the city. Then my mother came from up in Revine. That's not the one everybody thinks of. They always think of Ravena along Maine, this is only Revine, it's R-E-V-I-N-E, and it's way, way up in the mountains. The closest town you'd recognize would probably be Cortina. It was a mile away, up in the Dolomites. I was there, so. WENDY: Oh. GEORGE: I was there this past November. I've been there twice, actually. It's really out there, it's really out there. Oh yeah, one of the cousins. They're at Pieve di Cadore. We visit those places twice. I've been to my father's area once. We stayed there four days when I went to visit my uncles, you know. We took the children over one time to see the whole place. WENDY: When you say they're out there, what did you mean by that? GEORGE: You mean…? WENDY: You said the village with your uncle. GEORGE: Oh, it's really out there, way out in the boonies. It's really interesting. In fact, the village is practically dying, but now we went back this last time, this restaurant is building a huge 10 conference [sauna there]. So that might revive town. I think there was 60 to… like 60 children on the school system, so that tells you how the town was going down, down, down. But as I say, there's a hotel-restaurant that's building a -- 100 or 500 units they wanna build there. It's gonna be big. And you wonder how anybody's gonna get there, but they're gonna get there, you know. NORMA: I forgot to tell you that his mother lived in a castle. GEORGE: [Laughter] NORMA: They called it a castle, and it looks like a castle. GEORGE: But it's not really a castle, you know… NORMA: They called it's a castle, though. GEORGE: Yeah. That had to had been either some nobleman's home or a religious site at one time, but you still got the [slots] where they used to pick the gums on the arrow, so you know, it's interesting. WENDY: And they lived there just their family? GEORGE: That time it was just their family, yeah. But now, I think it's just their family again. But they have a system over in Italy that they sold parts of the houses. So… you own this section and you own that section and I own this section, but they bought the whole thing back now, so they own the whole thing. But [unintelligible - 00:20:24] of Pieve di Cadore, we three families that own parts of that house, it's almost like each one had own tenement; and we're not talking condos. These are old houses, and that's the way it was. WENDY: Do they all have a private bathroom? GEORGE: They have private bathrooms, but then there's a general bathroom on one floor that you can use. They're well-constructed houses, nice houses, and it's a nice area [unintelligible - 00:21:15] 'cause the air is clear as a bell, and… the scenery is magnificent. WENDY: Are there any tales about Ma leaving the village and going to the port city to come here?11 GEORGE: No, no. My mother didn't say too much about that. But once again, her family had been in the United States, aunts and uncles, what have you. They have been coming here since the 1800s at the Civil War. In fact, one part of the family had an open-air kitchen; they used to sell down in Pennsylvania down in the coal mine areas. But if you're familiar with the United States' history, the coalminers' staff had a lot of trouble unionizing and all that stuff, and things got very, very… bad. And fighting and things were going on, so they came back home. And they also had a catering business up in Pieve di Cadore. So they were hardworking people; they've been all over. My grandfather had been all over Europe and [unintelligible - 00:22:33] in Turkey as well as United States before he decided to settle here. WENDY: And why is it that they decided to… GEORGE: Well, it's like everybody else. They're looking for a good life and avoid turmoil. In Europe, there was always turmoil, or had always been, always building fortifications and things like that type of war, so they come over here. WENDY: And then specifically took the [unintelligible - 00:23:00]? GEORGE: Well, someone went to Fitchburg, maybe to work up in the quarry, because the Venetians, which my mother is, they're [unintelligible - 00:23:14] way up on top of the hill over towards the quarry. And that's where they lived, most of them. My grandfather lived down in the, what we call the patch area, but most of the Venetians didn't live there; they lived way up to what we call [unintelligible - 00:23:33]. And I don't know how many families there were about, but there weren't too many Venetians. They had their own club and everything; they tended to segregate just like all the Italians in -- you came from one section of Italy, you went to that club, you didn't go to any other clubs. Like in Leominster, there were six or seven Italian clubs. Can you imagine that? They 12 work, and all of those, I would say, work within a half-mile radius, seven clubs, six or seven clubs. WENDY: The club brings up an interesting question. Do people consider themselves Italian or do they consider themselves part of a particular region? GEORGE: I think when they talk amongst themselves, they were Veneziano, [unintelligible - 00:24:31], Sicilian or whatever. Of course the Sicilians tend to think of themselves as separate anyway. If you've ever been to Sicily, they don't call themselves Italians; they're Sicilians. But on Lancaster Street itself, there were one, two, three, four, five clubs within a quarter mile. We go from [unintelligible - 00:24:56], there were five clubs. And there was one on the back of [unintelligible - 00:25:01], I was a Saladini and then you had Colombo Hall on the [unintelligible - 00:25:06]. Can you imagine? What other nationality would do that? WENDY: Right. GEORGE: They did it, and Fitchburg -- or at least three, I think. That doesn't help you any, you know. In those days when you want them to do something, you need political power. You still do, and they were fragmented, you know. WENDY: Is there any attempt to unify? GEORGE: There was the Sons of Italy, but the Sons of Italy was never strong up in this area. In fact, even to this day it's basically a social club, I think, if anything. I think it exists, but that's what it is. They don't get that involved in politics, to my knowledge. But I don't know. WENDY: Why don't we talk about the particular club that your parents had joined? GEORGE: My father, even though we lived in Leominster, did not join one of the clubs in Leominster because he'd grown up in, you know, from 16 on or 17, he had lived in Fitchburg; so all his friends were up 13 there and he was one of the incorporators of the Marconi Club, [unintelligible - 00:26:23] founder of the club. And so he never left that club. And in fact I joined it for a while, but there was no call for me to go up to Fitchburg if I want to join the club, so I stayed there for two years. But I remember that club, they started up in, you know, room in a three-decker, and they move around, I guess to find the cheapest rent, and they finally decided to build the club that they had still in existence. They were hardworking people. I remember them working in the wintertime building that thing. And imagine, you'd get some man outside, [unintelligible - 00:27:09] out there, banging away on its soles and soils, trying to get the trench in so they could get the water. And [unintelligible - 00:27:19] was doing some of the brick masonry, and you know, lock in all that [unintelligible - 00:27:24] working away, donating their services for their club. WENDY: Why do you think they found it important to join? GEORGE: I think everybody has to belong to something, and that was their -- they're with a feeling they belong and they felt safe with these people. They grew up with them; a lot of them were childhood friends from the old country. It's like talking… well, if you went to the California and suddenly there's 10 Leominster people there, families, they'll just have to stick together. Especially in those days when language was a problem. WENDY: Do different regions of Italians have trouble talking to each other? GEORGE: It can happen. The language picks up certain sounds. For example, in the [uplands] who probably pick up a little of the French accent; and if you live up where my mother comes from, sometimes the words sound almost Germanic. I still maintain that when I sit there and listen to some of these people talk from that region, "strada" was almost like "strasa" at times, you know. And then if you go down to Sicily, I think the two regions are so far 14 apart that language is a part of the problem. They all had their own idiosyncrasies and what have you. See, in the United States, it isn't quite as bad, you know. We all understand each other. Some of those have their pronunciation, but it isn't that much different than the [unintelligible - 00:29:15], you know. WENDY: On Americanization classes, I realize that both of your parents came here at a young age, so they maybe learned in a public school. What about your grandparents? GEORGE: My grandparents, I'm not sure what they did. I think in those days, you could -- if my grandfather, which he must have done, gone to classes, I think you could get your whole family in under your citizenship. You didn't have to go yourself. The wife and children, I think, automatically could become citizens when you did. So, I'm sure when he was back in Italy, he'd be going to night school, because he was another person who loves to read. I still remember my grandfather reading all the time. He's like my father. The two men in my life were men who liked to read with an educating process on. My father still read the Italian newspaper almost 'til the day he died; and the only reason why he read it was so he wouldn't lose his language because there was no one to speak to anymore in Italian, a very few people. So he kept getting the Italian newspaper. WENDY: Now, is that something that the club perpetuated, with the Italian language? GEORGE: No, no. When I became a member of the club which was after the War of Ceylon, 1947, '48, a lot of the discussions were in English even though they're all old Italians, most of them. They all would speak in English at the meetings. Otherwise, the guys like myself who would be new members and young -- you know what happens to the young guy, he becomes the secretary. They were talking in 15 Italian, it wouldn't come out like so. They pretty well-learned how to speak English. The men did anyway. Some of the women… I won't say their station in life, but what they did, they didn't go anywhere in those days. You know, it's not like today; we all get in the car and take off. The women tended to stay home more. Now, the women do the driving half the time, so. But those days, women didn't go too far. WENDY: What kinds of things do they do at the club? GEORGE: Well, the men, if they went on their own, the Marconi Club was a little different. For a while they even had a [unintelligible - 00:32:06], but that didn't last too long because it's kinda noisy when they're busy playing cards. Most of the men would play a game they call three-seven, and they played for the beverages or candy bars or whatever you wanted. If you won the game, you either could have a glass of beer or candy bar or whatever. But big gambling games, I never witnessed any of them. They might have had some, but most of the men were there just for recreation; they weren't there to make a fortune. And actually, before I went to the service, there were a group of bakers. They would come in on Friday night at 11 o'clock, they're all done working for the weekend, and they started to bring in pizzas; they bring a tray of pizza, and they hand it out. After a while they began to smarten up, you know, but more and more people were coming, and now they bring two trays, three trays, so they start to sell the pizza. But I remember my father waiting for them to come in on a Friday night so we could have a slice of pizza, each of them. We'd take one home to my mother, maybe two slices probably 'cause my brother was old enough, so we have family pizza by the pan they were selling it, you know. And it became a big business up there. I think the Marconi Club kept 16 selling pizza, spaghetti, and cola very recently. It's quite a business. WENDY: Was the club open every day? GEORGE: The club used to open up generally at night because most of the days the men were working. But then later on the club opened up in the afternoon, and I don't know what it's doing now. I hadn't been there in many, many, many years. WENDY: So who would round the club? GEORGE: They would have the board of directors, so to speak; and then they would have a bartender, and then the treasurer acted like the steward. So that's how they ran it. And you had your monthly meetings, and the steward would get up and explain how much money came in, how much money went out, all that, you know. Every month was a big time financial statement. We got news of how little money came in or how much, it was always the important thing. WENDY: Were there dues? GEORGE: Yeah, we used to pay, I think $1 a month, and it was a… we'll get [in club] in that if you get sick, you would pay the sick benefit. It wasn't very much money, I mean, it could probably get $8, $10 a week, which was not big money, but it helped out with the fee, with the salaries were in those days. But if you were very, very careful, you just didn't get it for staying home. You had to be sick; and if you're sick, you get the benefit. 'Cause the sick committee was always checking, so it's quite a thing. You had to see it to believe it, because everybody want to take care of everybody but nobody wanted anybody checking what they were supposed to be doing, you know. So it's good, it was a nice club. Then they used to run some dances. Dances weren't too successful there for some reason, but they ran a few. In fact, and I played for 17 a couple of them with our sisters. Yeah, we talked about all-girl band [laughter]. NORMA: I can't believe I'm hearing those stuff. GEORGE: They were the originals. So that worked out. And one of the strange things was—I don't know if Anne remembers this—we even had Italian prisoners of war up there one time. Were you there? [Laughter] ANNE: [Unintelligible - 00:36:17] GEORGE: [Laughter] World War II. A lot of Italians were taken prisoner, so there are a lot of them down in Boston. And apparently Italian prisoners of war weren't considered dangerous, so on a Saturday night they would take them out or something and -- to different club and organizations. So we have a dance or something, they came up once or twice to my knowledge, and they circulated with the people, and they'll look at and then women talk to them because they see if they knew anybody from where they came from, you know, hope against hope, you know my family or something, you know. But down in Boston, they'd be there out all the time. In fact, some of them married Boston girls after the war. WENDY: Was there any marriage in here? GEORGE: Not to my knowledge, no. But down in Boston, there were. They used to have the fence and the girls would go over them and talk to them. In fact, I was just reading a book about the Italian prisoners of war down in Alabama and how friendly they became with the girls down there. They'd go up to work in the fields and what have you as prisoners of war. So everybody knew them. And I ran into one of them when I was in the army. I was going overseas in California, and the Italian prisoners of war were doing the cooking and I was with the KP to get that one out. When you stand there and you're cleaning out a soup tureen and the Italian isn't, you won the war. We're winning this war. And they used to say they 18 had, you know, an American soldier got this beer garden at the camp; they used to say the Italians and the wine garden—I don't know how true that was but that was one of the stories. That's when I was on camp Enza, guess that was outside of Riverside, California. But a lot of strange things in this world. WENDY: Let's get back to your childhood. You said that you grew up in a home that was half-American, half-Italian? GEORGE: Yeah. On a Wednesday night, you know, they say that's Italian spaghetti night, we might be having corned beef and cabbage. My father since he was alone used to eat in diners a lot, 'cause he lived in boarding houses 'til he get married. So he picked up all these habits of different food, and when he married my mother, my mother said, "What would you like to eat?" And he'd say, "I like those, I like that." So we used to eat a lot of those things, you know. WENDY: Now, how did she learn how to cook corned beef and cabbage? GEORGE: What? WENDY: How did she learn how to cook something like that? GEORGE: My mother was very clever when it came to cooking. She could make almost anything taste great. In fact, I used to go up to my mother's after I was married many, many years. We'd go up and have corned beef. I still like corned beef. So we just have all these -- lot of American food. We were not heavy on ravioli and things of that type 'cause my mother worked in the factory all the time, so those things took time to prepare. You gotta make the ravioli and things like that, you've got to… so we [unintelligible - 00:40:01] things like that, but not all the time. WENDY: But there must have been other differences besides the food. GEORGE: Well, we're only two boys in those days, so we traveled around a lot, and my father had a car, we always had a car. And most of the people stay pretty much in the neighborhood, so we would always 19 be going someplace. Like they had taken me to the World's Fair back in late '30s, things of that type. So we're going places. My father -- I still remember my father taking me to the library when I was -- my first trip to the library. When I took my daughter to the first trip to the library, things hadn't changed in the Leominster Library in those days, so we went there. It reminded me of when I went with my father. And they always let me read, you know. On those days, you weren't supposed to read comic books because they weren't good for you. My father let me read comic books, and that was very good because you picked up vocabulary. You learn a lot of vocabulary and you learn a lot of history. And so he constantly would buy me -- books were never a problem. WENDY: You said you went to the World's Fair. GEORGE: Yeah. WENDY: He drove to New York? GEORGE: We took the bus. WENDY: Okay. GEORGE: We took the bus. Of course that was quite an experience because, you know, the bus stops periodically for a rest stop and something to eat, so my brother and I thought it was the greatest thing ever because every time we stop, we get something to eat, you know, candy bars or something. I always had something. And we got to New York and we stayed at my aunt's. She was a nurse in New York, Mrs. Andriski, and she goes down in Oakdale actually, and she and her girlfriend who came from Fitchburg also were nurses. So they worked nights, so we were there and there was no [intrusion] upon them 'cause they weren't there anyway. And during the day we'd go to the fair. It's quite a thing. WENDY: World Fair in Italian Pavilion? GEORGE: Oh, yeah, we went to the Italian Pavilion. That was a one-week first stops, and then we went to the G Building and we did our 20 rounds. It was quite a thing. [Unintelligible - 00:42:35] obviously to see the Magna Carta, still remember that. And Crown Jewels. So it was interesting. My mother was -- I keep saying my father, but my mother was a real [unintelligible - 00:42:51] on this occasion. She made sure there was a Parent's Day; she made sure my father went because he would be working nights so he could go on the daytime. Those days, you'd want in the daytime for most of these things, so he would go. He'd be the only man on the room unless Mr. Anderson -- he was the only other man that'd be there. Usually all these Italian women are sitting there, listening, and there'd be my father and Mr. Anderson. At nighttime, it was a far from -- she'd be there. She'd always be there. School was important to her; and in fact, more important than my father. My father always believed that you could trade some things like that, and he was like trades can do the same thing for you that college can. But she was always, "You gotta go to school." WENDY: So there was never a question of you or your brother going to college. GEORGE: No. We'll always gonna go to school, that was a given. And make sure we got enough good grades to go [unintelligible - 00:44:07] hear about it when report card came. It worked out good. WENDY: So you never felt any influence to go into the restaurant business? GEORGE: No, no. They never tried to talk me into [unintelligible - 00:44:22] restaurant business. I have, when it comes to cooking and labor, I have two left hands, so it wouldn't work. Right, Norma? It would not work. NORMA: [Unintelligible - 00:44:37]. I couldn't tell. GEORGE: They used to put me out front. You're the maître d'. Get [unintelligible - 00:44:43] kitchen. It's dangerous. WENDY: Did you say that your mother was tri-lingual, or is that your grandmother?21 GEORGE: My mother. She would -- spoke French fluently, and she could speak Croatian French. WENDY: [Unintelligible - 00:45:00] she lived in the [unintelligible - 00:45:03] area? GEORGE: No, she lived down the patch, that's Italian. Italian and Sicilian. But when she worked in the factory as a little girl -- 'cause she was only 13 when she started, she started to pick up all these languages. All of that language -- as you well know; the younger you are on foreign languages, the better off you are. And she's being young like that, she paid attention, and she could talk French. WENDY: Did she ever try to teach you? GEORGE: Teach me French? No. Once I got into the… fourth, fifth grade, I think they decided that they might have made a mistake in not teaching us Italian. So they'd send me off to St. Anthony's for a couple of weeks in the summertime, and my mother got a whole set of Italian grammar books for kids, and she start to teach me some Italian. But by that time, it was too late. I did take Italian in high school, though. It was too late. I understood it and I could read it, but I couldn't speak it. WENDY: In the home, they always spoke English, too? GEORGE: No, they talk Italian when they didn't want us to understand, but they soon discovered that was a mistake, especially with me. They knew I could talk Italian, I could understand it. I wouldn't speak it, but -- in fact, my grandmother was very upset that they weren't teaching us to speak Italian when we were little kids, but I think my father wanted to make sure we were fluent in English, learn what would be our mother tongue, English, you know, and I was -- so that's what you had to do. WENDY: It's interesting that your grandmother felt differently. GEORGE: Yeah, yeah. WENDY: Can you remember any discussions or anything?22 GEORGE: No, I just… I know that she was upset that we didn't speak Italian. My grandfather didn't seem to bother at, all but he always talked English to me anyway so, you know, you'll never -- my grandmother would mix the two languages a lot but my grandfather was -- you'd think he came from America too. WENDY: Although she started working in a factory at 13? GEORGE: Thirteen. WENDY: [Unintelligible - 00:47:27] GEORGE: Had to be in Fitchburg, I don't know which factory. It was supposed to be 14, but she got in at 13. WENDY: She ever talked of those days? GEORGE: Not too much. The only thing she regretted was she had to leave school. She liked school, but… I don't know how many children were there, six or something like that in those days, and I guess times were tough. She was the last one they pulled out of school; she and her oldest sister did not go to school. From then on, my Aunt Toni who was next. She became a registered nurse and Ere, I think, went to business school; Doris didn't go to school beyond high school. Ellen got married, so she didn't go beyond high school; my Uncle became a dentist; and my other Uncle had a high position on industrial business down in Connecticut—he was a Holy Cross graduate. In fact, he and I graduated together… the same class. That was due to the war, yeah. WENDY: What year was that? GEORGE: '49. 1949. WENDY: [Unintelligible - 00:48:53] strongly about your education? GEORGE: I think she felt strongly because her home aren't going to school, my father not going to school. But those days, it was quite common. They didn't go to school. I still remember living on Longwood Avenue and boys becoming 16 or girls becoming 16, 23 that was beyond the school, get a job and they make $12 a week, something like that, if they went to work. WENDY: And you never felt that call to begin making money? GEORGE: No. Actually we were two boys. Most of the families had three, four, five kids, probably be a widow or a widower, you know. We lived well compared to a lot of them. So it never happened, you know. We had always had a small garden, we had chickens, we had some rabbits, and so it was always plenty of food; and my mother was an excellent person on canning. She could can almost anything. You'd talk about buying corn on the cob -- she didn't freeze it; she knew how to can it, corn on the cob. And it wouldn't be a lot of log. Remember that, Norma? She just had a lot of corn left over one time, hated to see it go to waste or fed to the chickens, so she just vacuum-packed it. That was good. She can do the same thing with -- I remember being in the service, I'd get a jar, and then it would be fried rabbit. Oh yeah, I like rabbit, I like rabbit. But she wouldn't waste anything, it was amazing. And she could sew, she make my trousers, shirts, and then my father bought her an ironing machine one time. I don't know if you remember those things, they used to call them a [mangle]. It's a circular item, and she had it, and my father bought an old electric sewing machine, and the man came to look at it and show how to run those sewing machine, they saw that and they [unintelligible - 00:51:23] "What can you do with that?" She says, "They can iron shirts," everything. I see her do something, so she'd get all this things and says, "I'll give you a job on Saturdays to demonstrate these ironing machines at Sears and Roebuck." So for a year or two, that's what she did. Every Saturday afternoon she'd go up there, take all our laundry, and iron it to people. She's a very clever woman, my mother. WENDY: So did she work while you were in school?24 GEORGE: When I came back from the service, she didn't work anymore in the factory, because now I had a sister and then a child after I came back, our second sister. We're two families; we got two younger sisters and my brother and I. I'm 20 years older than my younger sister, almost to the day. She's December what, Norma? Fifth? NORMA: December 2nd. GEORGE: Second, she's the 2nd and I'm 15th. 20 years difference. WENDY: Is she working prior to the… GEORGE: Yeah, she always worked in the factory. My mother always work. My mother couldn't sit still. She had to work all the time. My wife is like her; she can't sit down. WENDY: I'm always in awe of everything these people were able to get done, but they'd still work. It's amazing. GEORGE: She would can all of it. We had canned blueberries, canned raspberries, strawberries, all kinds of tomatoes, jelly. She used to make [unintelligible - 00:53:02] school when they used have what they used to call hospital days, and you would bring canned goods and things like that. And my mother gave me some apple jelly to bring, and the teacher looked at it and looked out to the window, it was clear as a bell. She went down and got another teacher, "Come over here, I wanna show you something." She's still [unintelligible - 00:53:22] she hold it and, "Look at that." WENDY: Without machine? GEORGE: Without machines. Norma could tell you stories about my mother. She knew my mother all her life, so… very clever. Her mother was an excellent cook, and mother was a real cook. WENDY: You wanna talk? You wanna say anything? NORMA: She looked tremendous, she knew everything and she could do anything. Anything you ask her do, she could do it. WENDY: How could she do all these work, working during the day? Was it weekends, or after…?25 GEORGE: When she came home at night. My father would start to prepare some of the things for her, you know, then he'd go to work and she'd come home and… and since he wasn't home, you know, he's at work and then were just two boys, so she'd get working on something, keep busy, and that was it. WENDY: So when you were [unintelligible - 00:54:17] passed away? GEORGE: No, my father died around, what, 86, Norma? NORMA: 80 when he died. GEORGE: He was 80 when he died. So, around 80, about 1984 when he died. Or no? NORMA: No, [unintelligible - 00:54:43]? WENDY: Okay. Maybe I just assumed, but you said there were two families. But I think what you said was you're… GEORGE: Oh, I'm different. WENDY: Okay. GEORGE: There was a girl who died in between, and she always wanted a daughter, so then they had the girl. Then they figured she's growing up alone, so they had a second one. WENDY: She wasn't busy enough? GEORGE: No, no, no. By the time the girls came, my brother and I were fairly grown up. I was 16, so I can help out with the little girl and keep her busy and things. And then when I went to service, my brother was old enough to help out. Like he'd deliver a lot of the stuff. He wasn't in school, so, you know, he was -- it's quite a thing. WENDY: So let's go back to the restaurant business. So after she became successful with these pizzas, can you fill in the blanks? They aren't, for example -- I get the impression that they had always thought they would open up a restaurant when these pizzas became popular.26 GEORGE: Yeah. My mother was really strong, and my father was conservative, you know. He had reached the point that DuPont were, you know, your job is secured for life now and do we really wanna get involved in this when they had two little children. And my mother kept insisting, so they get the building. We bought the land in the back there because my father want the [unintelligible - 00:56:28] to go to work. Those were on empty lots that DuPont owned then. The DuPont was selling all the lots they had, and the buildings. Because in the old days, the factory used to buy up a lot of land and houses, and then the people would then rent them from them. Well after the war—just prior to the war, rather—they started to sell some of the stuff up during the Depression. And there was this one lot sitting there which was directly in back of ours, so my father was able to buy it for a very ridiculously low price in those days, and just cut a hole in our fence and we had an entry to the Lancaster Street. And we put a little garden there, and… since the lot was there and the expense of buying land was no longer a problem, we'd put the building up. And as I say, it was not a huge building. I got a picture of this some place, the original building. So they started, and the business was so successful. It was so successful I think within six months they had to add to the back part of it for kitchen expansion. And then a year or two later, they added to the dining room section; they doubled that up in size. Then later they put an entrance on the side to get down into the basement area. We were there 10 years, that's all. By that time, everybody is getting tired; 'cause in a family business, everybody's gotta work. WENDY: So when did she expand the menu? Was that immediately? GEORGE: Immediately. We had a full menu right away. She didn't do just the pizza. She wanted a restaurant. And so we had all the different 27 types of spaghettis and manicottis and all that stuff. It was an Italian restaurant. WENDY: So you said she really didn't cook ravioli or manicotti at home? GEORGE: No. WENDY: So she determined… GEORGE: But she was an excellent cook. A successful restaurant is one that -- where there is no waste. So if you make something and it's not going to sell, you get two choices: you've got to find a way to use it or throw it away. My mother was so clever. We used to have veal, for example, and there'll be little pieces left over when they churn the cutlets from the bone, just little pieces, and what are you gonna do with it? So it's still on the menu, veal casserole. [Unintelligible - 00:59:24] wine and [unintelligible - 00:59:25], and all of a sudden something that was waste is a big seller. In fact, if I were to go to one of the restaurants now, that's what I would have. WENDY: Historically, I hear of something. I hope that hasn't been happening a lot in time. It's just suddenly, but suddenly [unintelligible - 00:59:47]. Okay. Thank you. So were these all her recipes that she used? GEORGE: Yeah. WENDY: Was she the only cook? GEORGE: She was always the lead cook. She had help, but she still made the determinations of what would go in and what wouldn't. Norma would work with her, and if my mother wasn't there and then Norma would be the lead cook. But it's always family. WENDY: How many [unintelligible - 01:00:21] was it open? GEORGE: Six. We had long hours in those days, not like today where the restaurant opens for six, eight hours. Those days it opened at 12 noon, it closed at 12 midnight. 28 WENDY: Incredible. [Unintelligible - 01:00:39] dad worked at the restaurant? GEORGE: My father would work there during the day, and then he would go to work at 4 o'clock at DuPont, then he gave that up once he got the -- after he got his 25-year pin, he left and stayed just at the restaurant. WENDY: And you said you and your brother also worked there? GEORGE: Yeah, we worked there. My brother was a good cook too. He's the one that can do many things. He takes after my mother on that respect. He can cook and he can do electrical work and do tile work. You name it, he can do it. WENDY: And what is his name? GEORGE: Attilo. WENDY: Attilo. Is he called [unintelligible - 01:01:28] GEORGE: Oh, Tony. WENDY: So can you tell us a little bit about what it was like working in a restaurant? NORMA: It was hectic. I have a little girl with me and she used to stay with me while I waitressed and worked in the kitchen. [Unintelligible - 01:01:43] my daughter, and then when the [unintelligible - 01:01:45] stay with me too and he'd hold on behind me while I was waitressing… with his finger, he used to -- he know how to play [unintelligible - 01:01:54] jukebox. He'd know every song that was there. And he used to dance, and army people used to come in and just watch him. And we really wanted him to be something, but [unintelligible - 01:02:08]. GEORGE: Wow. I didn't want… NORMA: He was good. He's staying and he danced, and he was about three or four years old when he was doing this. GEORGE: Younger than that when he started.29 NORMA: When he started. But somebody signed him somewhere, but I'm not [unintelligible - 01:02:23]. No? GEORGE: No. NORMA: No, he stopped her after that. And he was [unintelligible - 01:02:29]. Soldiers used to come just to see him. GEORGE: Yeah, with them [unintelligible - 01:02:35] big in those days and they -- we had a lot of army trade, and they'd come up and they look to him and give him a quarter, so he'd play five songs and … NORMA: And he knew every song there was, too. WENDY: So how did he learn to sing? [Unintelligible - 01:02:52] GEORGE: Just listening. We'd have a stack of records like that, 'cause we had a jukebox, people would come around and they changed them, and they'd give him a bunch of them, you know. And he'd pick one up and he was four years old and maybe at best pick the record up and say, "What's this one, Georgie?" "It's a concerto." WENDY: Wow. GEORGE: [Unintelligible - 01:03:20] concerto. He couldn't read. It was scary. That's why he could do it though, unbelievable. WENDY: Do you think your mother enjoyed the restaurant? GEORGE: Oh, she loved it. She loved it. She didn't wanna get out of it; but everybody was tired, everybody was tired. We reached a point that you don't wanna do it anymore, so we got out. But then they went back in again, and… WENDY: What year do you think that was? GEORGE: I think it was 1958, about 1958 they got out. Then by '62, something like that, they went back in again. When they get through, they went cross country with my two sisters. I think they went for about six weeks; they made this trip down to Mexico all around the United States and back to Leominster. And again, went back to Italy, you know. They wanna see America first. He liked the United States. He was always… he'd be what you call a 30 patriot. He was in the National Guard; he always loved to talk about his being in the National Guard, you know. He loved the United States. He went back when his sisters became ill, and after that he made several trips to Italy. WENDY: 1958, and they were back into it by '62? GEORGE: '62 or '63, they went back in. WENDY: So what happened? They got some left and… GEORGE: And my mother was ready to again. But they didn't stay that many years after that because [unintelligible - 01:05:10] going to sixties now. And my brother and I were not really that interested in doing it. In fact, I'd worked Friday night and he'd work Saturday night. And all I did was… I was the maître d', so I wasn't doing much of anything. But she wanted us there, my brother and I, and he was on Saturday and I was Friday nights. WENDY: Did you work there too? ANNA: I only worked there about a year and a half. WENDY: With the Il Camino? GEORGE: Yeah. WENDY: Can you tell me about the history of it? For example, did she purchase the restaurant from someone else? GEORGE: No. She wanted to go back in business, and so she had my brother start looking for land; and that's pretty much what he does, a lot of titles—he's a title man. And he found this piece of land that was just sitting there and was surrounded by, I think, the land owned by [Blocks] Incorporated, but there was one watch just sitting there. And so they bought it, and they started off with the original building. And this restaurant was not quite like the Lazy A; it was more of an -- I won't say it's upscale, but it was basically a restaurant, not a pizza combination. Times have changed and the pizza was no longer the big thing for a restaurant, we thought, and so they built this restaurant with the idea of [unintelligible -31 01:06:48]. And it took off right away. In fact, it's about so fast that they had to add a little room in front. They had to -- was it two rooms, Norma? NORMA: Two. GEORGE: Yeah, put two rooms in the front. One was a lounge and the other one was another restaurant, dining area. And then they added in the back so the place, just kept growing; but as I say, as a full restaurant, delay gets even more intense than a… I was not going stay that much more, and my brother as I say, was -- his practice was starting to pick up, so. And the girls were too young. Well, Jeannie was in college and Margaret was at the restaurant, but she had got married, so. WENDY: Mother is still doing most of the cooking at the time? GEORGE: All 'til the last day, 'til the last day. She loved it. Her mother was the same way. When they had their restaurant, I think they were happiest when they were in the kitchens. Wouldn't you say, Norma? NORMA: Oh, yeah. She loved to cook. [Unintelligible - 01:07:59] and my mother did all the cooking. WENDY: That's a good trainer. Was there a push for education for your sisters? GEORGE: Yes. Margaret went to Rivier for one semester. She did not like college, and she came back and went to work with my mother; and she married and had three children. She's a widow now. And my sister Jeanie went to -- up in -- what is it? NORMA: Merrimack. GEORGE: Merrimack, Merrimack College. And she [unintelligible - 01:08:39] she has a good job. She's been there for many, many years. In fact, starting next year she can even retire. When you're 55, you can do that nowadays. And she's the boss; she has no children. But she takes after us, and that she's a reader too. She 32 loves to read, read, read, read. In fact, she just came back from China with my sister Margaret. They both went and Margaret said -- Norma asked her, she's too much talking, so the first two days, she didn't said anything, she just read. [Laughter] WENDY: [Laughter] So tell us a little bit about your schooling. I know you're a graduate of Holy Cross? GEORGE: Yeah. WENDY: Prior to that? GEORGE: I went to Leominster High School and graduated in '44. I started college in July because it was wartime, and I figured I could get some time in before I went to the service. It would also guarantee me a place when I came back. So I finished my freshman year in February of '45, and I was in the army in March of '45. I came back and went back to school, and I've taken some extra courses, somewhere by accident, and so I found out if I went to summer school I wouldn't have to do my second semester junior year, and I graduated in '49 instead of '50. Then I went to [unintelligible - 01:10:24] and I stayed up there for a few months teaching elementary school, but I didn't like it. And so I came back to Leominster in 1952; I was in the Leominster school system. I became a principal of junior high school. I was the first Italian secondary principal. Christine McDowell was the first elementary one; her name was [unintelligible - 01:10:52]. She was the first, I believe, elementary school principal of Italian descent. WENDY: But you were the first secondary? GEORGE: Yeah, and I became the high school principal, and I was the first one there full-time. Dr. [Anthony] did it temporarily while they found a principal. And then I succeeded the man that they had found, [unintelligible - 01:11:20] two and a half came in. And he was not the first curriculum coordinator of Italian decent, Robert 33 Duppal would come to Leominster and worked for a couple of years, but Robert Anthony, Dr. Anthony, he became the first assistant superintendent of curriculum. He was a native son also. And Dr. Amadeo became the first Italian superintendent in Leominster. But after I became junior high school principal, a whole wave of Italian descent children of Leominster became elementary school principals. Salvatalis and Negliosis and Sardeli, Bacani, they all came in after. And then Chino Salvatori became a junior high school principal. There was a whole wave of us, but that's the way of America anyway. If you've studied history, whatever wave comes, through they take those jobs and their children will want different types of jobs. Just like the old story of the Irish cop, they had their wave and they moved on, their children did not become policemen, they took better jobs. And same thing with the Italians, they moved up, [unintelligible - 01:02:46] loaded with doctors and lawyers and everything now are of Italian descent. WENDY: Did you ever considered going anywhere else to teach? GEORGE: I had taught as I say in [unintelligible - 01:12:58] for a short time, but I didn't like elementary. So I came back to Leominster and waited for a slot opened. And as I say, did that until 1988, and when I was 62 and I retired. But I went down at St. Andrews, and I did the five-year short-term—it was supposed to be shot-term, but it was five years before I left as elementary school principal down there. So I taught everything from pre-K to high school. WENDY: And how did you meet Norma? GEORGE: I've known Norma all my life. NORMA: His father and my father lived in a duplex house in Italy. And my mother and his father used to go to school, elementary school in Italy with each other, and we were friends… GEORGE: Yeah. I've known her from day one.34 WENDY: Wow. Did anyone suggest that you get married? NORMA: No. WENDY: No. NORMA: I asked him to go to my high school prom, but he had to go into service so that was the end of that. But while he was in the service he used to write to me, and when he got home, started going together, and that was it. GEORGE: Fifty-three years later. WENDY: Fifty-three [unintelligible - 01:14:20] and 54 in February? GEORGE: Yeah, it'll be 54 years in February. WENDY: I have a friend who's talking to her the other day, and she said that a lot of marriage nowadays is anything over seven years. GEORGE: My daughter was 25 last week. Twenty-five years of marriage. WENDY: So the parents feel when you came to Leominster to teach? GEORGE: Oh, they were happy 'cause I was gonna stay. Nobody wants their children to move, you know that. So they're happy that I got a job in Leominster. WENDY: But it wasn't just a job. You became a teacher. GEORGE: But I never left the community, [laughter] actually. I mean, when I went to Holy Cross, I was a base student. I didn't live there. And they always knew I was gonna be a teacher 'cause I always said I was gonna be a teacher. That was always… I'd made up my mind. By the time I'm in seventh grade, I knew I want to be a schoolteacher, so that was it. So there was no big surprise, and they accepted it. I don't know if they wanted me to be a lawyer or something else. My brother became a lawyer but I didn't, I just wanted to be a schoolteacher. I was happy. I used to be a very happy schoolteacher. WENDY: What made you become a… GEORGE: Combination of things. Like my wife said, "Before you take the job, are you sure you wanna be one? Don't do it for the money." 35 And I said, "No, I won't do it for the money." But the money was good compared to teaching, and it was a new challenge. But if I didn't become a principal, I'd have been happy anyway. Like my wife said, I always used to sing going to school in the morning, so I was happy. I had a happy life. I was also the audio-visual director, so I had a couple periods off every day to do that. So it was a combination that you didn't get bored, you know, you taught your classes and then you went into these audio-visual materials. And I always kept busy and never had any big problems with children, so that's fine. In fact, I still run into students who remember our days in class and the punishments, which are big jokes, you know, and it was fun. And even when I was looking for better jobs, I'd go to the school boards; some of them were my pupils, and they would joke with me what we used to do in class and all. I actually get people coming up—Norma can tell you that—they still come up and say, "Remember when…" NORMA: [Unintelligible - 01:17:23] write papers, that's what I always hear. WENDY: Write papers. What subject did you teach? GEORGE: I was a Social Studies teacher. I had taught a little bit of English in junior high when I was a long-term sub there, but basically a Social Studies teacher. I teach world history and geography and economics, current events, government, depending upon what they needed in that particular year. I always used to like to teach three subjects. I didn't like teaching one subject all day, so I teach three. And every year I get a new set of textbooks so I wouldn't bog down, repeating the same things all the time. This year I'd get a new history book and next year I'd get a new geography book, the next year I'd get a new economics book or government book. So it's always something different, and it was a lot of fun.36 WENDY: How did you see education change from the time that you were at Leominster High School? GEORGE: Well, of course, there's more technology involved now, but they haven't changed that much, you know. They're not as reluctant to speak as they were in the old days, but you can still control them, you can still -- they still can be reasonable. They have to know why more now than they did in the old days. For example, I would punish children as a principal, then I would say, "What did you do? Did you egg the teacher on?" And most of them would say, "Yeah." So, "Then what do you want me to do about it? [Unintelligible - 01:19:13] punishment coming?" But he said this, "Did you egg him on?" "Yeah, I did." "I'll speak to him, but I also have to punish you too because you egged him on." And he was, "Okay." That's that. They wanna be treated fairly. The old days, you know, they're the boss and we're not. But today, you let them know the ground rules and it works out pretty well. At least I think it that. I haven't taught for a few years now, but when I was at the end of my career, they would come in and see me and they'd sit and talk. And I always had a jar of candy, you know./AT/jf/rs/es
Issue 49.5 of the Review for Religious, September/October 1990. ; R[ vl~ w ~-OR R~-t ~G~OUS (ISSN 0034-639X) ~,, pubhshed b~-monthly at St Louis Unlver,,~ty by the M~s-soun Prov~nce Educational Institute ol the Society of Jesus: Editorial Office; 3601 Lmdell Blvd. Rm. 428; St. Louis, MO 63108-3393. Second-class postage paid at St. Louis MO. Single copies $3.50. Subscriptions: United States $15.00 for one year; $28.00 for two years. Other countries: US $20.00 for one year: if airmail. US $35.00 per year. For subscription orders or change of address. write: R~vtEw FOR R~-:~.w, ous: P.O. Box 6070: Duluth. MN 55806. POSTMASTER: Send address changes tu R~:vw~:w vor Rv:~.~aot~s; P.O. Box 6070; Duluth, MN 55806. ~1990 Rv:vt~.:w vor Rl.:Li~;~ot~s. David L. Fleming, S.J. Philip C. Fischer, S.J. Elizabeth McDonough, O.P. Jean Read Mary Ann Foppe Editor Associate Editor Canonical Counsel Editor Assistant Editors Advisory Board David J. Hassel, S.J. Mary Margaret Johanning, S.S.N.D. Iris Ann Ledden, S.S.N.D. Sean Sammon, F.M.S. Wendy Wright, Ph.D. Suzanne Zuercher, O.S.B. September/October 1990 Volume 49 Number 5 Manuscripts, books for review and correspondence with the editor should be sent to Rv:\'~:w v'o~ Rv:w.uaot~s; 3601 Lindell Blvd.; St. I~mis, MO 63108-3393. Correspondence about the department "Canonical Counsel" should be addressed to Eliza-beth McDonough, O.P.; 5001 Eastern Avenue; P.O. Box 29260; Washington, D.C. 20017. Back issues and reprints should be urdered from Rr:\'~:w roa Rr:~.~;m~s; 3601 Lindell Blvd.; St. IA~uis, MO 63108-3393. "Out of print" issues are available from University Microfilms International; 300 N. Zeeb Rd.; Ann Arbor, MI 48106. A major portion uf each issue is also available on cassette recordings as a service for the visually impaired. Write to the Xavier Suciety for the Blind; 154 East 23rd Street; New York. NY 10010. PRISMS. At the May meeting of the Advisory Board for REvIEw FOR RELIGtOUS, the members became engrossed in a discussion of the heritages-- Benedictine, Dominican, Salesian, and many others--that consecrated life fosters and should foster in the Church. Sometimes women and men religious forget their special call to be channels of their own spiritual tra-dition and practice. Religious life, signalized in Vatican II documents as belonging to the charismatic structure of the Church, continues to give birth anew to its members by the overshadowing of the Spirit. The particular spiritual in-sights and practices which establish each religious community become permanent gifts not only to the vowed members but also to the whole Church. The Church's recognition and approval is based on this prem-ise. Religious life plays a critical role in carrying forward the Christian spiritual-life traditions in the Church community. The Church expects in-dividual religious and religious families to give witness to their spiritual traditions. It is no surprise, then, that books and journals dealing with the spiritual life (such as REv=Ew FOR REUCtOUS) are so often the product of people living in this consecrated lifeform. In our times we are being made far more aware of the tradition of the Pauline Body of Christ, with the differing gifts of its members. One of the gifts specially present in religious life is its responsibility to hand on the spiritual-life traditions within the Christian community. Obviously God's gifts are never merely self-enhancing, and so religious life was never meant to be a caste apart or its own separate church. The gift of religious life within the Church only heightens the ways that Christians feel called to live out their following of Jesus in their own day--not only the members with a particular religious calling,.but also friends, cowork-ers, students, parishioners---in a word, all who are touched in some way by members of a religious community. This journal's very title could seem to restrict its reading audience to people following a certain consecrated lifeform recognized in the Church. But, as a matter of fact, from its beginnings almost fifty years ago, REvmw FOR REL~CIOUS has invited diocesan priests, bishops, and lay people to find in its pages the roots of our Christian spiritual heritage which nourish us all. The number of subscribers other than religious was small in the beginning, but has grown steadily, especially with the bur- 641 642 / Review for Religious, September-October 1990 geoning of ministries and prayer groups in the Church after Vatican II. Articles in REvmw FOR RELm~OtJS will continue to focus on various Christian heritages which religious life helps keep alive in the Church. We hope thereby to provide for all our readers access to roots as well as to budding developments in the living of the Christ-life. The authors in this issue again are representative of our reading audi-ence. For example, Barbara Dent, well-known for her spiritual writings, continues her own experiential reflections on a prayer tradition deep in the Carmelite religious family. Father Richard Lamoureux, a.a., takes an "American" approach to an age-old Augustinian tradition of prayer. The diocesan priest Father Clyde Bonar uses the experiences of St. Fran-cis of Assisi to suffuse with faith the human experience of shame. Dr. James Magee, professor of gerontology, in his article "Planning an In-tercommunity Skilled Nursing Facility," tries to facilitate the working together of religious groups coming from various religious traditions. Perhaps at this time in history we especially need to grow in our ap-preciation of religious life as the purveyor of the Christian spirituality heritage. If we do grow in this way, the Church worldwide will become all the richer in its own life and mission. David L. Fleming, S.J. Moral Issues in Spiritual Direction Shaun McCarty, S.T. Father Shaun McCarty, S.T., teaches in the Washington Theological Union and is a staff member of the Shalem Institute for Spiritual Formation. His address is Holy Trinity Mission Seminary; 9001 New Hampshire Avenue; Silver Spring, Maryland 20903. My gracefully aging mother has acquired a certain Wisdom from the ex-perience of her years, yet she still seeks confirmation from her clerical eldest in matters of faith and morals! Vatican II suited her just fine be-cause, she says, "It said a lot of things I always thought!" On my weekly visits, she will often begin with, "Now tell me if I'm to think this way, but . " And then she will go on to comment on some issue she has been thinking about in the quiet of her "digs" in a condomin-ium for the elderly (which she sometimes thinks may be the only heaven she will get to!). On the issue of Church: "I go to church because I like to, not because I have to. But I can't see running in and out all the time. Especially when people need you. What good is it to go to church if it does not help you be a better person outside?" On prayer: "God's not just in church. He is (she is not fully feminist yet!) in my apartment too. And I do not think ! have to say a lot of prayers; God and I just have these talks when I say what is on my mind and he talks to me." On sev-eral occasions she has raised this moral issue: "Now tell me if I am wrong to think this way, but I think a lot of these rules that come from the Church are not God's. Most are man-made. Now I think God gave us heads to think ourselves. Not just run off and ask the priest what is right or wrong or wait for the Pope to tell us what to do or not do. If you ask me, I just think the reason people do that is because they are too damn lazy to think for themselves! Now is it wrong for me to be think-ing this way?" I ask her: "Now, Morn, don't you think the Church has 643 644 / Review for Religious, September-October 1990 anything to say about what is right or wrong?" She answers: "Of course, but I'm choosy about whom I listen to!" I just smile, shake my head and assure her that she will probably escape ecclesiastical censure! Actually, she gives new meaning, life, and hope for the terms spiritual and moral life! 'Moral is one of those words laden for many with negative undertones ~uch as repressive, punishing, puritan, pharisaical, and the like. Spiri-tual often connotes an a_nemic and pious evasion of down,t0-earth~ d~ ~o-day living. Until we encounter both embodi_e_d_and~i0tegr_~t_ed_i_n~--~l ,rpeople like Mom ,hose lives and choices validate t~]~ch~i'~hg0i~nd prayer! rYOften, too, moral life and spiritual life are separated: the former re- .ferring to what is right and wrong; the latter, to what is good and beetler. 19 the ministry of spiritual direction, which aims primarily-at-'spiri~ual ~rowth, moral issues frequently arise and discrepancies become appa~ ~.nt either within the value system of the dii'ectee, between the dire~tee an~ Church teaching, or between the value systems of the d~rector and the~ dtrectee. What follows wall be an attempt to provide a frame.w~o_rk m which spiritual gu~des~can-tleal'w~th~moral-~ssues'and'grapple with such ~liscrepancies. ~I will first explore the meaning and relationships of some key terms ip.cluding moral and spiritual life, conscience and discernment. Then, I will consider the role of Church as teacher and the role of the spiritual director as guide in the formation of conscience, including some specific ~reas in which the director can be helpful. Finally, I will raise some dif-ficulties that can occur in dealing with moral issues in the ministry of s~iritual direction. ~Moral and Spiritual Life I.n the context of this article, spiritual life means graced growth in the~spirit, that is, in that dimension of human existence by which we are ~.open t~___.transcendent_ rove and drawn by the Spirit into intimate union ~.with God and communion with each other through, with, and in Christ. ~lokalli~ refers t0-th-~t ~i~e~ct of life that has to~do with. human C~h~0~ic~-s ~fi~eely~made~and~lowngl6ehav~ors~freely:embraced~that;-:under:grace, en- ~able one to pursue good, avoid evil, and~ herice, grow hurria-~ly. ,~ As moral theologians point out, unfortunately in the past, there tii~S ~.been and continues to be a split between moral and spiritual theology. Respected Redemptorist theologian, Bernard Haring says: Moral theology for the use of confessors and penitents was almost un- Moral Issues / 645 avoidably guided by the knowledge of dominion and control. Since such a theology, written mostly for controllers, could threaten the freedom of believers in the realm of things solicited by grace, it seemed best to leave out or bypass spirituality . ~ This resulted in a dual track for Christians: one for an elite who wanted to strive for maximum ideals in "seeking perfection" and the other for those who were satisfied to meet minimum expectations in "sav-ing their souls." Beatitudes were for the former; commandments for the latter. Not only was there a split between classes of Christians, but indi-vidual conscience also was divided into two compartments: one for moral norms, the other for "works of supererogation" (those above and be-yond the call of duty!). ~e dichotomies_are unfortunate. Moral and spiritual life are warp and w~i'~?oi;~ameTf:~l~i-U.~'~'~]i~fiaor~a~:~on focuses on an~ai-ea key to human, and therefore, spiritual growth--namely, that of choices that define a person more-thah anything else and behaviors that promot~ ~0~ih~. ;there is a universal call to holiness. To love God with all our hearts and to love others as Christ loves us is a normative ideal for every Christian. The choice is not between a "spiritual" life or a "moral" life. Whether intentional or not, every Christian is on a spiritual journey and summoned to be challenged by the beatitudes as well as by the com-mandments. Again, B. Haring: It is detrimental to the very fundamental norms of Christian ethics, but especially to the formation of a distinctively Christian consciousness, if the law of growth and the criteria for a deeper understanding of Chris-tian love are relegated to another discipline . But it should be equally clear that a distinctively Christian formation of conscience does not belong to those who specialize in "knowledge of control"! For it is at the very heart of salvation.2 The bottom line is that love is the highest common denominator of every moral act as well as the source and goal of all spiritual growth. ~Con~_s_cience ~I~n general, as a faculty of moral lif~-,-~ohscience is concerned with .~ ~ . ~.-:~ ~. . - ~ . .~- ,h~urfian cbOic6s of good or ewl. An ~nformed conscience is the final ar-biter of moral choice. It refers to that element in the experience of free-dom that makes one aware of responsibility and accountability for one's decisions and actions. The biblical term for conscience is "heart" in which God's will is written (Rm 2:15). Theologically speaking, it is "self-consciousness passing moral judgment.' ,3 In speaking of the dig- 646 / Review for Religious, September-October 1990 nity of moral conscience, the Fathers of Vatican II described conscience as ". the most secret core and sanctuary of a man (sic). There he is alone with God, whose voice echoes in his depths."4 Conscience may be said to operate at three levels: ~(1) Fundamental level: This refers to th~ hiJFria--ff-~apacity freely t6 ~hoose a life-orientation towards God (the Choi~ce); _tp. p~_rsue .good(the Wight) and to avoid evil (the Darkness) with an awareness of respp.n__s_i~ ~ility and accountabilii'~At this level, one may be said to have a ge~n- ~ral sense of value.' A fundamental choice for the Light assumes that to be human is to have basic freedom and to have a radical openness to the mystery of God which, again, defines a person more than anything else. To take this option is to experience metanoia (change of heart) which af-fects the whole person (body, mind, and spirit). It is an invitation to turn over all of one's energies to God, to put one's life at the disposal of God, to be a disciple in loving service of others as Christ did and to live under the guidance of the Spirit in subsequent day-to-day decisions. It is in the light of this fundamental level of conscience that important life-decisions such as marriage, priesthood, and vowed life should be made. (2) Reflection/assessment level (individual choices): This level con-cerns day-to-_day choices of varying degrees of importance requiring a process of moral reasoning related to concrete situations.~It calls for re-flection, discussion, and analysis. I think it is what my mother means I~y "using the head that God gave us." Here one is concerned with spe-cific perception of value. At this level, there is room for difference, dis-agreement, error, blindness, distortion, rationalization, confusion, and cultural blindness. Consequently, it is primarily at this level that a per-son needs assistance from more objective sources including Sacred Scrip-ture, one's faith community, friends, confessor, and spiritual director. It is precisely at this level that conscience needs continually to be formed and informed. For that to happen effectively, a person needs humility so that conscience can "kneel at the altar of truth" to which conscience is always subject. It is at this level that the teaching Church as reposi-tory of the values of a faith-community, has an important but limited role as moral teacher and one distinct from that of spiritual director. More about this later. ~,~.(3)~Action level: This refers.to.the_moral judgment or choice of wh~t one believes to be right that brings with it a moral imperative to act. At C~his lev~e_l, a person exercises responsibility and accountability for actions ~and for the consequences of actions that conscience commands. A sign of responsible moral choice is growth in willing, compassionate concern/ Moral Issues / 647 action as opposed to willful, selfish action/inaction. In other words, genu-ine moral judgments and decisions find their completion and become enfleshed in moral deeds. pis:ernn~en~t i Discernment refers to the prayerful sorting out of interior movements ~expenenCe~d ~n-theprocess of tnakmg judgments and deos~ons to deter-m~ ne'wh~ch are of the Spent consequently resonant w~th the fundamen-taVl level-of c-~fiscie0.~e.-It presupposes a quest Of interior freedom as w~ll ~.ffs-careful attent~0n to the concrete particulars of a situation taking into i~onsideration subjective feelings as well as objective facts. It is possible to speak also of levels of discernment that bear some correlation with the levels of conscience occurring at: (1) the fundamen-tal (or core) level of faith, where a person becomes aware of God-experience in light of which one perceives that way of life where she or he can best express and pursue a fundamental choice of God and the good; (2) the reflection/assessment level of day-to-day choices of vary-ing degrees of significance and permanence made with a sufficient de-gree of interior freedom and in resonance with one's fundamental expe-rience of God; (3) the action level whereby a discerned judgment or de-cision is brought to completion by translating it into a concrete behavior that, if it is truly discerned, will bear the fruits of the Spirit. Relationship of DiScernment and Conscience Discernment is critical in the process of what lawyer-priest, R.P. Stake, calls the "evangelization of conscience" which entails the power of the Gospel to reveal to an individual the fact and the seriousness of one's sins.5 What discernment brings to the evangelization of conscience in:~ cludes: (l) a sharper focus on the subjective and unique factors at work,] for this person in this .situation (especially important at a time of accel-erating moral complexity and waning adequacy of objective moral norms and extrinsic moral authority); (2) a situating of decision-making within ff ~?a biblical tradition of both Old and New Testaments, especially in the letters of John and Paul;~(3) a rooting and contextualizing of the decision-r~ aklng process in a person's prayer and experience of Go~l; (4) a more ihtentional attempt to examine motivations to see from where they are ~commg and to where they are 'l~ading so as to create the conditions for greater interior freedom in making choices;~(-5) a nuancing of choicest-- not just of the good over the bad, the genuinely good over the supposed good, but also choices among goods; ~(6) in contrast to an excessive de- 6411 / Review for Religious, September-October 1990 pendence on laws and authority as sources of moral judgment, discern-ment is conducive to ~clearEr focusing of responsibility four,the decision ~. 3. -- a~nd its cons~equ_e_n-ces on_ the pers_on making the de_.c~!s~on; (~7) ~n contrast to an individualistic and isolated process, a situating of the decision~ making process within the context of a person's faith commUfiity; (,8)~ contrast to a more exclusively rational and deductive approach (~s is often the case in the exercise of prudence ), ] serious~consideration of human affectivit~ as an important locus of grace~in human choice. , In testing the spirits oy measunng them against one s tunoamen-tal God-experience, moral judgments are more likely to be integrated with conscience as well as reinforcing of conscience at the level of one's fundamental choice¯ In short, discernment makes for a more prayerful, thorough, personalized, interiorized, and human process of conscience formation¯ Hopefully the discussion thus far makes clear that discernment is not dispensation from moral law, but rather an invaluable help in observing it. Rather than an "occasional exercise," discernment presupposes the cultivation of a "prayerful mode" and commitment to contemplative practice that can clarify one's vision and solidify one's dedication to truth¯ It is interesting to note that moral theologians today are showing a marked interest in a discernment approach to moral choice.6 ~,Role of the Church in Formation of Conscience ~The Church (understood as the e~n~ir'~Z~P~'o~le~f~G~d)~ qt preserves and hands down a faith-community's values, is an impor-tant, but limited agent in the evangelization of conscience¯ The teaching ~'Church is not a substitute for conscience; nor is its proper role one o~ ~Grand Inquisitor"; nor yet is it the ultimate arbiter of morality¯ Con-science is. But the Church is a privileged moral teacher and recognized ~leader that plays a significant role in thg~ilJp_mination of conscience. It d~es not create morality. Rather it helps people to discover God's de-sires for humankind which are written on the "fleshy tablets" of the hu- ~man heart¯ Not only does the Church embrace historically and cross-culturally an experience far wider than that of a single individual or cul-ture, but believers hold that the Church has special guidance from the Holy Spirit. Though the Church cannot be expected to address all the val-ues in every moral situation, it can provide norms against which people can measure their own moral judgment. Such norms protect values. Val-ues may be protected in different ways in different eras and/or cultures. Above all, the Church is eminently equipped to help form mature Chris-tian consciences that will enable people to accept responsibility for "us- Moral Issues / 6t19 ing the heads God gave them" in arriving at sound moral decisions. ~Role of-Sp~tual Director in Formation of Conscience ¯ ,Since:mOraVand~spiritual~life:should not'be d~vided~ the~d~rector ob7- ~o~s.~y ~ concerned w~th the moral choices of the directee. In the pro-cess of disce~ment, choices should be consonant with a fundamental choice of the Light and with the person's value system. Though neithe~ ~a represeatative 6fthe-teaching Church as such nor a moral judge of oth- .ers -Consc~ence~ ~n the role of spiritual dire&or, nevertheless ihe-dir~' t~r dbe~ have a responsibility to assist in the ongoing evangelization of conscience by way of enabling individuals to find their own way.- The director also needs to pay attention to his or her own blocks, biases, and unfreedoms that can arise from conflicts between the director's value sys-tem and that of the directee. The director's moral code is not normative ,for the directee. ~ spiritual director acts best as moral guide by being a witness to ~,(trut~hd pers0ndleXample Of integrity~- In addition, the director can help form consciences by appropriate interventions, pat~'e nt wa~t~ng," " compas-sionate understanding, and by maintaining a non-judgmental attitude, -~hde at the same t~me offering honest challenge. The most helpful in-tervention is attentive listening. All spiritual growth, including the evangelization of conscience, happens incrementally. This calls for pa-tience and attentiveness to the readiness of the directee in a~iving at her or his own judgments. It should be noted that self-denigration is one of the most basic moral issues with which many in direction need to deal~ Real or supposed moral lapse especially can deepen it, and this calls for compassionate understanding. Yet, good people are prone to subtle ways of rationalizing and, at times, need honest challenge. It is one thing to experience ambiguity in moral issues; it is another to refuse to wrestle with it] It is comfo~ing to remember that when difficulties arise, the same Holy Spirit who illumines discerning hea~s is also leading persons to moral integrity~ What specifically can a spiritual guide do to enable the formation of conscience? At the fundamental level of conscience, it can be assumed that the person coming for direction has made a fundamental choice of God and the pursuit of good. It would be important in making discerned moral choices that persons continue to refer back to the deepest level of their God-experience. In reference to a major life-decision affecting a per-son's deepest commitments (for example, to enter or to leave marriage, priesthood, vowed life), a director might ask: Has the directee spent shf-ficient time in serious prayer? Made a careful examen of motives? Asked 650 / Review for Religious, September-October 1990 others for feedback? It is at the reflection/assessment level of conscience that most guid-ance is sought. :S~6'~ " a "ec o be ~i~fulz ~ (1 ) In assessing moral maturity: What is the quality of the moral rea-soning process of the directee in reference to this choice? Does the per-son have a sufficiently informed conscience? Where are the blind spots? To what extent is the directee open to outside input? Is she or he making efforts to inform conscience by some reference to moral norms? (for ex-ample, Scripture, norms of his or her faith community?) Has the directee already made up his or her mind and now is unwilling to be "confused with the facts"? Does the directee rely on authority and law for some directives she or he likes, but on a subjective process of "discernment" for others she or he does not? Who will be affected and how by this moral choice? (2) In clarifying values: What values seem important to the directee (as they become visible in choices acted upon as well as spoken of!) and in what priority are they held? Does the person have sufficient clarity con-cerning these priorities? What values does the directee perceive in refer-ence to the specific moral issue with which she or he is now struggling? Is there any struggle? In "grey" areas is the directee willing to strug-gle? Has the director grappled with the same issue and know where she or he stands at present? Is the director clear about his or her own value system? What unfreedoms in the director might significantly hinder fa-cilitating the directee's discernment? (3) In establishing a prayerful mode: Is the directee bringing the is-sue to prayer/discernment: sufficiently in touch with her or his experi-ence of God? seeking inner freedom? gathering sufficient data? attentive to affective responses as options are explored and data gathered? In re-flecting on and in assessing options, does the directee feel any incongru-ence or resistance within towards one or the other option? In deciding on the action level of conscience: Does the directee trans-late moral judgments into deeds? Is she or he open to accountability? Will-ing to take responsibility for his or her actions? What are the conse-quences of the directee's moral decision for others? For self? ~Difficulties Facing Directors in Dealing with Conscience ,Since consciences differ as people do, it .is tO be expe~.cot_eod_~that diffi- ~'ulties can arise indealing with moral issues. These include: ~(1) Difference in moral conviction: When there is a difference of moral conviction on an issue with a directee (for example, divorce, Moral Issues / 651 greed, tax fraud, contraception, sexual activity, and so forth), what is the moral responsibility of the spiritual director? Although a guide in the process of moral choice rather than a teacher of morality, a spiritual di-rector must make a judgment as to whether she or he feels so strongly about an issue as to be unable to help the person deal with it. The direc-tor might pose the question: Will my own strong conviction constitute a major interference in the direction process? What would be appropri-ate to share with the directees at this time concerning my difference of conviction? (For example, a director might be absolutely unwilling to help a person "discern" an abortion.) ~(2) Inadequate social moral consciousness of the directee: What can a director do to help a person broaden the horizons of a conscience lack-ing in social consciousness or with little sense of social sin? On the one hand, the director needs to respect the value system of the directee and to respect readiness for change. On the other hand, the working alliance between the two should also have provided for appropriate challenge as a help to growth. If social consciousness seems to need broadening, a director might: (a) suggest readings to provoke thought; (b) be attentive to possible points of entry for discussion arising from life experience re-ported by a directee that can be occasions of broadening social aware-ness-- for example, a chance brush with a beggar or a personal experi-ence of discrimination; (c) suggest firsthand exposure to situations of so-cial concern--for example, volunteering time at a shelter for the home-less; (d) at times of periodic assessment (for which a good working alli-ance will also make provision), an honest and direct, yet gentle challenge may be in order. ~)(3) Distress after moral lapse: Without unduly mitigating a healthy sense of guilt that helps a person to recognize culpability and move to repentance, a compassionate director can help minimize the debilitating preoccupation that often accompanies guilt. If a person is overly dis-traught over a moral lapse, a director can help by getting the directee to contextualize it, that is, to see it in relationship to his other fundamental option and to the rest of his or her moral life. Does it reverse the funda-mental optioh? Erode it? Not substantially affect it? In addition to sin, where has grace been experienced? How might the experience of moral lapse and its aftermath (for example, a lessening of spiritual pride) been an occasion of grace? Conclusion In dealing with moral issues in spiritual direction, we have explored the meaning and relationship of moral and spiritual life and seen that the 652 / Review for Religious, September-October 1990 two should not be divided. Moral life has as one of its concerns a key aspect of spiritual life--namely, decision-making and its relationship to character formation. Discernment is not an alternative to, but an enrich-ment of moral decision-making. Both Church as moral teacher and spiri-tual director as moral guide play significant, but different and limited roles in the formation of conscience--the final arbiter of moral judgment which, in turn, must always remain open to ongoing formation. Finally, we considered some ways for a spiritual director to deal with difficulties that arise in dealing with moral issues. Hvopefully, both Church and spiritual director will provide teachi~g~ find guidance that will enable folks, as-Mom says, "to use the heads God !~ga,~ethem to think for themselves!" That might give both the terms moral and spiritual life better press! You know, as I think of it, my mother was and continues to be my first (and probably my best!) profes-sor of moral and spiritual theology! Exercise Can you think of a situation in which your moral judgment differed from that of a directee? One in which the directee's was in conflict with Church teaching? What did you judge as your own moral responsibility towards the di-rectee? How did this affect your ability to discern as spiritual director? How did you try to discern what you should share with the directee? What aided your discernment? NOTES ~ See B. Haring, Free and Faithful in Christ, Vol. I (New York: Seabury, 1978), pp. 2-3. 2 Ibid, p. 253. 3 K. Rahner & H. Vorgrimler, Theological Dictionary (Herder & Herder, 1968), p. 95. 4 "Gaudium et spes," (n. 16) The Documents of Vatican II, W.M. Abbott, ed. (New York: Guild Press), p. 213. 5 R.P. Stake, "Grounding the 'Priest-Penitent Privilege' in American Law," Con-fidentiality in the United States (Washington, D.C.: CLSA, 1988), p. 151. 6 For example, see Tracing the Spirit, J.E. Hug, ed. (New York: Paul ist, 1983), pp. 379ff. Should Spiritual Directors Be Licensed? Timothy Brown, S.J. and Harriet A. Learson Father Timothy Brown, S.J., is assistant professor of law in the Sellinger School of Business and Management, Loyola College in Baltimore, Maryland. Harriet Lear-son, M.B.A., M.A., is a senior management consultant, Right Associates, in Phila-delphia, Pennsylvania, and is a practicing spiritual director. Correspondence may be addressed to Loyola College; 4501 North Charles Street; Baltimore, Maryland 21210- 2699. In today's service-oriented society, one can hardly avoid the media's al-most daily reports about the issue of malpractice. Doctors, lawyers, psy-chologists, psychiatrists, and human service professionals are becoming increasingly liable and vulnerable to public scrutiny regarding their prac-tices, philosophies, and ethics. In an editorial in the Jesuit publication Human Development Father James Gill, S.J., a Jesuit psychiatrist, raised the question of licensing spiritual directors. He comments: Haven't we reached a point in the Church's history when a group of well-trained and experienced spiritual directors can come together and deter-mine what type and amount of preparation would entitle a candidate to be licensed as a spiritual director? For the self-confidence of the direc-tors, no less than the well-being of their directees, a board of examiners and a certifying process comparable to those maintained by clinical psy-chologists, nurses, and physicians should be created. These profession-als have, in conscience, set high standards for their performance for the sake of their clients. We who are given access to the deepest recesses of souls should hardly be less conscientious. I There has been an outpouring of lawsuits against Churches and clergy as a result of alleged malpractice in recent years. The term that 653 654 / Review for Religious, September-October 1990 has been coined is clergy malpractice which covers a wide variety of torts and crimes including child abuse, paternity suits, and intentional inflic-tion of emotional distress. The constitutional questions, under both state and federal Constitutions, oftentimes deny a cause of action because of the First Amendment issue of separation of Church and State. A number of cases have come to the attention of the media in the area of clergy mal-practice. One of the most noteworthy comes from California, Nally vs. Grace Community Church.2 In this case, parents whose son committed suicide brought an action against a church and church-related counselors, alleging negligent coun-seling and outrageous conduct which ultimately led to the death of their son.3 I. Constitutional Issues in Nally Vs. Grace Community Church Kenneth Nally committed suicide after having become part of a re-ligious organization that his parents alleged suggested to his son that, if you kill yourself, you will go to heaven. His parents brought suit against the Grace Community Church of the Valley, a fundamentalist sect, lo-cated in Southern California. The parents sued the church and four pas-tors for malpractice, negligence, and outrageous conduct. They con-tended that the church's evangelical fundamentalist teachings "in-culcated in their son the belief that he had betrayed Christ's love and trust, and otherwise exacerbated Ken's preexisting feelings of guilt, anxi-ety, and deep depression with the knowledge that these acts would in~ crease the tendencies of Ken to attempt to take his own life."4 The church countered that the young man had been examined by five physi-cians and a psychiatrist after an earlier suicide attempt and that the coun-selors had arranged or encouraged many of these visits. A trial judge dis-missed the case after the close of the plaintiff's case, 5 and the case was appealed. The appellate court reversed the trial court's nonsuit of the negli-gence and outrageous conduct allegations against the Grace Community Church and several of its pastoral counselors. They held that the Church's counselors negligently failed to refer this suicidal youth to those authorized and best suited to prevent his death.6 Associate Justice Johnson writing for the majority began the opinion by clearing up the confusion regarding the issue of clergy malpractice: The court., does not view the causes of action discussed in our opin-ion to involve 'clergy malpractice.' Instead, we see them more accu-rately characterized as 'negligent failure to prevent suicide,' and 'inten- Should Spiritual Directors Be Licensed? tional or reckless infliction of emotional injury causing suicide'- which negligence and intentional or reckless acts happens to have been committed by church-affiliated counselors. In our view this case has lit-tle or nothing to say about the liability of clergymen for the negligent performance of their ordinary ministerial duties or even their counsel-ing duties except when they enter into a counseling relationship with sui-cidal individuals.7 The church appealed the ruling by the California Court of Appeals for the Second District. After eight years of litigation after the suicide of Kenneth Nally, the Supreme Court of California in a 5-2 opinion held that the "legal duty of care" imposed by the State on licensed praction-ers did not apply to the clergy.8 Chief Justice Lucas writes: "Neither the legislature nor the courts have ever imposed a legal ob-ligation on persons to take affirmative steps to prevent the suicide of one who is not under the care of a physician in a hospital. Imposing such a duty on nontherapist counselors could have a deleterious effect on coun-seling in general and deter those most in need of help from seeking treat-ment out of fear that the private disclosures could subject them to invol-untary commitment to psychiatric facilities."9 The California court notes the California legislature's recognition that "access to the clergy for coun-seling should be free from state imposed counseling standards." to Two other Justices agreed that the case should be dismissed but said the defendants did have a legal duty of care but that the evidence showed the pastors never breached it or contributed to the man's death. The Court unanimously dismissed the case. II. Spiritual DirectionmA Definition Whether spiritual directors should be licensed to prevent the kind of tragedy described in the Nally case is a question that is presently being debated by many in the field. Spiritual direction has a very broad con-notation. It can be defined as an interpersonal situation in which one per-son assists another person to growth in the spirit, in the life of faith (prayer), hope (difficulties), sufferings (trials), and love (the person's life in the Christian community). 1~ Spiritual direction may better be defined by what it is not, rather than by what it is. Spiritual direction is not pri-marily information even though it may be the occasion for sharing ideas. It is not primarily therapeutic even though there are times when issues of mental and psychological need get discussed. It is not seen as primar-ily advisory although in many situations good advice is imparted. Spiri-tual direction is viewed as primarily the opportunity to get clarification and discernment. How this gets accomplished is by discussing the prayer 656 / Review for Religious, September-October 1990 life and spiritual life of the directee so as to shed some light on what is happening in the life of faith, hope, and love in relation to God. In spiritual direction, the directee tries to describe to a spiritual di-rector his or her prayer experiences. The subject matter of that discus-sion constitutes such areas as when prayer happens, how often, how, what actually happens in the prayer period, other daily life issues such as anxiety over family, job, day-to-day depressions, joys, consolations and desolations, issues of tolerance, patience, and possible manipulation of others. The director's role is to help the person to objectify those per-sonal experiences, to assist by asking appropriate questions in order to gain some clarity on the directee's personal issues. The spiritual direc-tor is interested in helping the directee in the life of prayer so that the relationship with God and the men and women with whom they live and work can become strengthened and enhanced. III. Basic Skills Required of a Spiritual Director At the Jesuit Spiritual Center in Wernersville, Pennsylvania a com-petency profile was developed in an effort at concretizing and articulat-ing the requisite personal qualities, knowledge, skills, and graces to do spiritual direction. Here are some of the standards that were established in that study: 1. Personal Characteristics/Qualities A. Living a vital spiritual life B. Being a recipient oneself of spiritual direction C. Docility to the Spirit D. Kindness E. Gentleness F. Psychological Maturity G. Initiative H. Having a broadly lived human experience J. Stability K. Respect for confidentiality L. Sociability M. Detachment N. Productivity 2. Knowledge A. Lived experience in the Christian tradition B. Christian Doctrine/tradition C. Sacred Scripture D. Christian mystical/ascetical traditions E. The Spiritual Exercises Should Spiritual Directors Be Licensed? / 657 F. Ecclesiology G. Grace H. Christology J. Vatican II K. Justice L. A psychological matrix (theory & language) M. Jungian Psychology 3. Skills/Abilities A. Intrapersonal (affective awareness) B. Discernment C. Listening D. Clarifying E. Diagnosing F. Prescribing G. Judgment H. Common sense J. Interpersonal Skills K. One-on-one L. Group M. Trustworthiness 4. Graces A. Spiritual freedom B. An ongoing call to this work by others C. Called by grace to this work D. Seeing the Gospel happening~2 IV. Ministerial Malpractice Malpractice refers to professional misconduct or the failure of one rendering services in the practice of a profession to exercise the degree of skill and learning normally applied by members of that profession in similar circumstances.~3 The traditional elements necessary to state a cause of action in negligence have beenstated by Prosser as: 1) a duty, or obligation, recognized by the law, requir-ing the actor to conform to a certain standard of conduct for the protection of others against unreasonable risks; 2) a failure on his part to conform to the standard re-quired; 3) a reasonably close causal connection between the con-duct and the resulting injury; and 4) actual loss or damages resulting to the interests of an-other. 14 Review for Religious, September-October 1990 The problem that the courts would face in trying to construe a duty, and then defining that duty in the area of spiritual direction, is in attempt-ing to define what falls within the parameters of the spiritual as opposed to psychological counseling. How would a court make some kind of de-termination as to whether a directee's problem is, in fact, a spiritual or psychological one. The reason that distinction is so necessary is to safe-guard and protect members of the clergy involved in spiritual direction. Father John English, S.J. has written that the distinction between spiri: tual and psychological counseling is oftentimes a fine one. He comments that "although it may be helpful for the director to distinguish between psychological and spiritual counseling, these realities are not distinct within the person being counseled. And the concern is always with the total person." ~5 There are occasions when a director can see that the real need in direction is no longer to facilitate growth in relationship with God but instead to move the person into a psychological counseling setting so that other issues in the directee's life can better be addressed. What are some of the occasions when someone should be referred to therapy? One spiritual director, Mercy Sister Maureen Conroy, R.S.M. regards three situations as clearly signals to refer. They are: 1) when a person experiences serious psychological and emotional disorders, including depression, severe neuro-sis, suicidal tendencies, psychosis; 2) when more time needs to be spent exploring a present life issue, such as a marital problem; and 3) when specific therapeutic skills are needed to explore the conscious and unconscious effects of past life expe-riences, such as sexual abuse or emotional neglect in child-hood. 16 The Supreme Court of California in the Nally case addressed the is-sue of referral of seriously ill directees. Regarding the duty as to "whether the court should impose a duty on defendant and other 'nonth-erapist counselors' (that is, persons other than licensed psychotherapists who counsel others concerning their emotional and spiritual problems) to refer to licensed mental health professionals once suicide becomes a foreseeable risk," the court said no.~7 In determining the existence of a duty of care in any given case, a number of factors were considered, including: "the foreseeability of harm to the injured party, the degree of certainty that he suffered injury, the closeness of the connection be-tween defendants' conduct and the injury suffered, the moral blame at-tached to (defendants), the policy of preventing future harm, the extent Should Spiritual Directors Be Licensed? / 659 of the burden to the defendants and consequences to the community of imposing a duty to exercise care with resulting liability for breach, and the availability, cost, and prevalence of insurance for the risk in-volved. ' ' 18 The court cautiously noted the inappropriateness of imposing a duty to refer in areas involving spiritual counseling because of the very na-ture of the relationship. So many times those relationships are informal, spur of the moment, and gratuitous. The foreseeability of harm may not always be recognized in a one hour session with a disturbed directee. The court concluded by saying that "imposing a duty on defendants or other nontherapist counselors to. insure their counselees [are also] under the care of psychotherapists, psychiatric facilities, or others authorized and equipped to forestall imminent suicide could have a deleterious ef-fect on counseling in general." 19 The California legislature has exempted the clergy from any kind of licensing requirement applicable to "mar-riage, family, child and domestic counselors, and from the operation of statutes regulating psychologists.' ,20 The court took note that the reason why the legislature has exempted clergy from licensing is in order to ex-plicitly "recognize that access to the clergy for counseling should be free from state imposed counseling standards, and that the secular state is not equipped to ascertain the competence of counseling when performed by those affiliated with religious organizations.''2~ V. The Difficulty of Devising Workable Standards For Determining Negligence Along with the difficulty the court recognized with arriving at some kind of workable standard of competency to be established in religious counseling situations, the Nally court also noted the added problem of identifying to whom the duty of duc care should be applied. It would be an immense task to define what exactly constitutes a spiritual direction relationship. Who qualifies as aspiritual director (only the ordained? mem-bers of religious orders?) as well as trying to resolve the issue of relig-ious diversity demonstrates difficulty in determining in what context the interaction is framed. There are all kinds of First Amendment issues in-volved as well. The court expressed the dilemma writing: "Because of the differing theological views espoused by the myriad of religions in our state, and practiced by Church members, it would certainly be impracti-cal and quite possibly unconstitutional to impose a duty of care on pas-toral counselors. Such a duty would necessarily be intertwined with the religious philosophy of the particular denomination or ecclesiastical teach-ings of the religious entity.' ,22 66{I / Review for Religious, September-October 1990 Establishing some kind of criteria of competency that a court could apply would always involve a state intrusion into the realm of religious doctrine and practice. The state would be put in the position of asking whether a particular religious practice was indeed being employed, a par-ticular teachin~g applied correctly, a particular style of spirituality or dis-cernment used properly. All these determinations entail a great deal of state entanglement in sectarian matters. In 1971 the Supreme Court in Lemon vs. Kurtzman,23 adopted a three prong test to decide whether a government activity violates the Estab-lishment Clause of the First Amendment. The test requires that: 1) The purpose of the action be clearly secular; 2) The primary effect of the action must neither advance nor inhibit religion; and 3) the activity may not result in excessive government en-tanglement with the religion.2a Any kind of judicial enforcement of some kind of standard of com-petency for spiritual directors would fail the Lemon vs. Kurtzman test on all three points. The effect of the government overseeing the practices of spiritual directors would more than likely inhibit some of the freedom required to explore, discern, and clarify issues in spiritual direction. The potential for excessive church-state entanglement in the area of enforce-ment of guidelines for direction is limitless. Any standard of care applied in determining qualified licensed prac-tioners in the field of spiritual direction would involve some sort of check as to whether the practice was in step with the religious criteria set forth in the religious teachings of the sect. At best it could be argued that some minimum standard of.training and competence to protect the public from religious fanatics, charlatans, or frauds might be established, but any full-fledged licensing would stifle First Amendment freedom and inhibit re-ligious practice. VI. Difficulties in Establishing a Standard of Care for Spiritual Di-rectors Looking at the Competency Profile of the Jesuit Spiritual Center, one wonders how a court would be able to determine what constitutes com-petency when the spiritual qualification requirements of directors include such characteristics as: 1) Living a vital spiritual life--a life of charity; 2) Habitual experience of individual prayer; 3) A life of Charity .toward all peop!e coupled with an awareness of the w~der needs of the human family; Should Spiritual Directors Be Licensed? / 661 4) An evermore intense interior experience; 5) An ever-growing delicacy of conscience; 6) Kindness--having and showing a benevolent readi-ness to intend the good of others; 7) Giftedness--honoring another's perceptions, judg-ments, and person; a non-defensiveness of spirit, pa-tience, and sympathy; 8) Psychological maturity--free from crippling emo-tional, mental, or volitional habits of a neurotic nature; 9) Sociability--the ability to interact with a variety of per-sonalities; 10) Knowledge--lived experience in the Christian tradi-tion; 1 1) Skills and abilities--interpersonal awareness of one's interior mental and emotional states; 12) Discernment--the experiential knowledge of self in the congruence of the object of choice with one's funda-mental religious orientation; 13) Judgment--the ability to form wise opinions, esti-mates, and conclusions from circumstances presented to the director; 14) Graces-spiritual freedom --without undue influence of disordered affections and attachments; 15) An inner suppleness of character.25 Looking over this list of characteristics needed to be a competent spiri-tual director one could see the difficulty that a court of law would have in trying to render a determination of standards which would meet licens-ing requirements. Courts are not in any position to evaluate the content of the prescribed qualifications. Aside from the obvious First Amend-ment problems found in making judgments on what grace, kindness, char-ity, and other criteria operative within the practice of spiritual direction are, licensing could discourage and diminish the gifts of both the direc-tor and directee. It is the view of the authors that licensing, evolving in the current secula¢ context, goes against the very grain of what spiritual direction is all about and could do a real disservice to those who enter into a direction relationship fearing lawsuits. It could also have a chill-ing effect on directees as well. There is something unique, healing, and very human about spiritual direction as a growth process if we view it as art, science, and discipline. 662 / Review for Religious, September-October 1990 VII. Some Final Observations In reviewing the current legal opinions regarding malpractice in the area of spiritual and pastoral counseling, the authors present several ob-servations. --Licensing spiritual directors is clearly a prophetic question as pro-posed by Gill and is coming increasingly into its own time. The issues surrounding licensing are complex, profound in their implications, dis-turbing, and hopeful as we look at the work of defining the criteria for training, developing, and evaluating competent directors. --Defining what competencies are needed in a spiritual director in different schools of spirituality, religious groups and sects, and what con-tent needs to be included in their training programs producing such pro-fessionals is a challenge that is only beginning to be publicly addressed, discussed, or attempted. --In light of the current legal findings and opinions, spiritual direc-tors need to demand and seek training that is concerned with addressing issues of competency as defined by the required knowledges, skills/ abilities, and personal characteristics/qualities reflecting their spiritual tra-dition towards achieving competency in the training of spiritual direc-tors. --First steps would be for practitioners in the field to come together in a spirit of open inquiry, genuine unselfish concern, and humble aware-ness of the enormity of the task to be accomplished. Developing semi-nars and forming associations or professional forums could provide prac-titioners the milieu to discuss, study, and outline priorities and action steps towards the establishment of professional criteria and guidelines for training, developing, and evaluating spiritual directors. NOTES Gill, "License Spiritual Directors?" 6 Human Development 2 (Summer, 1985). Nally vs. Grace Community Church, 204 Cal. Rptr. 303 (Cal. App. 3 Dist. 1984). Ibid, at p. 303. 4 Ibid, at p. 303. 5 Ibid, at p. 303. Nally vs. Grace Community Church, 253 Cal. Rptr. 97, 1988. lbid, at p. 219. 8 lbid, at p. 105. 9 Ibid, at p. 105. ¯~o Ibid, at p. 105. Jesuit Center for Spiritual Growth, Competency Profile. ~2 Restatement (Second) of Torts 299A (1977). t3 Ibid. ~4 W. Prosser, Law of Torts (1966). 15 j. English, Spiritual Freedom (1975). 16 M. Conroy, Growth in Love and Freedom (1987). 17 Nally vs. Grace Community Church, 253 Cal. Rptr. 97 at p. 106. Should Spiritual Directors Be Licensed? / 663 18 Ibid, at p. 106. 19 Ibid, at p. 103. 20 Ibid, at p. 108. 21 Ibid, at p. 108. 22 Ibid, at p. 109. 23 Lemon vs. Kurtzman, 403 U.S. 602. 24Ibid, at p. 60. 25Jesuit Center for Spiritual Growth, Competency. The Risk You take a risk when you invite the Lord Whether to dine or talk the afternoon Away, for always the unexpected soon Turns up: a woman breaks her precious nard, A sinner does the task you should assume, A leper who is cleansed must show his proof: Suddenly you see a hole in your roof And a cripple clutters up your living room. There's no telling what to expect when He Walks in your door. The table set for tea Must often be enlarged and decorum Thrown to the wind. It's His voice that calls them And it's no use to bolt and bar the door: His kingdom knows no bounds-~of roof, or wall, or floor. Marcella M. Holloway, C.S.J. 6321 Clemens Avenue St. Louis, Missouri 63130 Prayer as Desire: An American ViewI Richard E. Lamoureux, a.a. Father Richard E. Lamoureux, a.a., has been provincial for the Augustinians of the Assumption. His address is Assumptionist Center; 330 Market Street; Brighton, Mas-sachusetts 02135. The contemporary American artist Andrew Wyeth teaches us a good deal about prayer. Many of his paintings, depicting everyday objects--a bowl of fruit, a cookie jar, a cooling blueberry pie--invite a quiet, simple gaze. But it is not just Wyeth's spare, silent scenes that lead us in the direction of prayer. So many of his portraits are unconventional inas-much as they present the subject turning away from the viewer, appar-ently looking for something in the distance. Forrest Wall, shown in the Man from Maine (1951), turns his back to us and peers out a window partially visible on the right. Elizabeth James, in Chambered Nautilus (1956), does the same from her sick bed. What may be Wyeth's most famous painting depicts Christina Olsen (Christina's WorM, 1948) sit-ting in the field below her home, straining with all her might in the di-rection of the house as if she might return there on the strength of her desire despite the palsied legs that restrict her to the ground. Two of his most beautiful paintings are portraits of Jimmy Lynch. One (The Swinger, 1969) shows him on a porch swing looking off into the dis-tance; the other (Afternoon Flight, 1970) catches him similarly absorbed. What is it on the horizon that draws his gaze?2 This most American artist explores a dimension of our existence that I would consider to be a central ingredient in prayer. In what follows, I want to explain how longing or desire is at the heart of prayer and how desire has fared in our recent American experience. Finally, I will sug-gest a way to address the particular challenge that faces us as American 664 Prayer as Desire / 665 women and men of prayer. No one has explained better than Saint Augustine how desire is re-lated to prayer. Sometime at the beginning of the fifth century, Augustine received a letter from Proba, a Roman woman whose husband had just died.3 Her purpose in writing was to ask a simple question: can you tell me something about prayer that would be helpful? In his response, Augustine writes unexpectedly at great length about widowhood and then tries to explain how it relates to prayer. For example, he says to Proba: What characteristic of widows is singled out if not their poverty and deso-lation? Therefore, insofar as every soul understands that it is poor and desolate in this world, as long as it is absent from the Lord, it surely commends its widowhood, so to speak, to God its defender, with con-tinual and most earnest prayer (p. 400). Augustine very simply reminds Proba that her widowhood, that is, her experience of loss and especially her desire for presence once again, is a precious opportunity to learn about prayer. If you would want to pray, Augustine seems to be saying, begin with the experience of desire or longing. Augustine, then, defines prayer primarily as desire. Words and pi-ous activities, which we normally think of as prayer, are useful only to the extent that they intensify our desire for God. They are necessary, he writes, so that we may be roused and may take note of what we are asking, but we are not to believe that the Lord has need of them . Therefore, when we say "Hallowed be thy name," we rouse ourselves to desire that his name, which is always holy, should be held holy among men and women also . . . (p. 391). Desire then is synonymous with prayer. In relating the two in that way, Augustine teaches us three very important lessons about prayer. First, prayer is really very simple. It is as natural for human beings as desire is. And desire, as we all know, is a universal human experience. It is as natural for a person to pray as it is for a person to desire. And a person who desires is a person who can pray. Second, by defining prayer in terms of desire rather than in terms of methods or formulas or actions, Augustine more clearly situates it as a function of the human heart. There is little that is more personal to us or that we are more hesitant to divulge than our desires. And Augustine would have us understand that it is precisely in that most intimate and personal place that prayer is born and grows. 666 / Review for Religious, September-October 1990 Finally, by relating prayer to desire, Augustine helps us to under-stand that we can grow in prayer, for taking our desires seriously is a stimulus to such growth. He develops this idea in his letter to Proba and most especially in the Confessions. To Proba he writes: God wishes our desire to be exercised in prayer that we may be able to receive what he is preparing to give (1 Co 2:9) . Therefore, it is said to us: "Be enlarged, bear not the yoke with unbelievers" (2Co 6:13, 14), (p. 389). Desire helps to enlarge the heart. Augustine would claim that by fan-ning the flame of desire, we will become more able to recognize God's gift when it is offered and to appreciate it to the extent that it deserves. In the Confessions Augustine explains even more clearly how tak-ing our desires seriously is a stimulus to growth in prayer and can lead to deeper faith and intimacy with God. These desires are a complex re-ality ["Who can unravel that complex twistedness?" (II, 10)4] But rather than shy away from the complexity, Augustine sets out on a long journey precisely to get to the bottom of those desires. He goes all the way back to his earliest desire for the milk from his mother's breast, then recalls the games of his youth, and also the longing for wisdom when he read Cicero. With anguish, he remembers the burning desires that char-acterized his early relations and the resistance he put up to other desires lurking in his heart. "My soul turned and turned again, on back and sides and belly, and the bed was always hard" (VI,16). Augustine's long journey through the labyrinth of his soul was marked by a painful experience of desires at war with each other, but even more so by a confidence that the battle waged in all honesty and with his friends would lead to a liberation of his deepest desire, one that he came to understand could only be satisfied by God. "Behold thou art close at hand to deliver us from the wretchedness, of error and estab-lish us in thy way, and console us with thy word: 'Run, I shall bear you up and bring you and carry you to the end' " (VI, 16). Augustine took all of his desires seriously, even those that troubled him and brought him to tears, because he believed that all of them were in some way, at times in some distorted ways, a path to the deepest craving of the human heart. He seemed sure of God's love and also confident that deep within his own heart was an enormous love for God: "Thou hast made us for thy-self." (Confessions I, 1). Those are convictions we all find hard to come by, but they are crucial for growth along the way of prayer. To summarize then and to make the point clearly: for Augustine prayer is not more complicated than giving free rein and full expression Prayer as Desire / 66"/ to the sometimes confused desire for God that God has placed in our hearts. As he writes in his commentary' on the first letter of St. John: "Love and do what you will." Or perhaps I can say: "Desire and do what you will." Now, that may sound simple, but there are a few complicating fac-tors, some of which Augustine was aware of. Many of the complicating factors, however, are particular to our own time and culture; they are the shadow side of the cultural qualities we cultivate in the United States. One of the recent most popular movies, Dead Poets Society, is a se-rious indictment of American culture. It tells the story of a private pre-paratory school in the United States in 1959, where faculty and student body alike hold in highest esteem the pursuit of successful careers and high social status. Along comes an eccentric poetry teacher, effectively portrayed by Robin Williams. He succeeds in opening a few sleepy, even blind eyes, urges his students to ("carpe diem") "seize the moment," and awakens them to the excitement of poetry. Dull, distracted boys be-come spirited young men full of powerful desires. They found their own secret society where dead poets--and dead students-~come back to life. The movie was successful, I suppose, because it touched a sensitive chord in our American hearts. Though we are reluctant to admit this, the movie helped us see that we might be dull people, men and women with-out longing, without desire. But you might object: "Doesn't every human being desire some-thing?" As I reflected on the movie, I came to understand that for a va-riety of reasons and in different ways desire has been drained from our hearts. I could see it happening in four or five different ways. At other times and in other contexts, I might present the following items in a much more positive vein, as qualities that are proper to us as Americans. But in the context of this discussion on desire, what might be consid-ered the merits of our particular American way of living and looking at things becomes a liability. 1) In our day, in this country, by hard work, ingenuity, abundant natu-ral resources and a little bit of luck, we have attained a level of material satisfaction that enables us to meet most of our needs. We acknowledge that there are unsatisfied needs in us, but we are also confident that the only kinds of needs we have are needs that we can eventually satisfy our-selves. And if it takes too long to satisfy them, we energetically look for and usually find other remedies; there are many "quick fixes" we can turn to. But then if all the needs are satisfied, what is there left to de-sire? I am not simply condemning American materialism, nor am I re- Review for Religious, September-October 1990 ferring here to the unrestrained pursuit of pleasure and sensual satisfac-tion. Instead, I am suggesting 'that the level of material security we en-joy may be having a subtle, debilitating effect on our capacity to long for less material goods. When the Israelites complained to Jeremiah that it would be preferable to return to Egypt rather than remain in exile, he urged them to stay where they were for Yahweh was with them. Instead, however, they returned to Egypt "where at least they would not hun-ger" (Jr 42:1~4). It is not pleasant to be hungry, but can we live without desire? We can call this sort of person "the comfortable self," and the "comfortable sell'' has few desires. 2) Today especially we seek to be creative and responsible members of the human race. We are inclined to set aside as somewhat irrelevant and escapist distractions those vague interior Iongings that apparently can never be satisfied: there is too much in the world to do and no time to lose. We tend to set aside the simple and less gifted i~mong us and have little patience for wasted time and effort. In Bonfire of the Vanities, Tom Wolfe would say that our ambition is to be a "Master of the Universe," and we are convinced we just might succeed. The "creative, functional sell''has little time or. need for vague longings and can realize his desires by rolling up his sleeves. 3) Psychology has helped us uncover, identify, and explain many of our desires. But Freud would also have us demystify these desires, re-duce them to understandable drives, and either "manage" them so they do not interfere or banish them completely. The "psychological sell" runs the risk of reducing desires to insignificance by denying them the possibility of any transcendent origin, significance, or purpose. 4) Dead Poets Society points an accusing finger at a society drained of desire and life. But I think the movie suffers from the sickness it is trying to identify. Note the poets that are quoted in the movie: they are almost exclusively what we call the romantic poets. Other sections of the poetry anthology used by the students are ripped out. No mention of Shakespeare or Homer, Milton or Hopkins. Why should we read poetry, according to this movie? For the excitement of it, I gather. The movie seems to say: it does not really matter what you give your life to as long as you feel passionately enough to give your life. I admire the passion, but it is a self-destructive passion, self-preoccupied, narcissistic. Really, in the end, no passion at all. The desires of the "romantic sell'' self-destruct in a beautiful, but tragically brief burst of flame. 5) Finally, a word about the "tolerant sell'' and what that, in its most recent form, has done to desire. In many ways I consider this to Prayer as Desire / 669 be the most serious attack on desire in our day, and I will discuss it at greater length.5 The founders of our country, acutely aware of the reasons for which Europeans came to these shores and the political struggle that led to in-dependence, enshrined the principles of freedom and equality at the heart of our Constitution. They did so in revolt against oppression in the coun-tries they came from, to assure that in this new regime each person would be free to profess and practice the religion of one's choosing or none at all. In order to assure that no one religion would be given ascendancy and that all religions would be considered equally valid. Such liberty and equality imply a prior commitment to tolerance. As Locke had earlier suggested,6 not only does tolerance forestall religious wars and oppression, it would seem to be synonymous with Christian char-ity. We should hesitate to tamper with a doctrine such as that of toler-ance, which has brought us many blessings, but there may be some side effects that need to be taken into account. If tolerance leads us to assert that all religions are equally valid, then it seems inevitable that at some point one will begin to wonder whether it is worth embracing this par-ticular religion rather than another., or any at all. Tolerance as the paradigmatic American virtue in religious matters erodes conviction and desire; it all too often leads to indifference and loss of confidence.7 Let me explain with a non-religious example. For one person, work-ing hard to provide housing for the homeless is an important "value"-- to use that word as we are accustomed to using it today. For another per-son, earning a million dollars a year and dining at a 4-star restaurant five nights a week is a "value" she or he would hold to with as much, per-haps even more vigor. In a society where tolerance is the paramount vir-tue and where there can be no criteria for ranking so-called "values," our social worker has no right to consider his "value" more important than that of the millionaire. I think that is the conclusion we have to draw, and my guess is that our "tolerant" selves would be reluctant to draw any other. In that case, I could easily imagine the social worker, returning home after a frustrating fifteen-hour day, and exclaiming in quiet desperation: "why bother?" If all "values" are equal, our social worker will begin to doubt the real worth of what she or he is doing and be drained of passion or desire for the cause being promoted. Tolerance is a great American virtue. It protects us from oppression and even allows us to be critical of the regime. But the brand of toler-ance practiced today also exacts a high price. It can drain our soul of all 670 / Review for Religious, September-October 1990 passion. Without passion or desire, the "tolerant self' will find it very difficult to pray. The comfortable self, the creative self, the psychological self, the ro-mantic self, the tolerant self--so many ways in which desire has been disarmed. It has been disarmed or short-circuited. What keeps desire alive has been eliminated. Etymologically, the word "desire" with its reference to "sidera," the stars, suggests that without an object that tran-scends the self, desire that is not created by the self, or under its con-trol, or in any way dependent upon the self, desire quickly evaporates. I think the social and political consequences of diluted or disarmed de-sire have been considerable, but in the context of this discussion I want to draw attention to the consequences for our faith and our prayer as well. So, how do we recover desire? The question is an old one. It already appears in the Gospel. But, as I have tried to explain above, our American context leads us to pose it in a particularly acute way. It should not come as a surprise that since we Americans are closest to the problem that it is we Americans who have also hit upon a solution. I think that Alcoholics Anonymous and its 12-step program, begun in this country some fifty years ago, may be helping us rediscover desire and could be more helpful to those wanting to pray than any crash course on meditation.8 This may come as a surprising suggestion. But consider some of the more traditional methods used to foster growth in prayer. Among the early desert fathers and mothers, one popular and effective method (known in the Russian Orthodox tradition today as "starchestvo") is a practice whereby the novice reveals to his spiritual master all of his in-terior thoughts and feelings and humbly seeks help in discerning what God calls him to through these apparently confused experiences.9 Augustine himself sought to grow in prayer by telling story after story of how he pursued one way then another in search of happiness and peace. Ignatius of Loyola in the sixteenth century devised a system of spiritual exercises, whereby the one seeking to grow spiritually reveals the promptings of his heart to a spiritual guide who helps him interpret and discern the desires that will lead to growth. Ignatius even urged that his followers, members of his Society, regularly "manifest their con-science" to their superiors, much like the monks in the desert, in order to gain enlightenment. Those are the traditional methods of spiritual growth, but for some reason today for many they are not working, or we are not inclined to take them seriously. But many are taking the 12 steps seriously. One of Prayer as Desire / 671 the insights on which the 12-step method is based is the importance of recounting, at a meeting or to a sponsor, the story of one's desires-- desires for alcohol, for sex, for food, desires that have run out of con-trol, but also a desire, perhaps only a small spark at the outset, but a de-sire for sobriety. It is in the telling and the retelling of the story that the desires are sorted out, that the healthiest sparks are fanned into stronger flames, and that one begins to come to deeper serenity and happiness. Why does the 12-step program work? Because I begin to name desires rather than blindly accede to them, proudly condemn them, or run from them in fear. Because I acknowl-edge that a power greater than I alone guides human affairs, inspires hu-man desires, and fulfills the deepest among these: the desires I can sat-isfy will not bring peace to a restless heart. Because I acknowledge that in addition to that power other people are necessary to test my desires and help me keep the best alive. Because I know that helping others will intensify my own desire at the same time as it helps another. I cannot explain adequately in this context the effectiveness of the 12-step program. I am grateful to those friends and confreres who have given me some understanding of the 12 steps and for their own witness to the program's power. They could better make the point I want to make. Beneath the program is an understanding of life deeply consonant with the Gospel and, I would maintain, profoundly nourishing for one's life of prayer. Remember Augustine's words to Proba: Insofar as every soul understands that it is poor and desolate in this world as long as it is absent from the Lord, it surely commends its wid-owhood, so to speak, to God its defender, with continual and most ear-nest prayer (p. 400). Prayer is impossible if you start from a distorted understanding of the Gospel. As Americans, our comfortable self may be too sated to seek a Savior, our creative self may lead us to think we can save ourselves, our psychological self may convince us that the desire for a Savior is escapism, our romantic self may consider the desire an end in itself, our tolerant self may think open-ness and tolerance are identical with love. The Gospel, the writings of Augustine, and the 12-step program re-flect both more skepticism and more confidence about human nature than any of these false selves. They are not so afraid or angry with their hu-manness that they deny or disregard their desires, but they do not accept 672 / Review for Religious, September-October 1990 that responding to the most pressing desires will necessarily lead to the greatest happiness. They are deeply confident that their deepest desires can be satisfied, but have surrendered the illusion that they can or must explain or satisfy those desires on their own. They, like St. Paul, refuse to judge and condemn themselves, and certainly not others, but they cou-rageously and unambiguously name the desire that has led them to dis-aster and they can say: "My name is Richard or John or Dorothy, and I am an alcoholic!" Many are seeking new ways to pray, and a 12-step meeting is hardly an ancient method. But if I were to suggest the practices of sacramental confession or spiritual direction as ways to grow in prayer, many would not take note. Something has happened to our traditional practices or our use of them that has made them seemingly ineffective. What I am sug-gesting is that the 12-step program with its emphasis on confession/ story telling, community, and commitment to service--is a contempo-rary method that I feel convinced can teach us how to pray. I cannot help but believe that God is attentive to the simple prayer of a recovering al-coholic, a wounded person full of desire, who speaks with the words of the psalmist: God, you are my God, for you I long. For you my soul is thirsting. My body pines for you like a dry, weary land without water. So I gaze on you in the sanctuary to see your strength and your glory, for your love is better than life. My lips will speak your praise, so I will bless you all my life. NOTES ~ A first version of this paper was presented as the keynote address for a Conference at Assumption College, Worcester, Massachusetts, entitled "Prayer--A Psychologi-cal Perspective." I am grateful to the organizers of the Conference, Dr. George Scar-lett and Rev. Edgar Bourque, A.A., for their invitation to address the Conference. 2 These paintings are reproduced in Davis McCord and Frederick A. Sweet, Andrew Wyeth (Boston: Museum of Fine Arts, 1970). 3 Quotations from Augustine's letter are taken from The Fathers of the Church-- Saint Augustine: Letters Vol. II (New York: Fathers of the Church, Inc. 1953). 4 Quotations from the Confessions are taken from the translation by Frank J. Sheed in The Confessions of St. Augustine (London: Sheed & Ward, 1984, original edition 1944). 5 Although many have discussed this notion, the most thorough and cogent discus-sion recently is in the book by Allen Bloom, The Closing of the American Mind (New York: Simon and Schuster, 1987). 6 See John Locke, A Letter Concerning Toleration, ed, by James H. Tully (Indian- Prayer as Desire / 1573 apolis: Hackett Publishing Co., 1983). 7 In J. Hector St. John Crevecoeur, Letters from an American Farmer, (New York: Fox, Duffiealad and Company, 1904, reprinted from the original 1782 edition), pp. 64-65, we read an eighteenth-century account of religion in America. After describ-ing in letter no. 3 the variety of creeds cultivated in the country, the author contin-ues: "Each of these people instruct their children as well as they can, but these in-structions are feeble compared to those which are given to the youth of the poorest class in Europe. Their children will therefore grow up less zealous and more indif-ferent in matters of religion than their parents. The foolish vanity, or rather the fury of making Proselytes, is unknown here; they have no time, the seasons call for all their attention, and thus in a few years, this mixed neighborhood will exhibit a strange religious medley, that will be neither pure Catholicism nor pure Calvinism. A very perceptible indifference even in the first generation will become apparent." 8 A good deal of Alcoholics Anonymous literature deals with prayer and spiritual-ity. The eleventh step explicitly encourages the practice of prayer and meditation ("We sought through prayer and meditation to improve our conscious contact with God as we understood him, praying only for knowledge of God's will for us, and the power to carry that out.") But the program can have even broader implications for the spiritual life. See "Origins of A.A. Spirituality" by Dr. Ernie Kurtz, The Blue Book, Vol. XXXVIII, Proceedings from the 38th Annual Symposium-June 16- 20, 1986 (January, 1987). Catholic writers and lecturers are beginning to discuss the spiritual potential of the program. See, for example, the recently released confer-ences of Father Richard Rohr, "Breathing under Water: Spirituality and the 12 Steps" (Saint Anthony Messenger Press Audiocassettes, 1989). 9 See B, Pennington, O.C.S.O., O Holy Mountain.t (Wilmington: Michael Glazier, 1984), p. 92. The Emptiness Within Barbara Dent Barbara Dent, mother and grandmother, has been for eighteen years a Secular Carmelite. One of her most recent books has been The Gifts of Lay Ministry (Ave Maria Press, 1989). Her address is Postinia: 7A Cromwell Place; Pukekohe, New Zealand. Ours is an age of space-consciousness and space exploration. These have induced an awareness of a limitless beyond that can be terrifying. We know that in space universe extends beyond universe in an infinitude of expanding galaxies. The immensity is beyond our comprehension. Ours is also an age of inner exploration of our own human psyche. Depth psychology probes level on level of inner awareness, submerged awareness, and non-awareness. These probings link up with that aspect of spirituality which mystically intuits the indwelling of the Trinity, the homeliness of God in us that Jesus spoke of and promised to his faithful followers the night before he died. Just as there is endless mystery in the outer universe, so there is also in the inner one. God dwells in us--if we long for him and prepare our spiritual house to receive him. Not only that, but he permeates our inner being further and further as we open ourselves to receive him. "How rich are the depths of God!" exclaimed St. Paul. And it is these very depths that merge with our own through the divine penetra-tion and the graces it brings. This is by no means always a consoling experience. On the contrary it can seem to hurl us into an abyss of unmeaning which is caused by our incapacity to understand divine meaning and purpose in all their in-finite inclusiveness. Only faith can cope with the apparent absurdity, and too often in this state we experience ourselves as lamentably lacking in faith. 674 The Emptiness Within / 675 In this article I examine and comment on this negative aspect of di-vine and human intermingling by using the concept of "the inner Void." Normally, we human beings fill our days and nights with the busi-ness of living, working, playing, and social interchange. This is the way it has to be if society is to continue and be dynamic. For committed Chris-tians this day-to-day living and doing is permeated with another dimen-sion- that of being-in-Christ. The more fully they relate mundane ac-tivities to loving and serving the Lord, the more Christocentric their lives become. The more they cleave to him, the more the Trinity enters into their inner selves through the purity of their intentions, so that they truly become temples of the Holy Spirit. A pure intention is one that is centered on what Jesus stressed must be our fundamental option--"God's will, not mine, because I love him with my whole being." Strangely, the intensity of such a single-minded love can lead not to a blissful sense of fulfillment, but to its opposite-- an experience of crucifying inner emptiness, a void of unappeasable long-ing crying out for a God who appears not to care or even answer. How much longer will you forget me, Yahweh? Forever? How much longer will you hide your face from me? How much longer must I en-dure grief in my soul, and sorrow in my heart by day and by night? (Ps 13:1-2). The ache for God, disguised as it may be in a multitude of ways, yet seems to be endemic to the human heart. In Christ's followers it can be-come so insistent that it rules their lives. After many years of loving, faith-ful service to this object of their desire, a paradoxical inner state is likely to develop. The searcher for the pearl of great price and the glorious lib-erty of the sons and daughters of God, though consumed with an intol-erable yearning for God, now experiences him as absent just when he is loved and longed for most. This is usually a sign of the call to a much deeper relationship with him, one that has a different quality from any that preceded it. We are drawn by the Spirit into this state of being when all created things have lost their power to compel or fulfill us. We have learned, often in bitterness and pain, that none of them can supply anything but a temporary and partial satisfaction. Behind and through them we have kept glimpsing their Creator, and now he fills our vision and summons us to come closer. We have begun floating in our inner Void, sure at last that only his love can fill it. 676 / Review for Religious, September-October 1990 Aware that he is calling and drawing us, we want with all our will to respond, yet we remain thwarted. Yearn and strive as we may, we can neither reach nor receive him. Empty and grieving, we experience him as the absentee God, yet we have never in our lives been more free of sin and fuller of love than we now are. Why has this Void opened at the very time when we are possessed by love-longing for God? To anyone familiar with the inner depth reality of the subconscious and unconscious, the answer will make sense. The roots of our attachments to what God has created, and the causes of our persistence in letting them come between us and him, are still bur-ied deep within us. They fasten us down to where we are so that we are unable to soar in freedom to him. Though we have done all in our power, with the help of grace, to love and serve him, and though deliberate sin of any kind has long been eliminated from our living, the roots of sinful tendencies remain there hidden away, so that we are not even conscious of them. We cannot locate or name them, let alone wrench them out or dissolve them away. In our impotence and humiliation we gradually re-alize only God can do this through his own mighty love and the grace he pours into us through his Spirit. Only his action can gradually dilate our hearts so that they are able to receive more and more of what he offers. Only his grace can pene-trate into our subconscious to reveal what is concealed there. Only it can in various ways impel upwards into consciousness what is hidden. Only his Spirit of Wisdom knows and can reveal to us in ways we can accept what must be made conscious and purified if we are to enter into full un-ion with the Trinity. By invading our depths, the Spirit is not violating our free will, for God knows our longing for him is such that at last we are prepared to let him have his way with us, no matter how much it hurts. "Oh God, my God, for you my heart yearns, like a dry, weary land without water" (Ps 63:1 ). God's answer to our yearnings is to fill our Void with himself. This process is purgatorial. After death we pass outside time and space into eternity and infinity. If at this transition we are not already filled with God, our Void goes with us. No one has returned to tell us how God deals with it then, but traditionally the Church has taught the doctrines of purgatory (a cleansing process through which grace fits us to receive and behold God), and hell, where our Void remains just that forever. All those, known and unknown, who have become saints before they died, The Emptiness Within / 677 have had their Voids filled with God in this life. Some have left records of what their experience was like, and these indicate something at least of what they endured under the Spirit's ruthless but perfectly loving ac-tion. St. John of the Cross's testimony is probably the most authoritative, instructive, and detailed, After stressing that this state of purification is one of darkness and pure faith, he elaborates as below. "The Divine assails the soul in order to renew it and thus to make it Divine; and, stripping it of the habitual affections and attachments of the old man, to which it is very closely united, knit together and con-formed, destroys and consumes its spiritual substance, and absorbs it in deep and profound darkness. As a result of this, the soul feels itself to be perishing and melting away, in the presence and sight of its miseries, in a cruel spiritual death, even as if it had been swallowed by a beast (as Jonas was). (and) in this sepulcher of dark death it must needs abide until the spiritual resurrection which it hopes for. ". But what the sorrowful soul feels most in this condition is its clear perception, as it thinks, that God has abandoned it, and, in his ab-horrence of it, has flung it into darkness. It is a grave and piteous grief for it to believe that God has forsaken it . For indeed when this pur-gative contemplation is most severe, the soul feels very keenly the shadow of death and the lamentations of death and the pains of hell, which consist in its feeling itself to be without God, and chastised and cast out, and unworthy of him; and it feels that he is wroth with it" (Dark Night II, Ch. VI, 1 & 2). The intensity and pain of this inner experience of the Void will vary according to the strength and depths of our sin-roots, the greatness of our love and longing for God, our perseverance and abandonment during the process, the degree of holiness (or wedding garment splendor and soar-ing freedom) God intends for each sufferer. This purpose of his is, of course, hidden in the mystery of his endless love, of which the Void it-self is but one aspect. If the Void is endured until the process of cleansing and freeing is completed, we have been through and emerged from our own personal purgatory. We are united with the Trinity in what has been called "trans-forming union" ("I live, now not I, but Christ lives in me") or "the spiritual marriage." "Alleluia! The reign of the Lord our God the Almighty has begun. Let us be glad and joyful and give praise to God, because this is the time for the marriage of the Lamb. His bride is ready, and she has been able Review for Religious, September-October 1990 to dress herself in dazzling white linen, because her linen is made of the good deeds of the saints" (Rv 19:7-8). Our Void has been emptied of self and filled with Christ. What are some of the hallmarks of this emptying and filling of the Void, in the here and now? Here is a commentary on a few of the main ones. 1. Helpless Waiting In the Void we have no alternative but to wait. I think of Mary be-tween the annunciation and the birth of Jesus. She knew she had con-ceived and that the Christ of God was growing and developing within her, but the process was and had to remain hidden and secret. What she did not know was exactly what and who the child would prove to be. God was at work in her, and she was co-operating pas-sively, through her fiat, by letting it happen and trusting him about the outcome of his labors. She was "full of grace" and so the whole pro-cess was under the Spirit's complete control. Her personal contribution was to stay still and see what eventuated. Once the Void opens in us, we too, must wait while Christ is formed in us in his fullness. We continue to live and love as Christians, to serve God and neighbor in our work, personal relationships, duties and offer-ings, all aimed at renewing the temporal order and purifying our lives from self-love and self-seeking. We have been doing these things for a long time and had assumed we would be persevering in them in much the same way till death. We do persevere, but not "in the same way." For now the Void is there, and we begin to enter a new dimension and level of being. Gradually grace enlightens us so that we understand something of what still needs to be done in our inner depths to open us to God so he can penetrate further. At the same time we are shown how it is beyond our own capacity and resources to bring about such a self-exposure. A chasm of helplessness and poverty gapes within us. We realize that in our frozen immobility we are still able to act in one specific way. We can let God act, and stay passive ourselves. We can let him do the un-veiling and the choosing, for us and in us in his own way and time. Our role is to surrender and wait. And wait. And wait . Waiting is a difficult art to learn and practice in our frenetically ac-tive and materialistic age. Neither our environment, education nor life aims and circumstances have prepared us for it. Though we try, we go The Emptiness Within on failing, because we cannot help interfering with God in spite of our best intentions. Humbled, we learn that only grace can enable us to learn this painful art. Under its influence, we slowly begin to relax and be still, and our Void gently opens wider in faith, trust, and hope. We realize how im-portant patience is, how lost we are if God does not help us, how he does not and cannot do so unless we deliberately exercise our free will and let him. Here the active and the passive merge. As we go on waiting, our helplessness deepens into a sense of im-potence. We are rather like quadriplegics who must depend on others for most of their needs. If they are not to be consumed with self-pity and rage, they must turn the necessary waiting that forms an indelible part of their lives into an art. We ourselves are not waiting for other people to help us, but for God. "I waited and waited for Yahweh. Now at last he has stooped to me and heard my cry for help" (Ps 40:1). 2. Longing for God Thirst for God consumes us in this state. "As a doe longs for run-ning streams, so longs my soul for you, my God. My soul thirsts for God, the God of my life" (Ps 42:1-2). We are like "a dry, weary land without water" (Ps 63:1). When two lovers are parted, they long ardently and painfully for each other's presence. In the Void we experience God as an absentee God, even as one who spurns us. We are hopelessly in love with him-- we would not have been invited by the Spirit into this level of being were it not so--yet he seems to be denying himself to us, to be teasing us cru-elly on purpose. We know he is there, believethis is so, and in some indescribable, formless way even experience him as indeed with us, enfolding us, and yet we never seem to reach or catch sight of him. In his absence we have faith he is present, but this is no comfort. It is like being alone in a completely dark room, yet having an intui-tive awareness of another Presence with us in the same enclosed space. We cannot see or touch him or even hear his breathing. Yet, shiveringly, we are completely certain Someone is with us. Perhaps because of this strange certainty, our longing that is never appeased intensifies until it possesses us. This absentee yet ever-present God and Lover we experience as capricious, so that our longing is a form of bitter suffering, and often we have to struggle against feelings of re- Review for Religious, September-October 1990 sentment and hopelessness. We challenge him, "It is you, God, who are my shelter. Why do you abandon me?" (Ps 43:2). There is no answer, no comfort. The silence is absolute, our hunger unappeased. In the end, we become dumb. Our patience in waiting has deepened as our longing intensified. We understand the time for consum-mation is not. yet, for we are not ready. We see that our longing is a grace, given to us so we will more readily submit to an even more radi-cal emptying out. We have not yet reached that total nakedness o.f un-selfed love which will indicate our readiness to be clothed in Christ. We have yet to long for this for his sake, his honor and glory, the fulfilling of his incarnational aims, instead of for our own self-gratifica-tion, and our pleasure in our own "holiness." At last we understand that our motives need radical purification, for they are laced together every-where by tenuous, yet tough strands of self-love and self-will. All holiness is God's. Of ourselves we have none until we have put on Christ and can glory in his glory, and love with his love. Our longing is being purified till this is what we truly want above all else. 3. Loss of Meaning and Purpose Whether it is a cause or a result of the Void is hard to say, but one of the hallmarks of this state is loss of meaning and purpose on one level, and final regaining of it on another. The loss shows itself in our life situ-ation in doubts and disillusionments about our personal relationships, and our aims, activities, and ambitions to do with worldly matters. What preoccupied us and fed our drive in our work now seems taw-dry and not worth all this effort. We question its reality and its right to absorb so much of our energy, to demand and receive our concentrated attention. Has it the right to fasten us so securely to the daily grind when God's insistent call to another level of being is there in the background all the time, distracting us? Of what use is "getting to the top"? Winning that big increase in salary? Being treated with respect and deference as the one who "has it all at her fingertips," the indispensable manager and organizer? There are times when we ardently want to "throw it all away" be-cause it seems so fatuous. Yet we know we cannot opt out, for we have a spouse to be faithful to, offspring to put through university, the mort-gage to pay off, obligations to associates to fulfill, our own lifelong am-bition to bring to its triumphant peak, a whole life pattern to round off harmoniously. Somehow we have to learn to live with our growing awareness of it all as a mindless treadmill "full of sound and fury, signifying nothing." The Emptiness Within In the face of the Void, it lacks reality, but, nonetheless, must be at-tended to. The true reality is an indefinable something located in our inner emp-tiness. It is drawing us till we want to let go of everything else and reck-lessly jump into that abyss to meet its embrace. At this point some people have a breakdown so that circumstances force them to take a long rest from their life-in-the world obligations and ambitions. Others keep on mechanically, but their heart is no longer in it, and they feel nothing but relief when someone else replaces them or the time comes for them to retire. This disillusionment and lack of drive registers as a humiliating disaster, yet it may well be a special grace open-ing the way for us to concentrate on "the one thing necessary." Alarmingly, the problem increases, rather than diminishes, once we free ourselves enough for such concentration. It is like a slap in the face to discover that we cannot find "mean-ing" in the things of God either, though we dumbly and idiotically know the meaning is there somewhere, expressed in ancient Babylonian hiero-glyphics no doubt! (And no one taught us at school or in the boardroom how to interpret these!) Faced with the Void and its implications, we find ourselves unable to understand God's meaning and purpose in our own lives or those of others. His actions seem arbitrary and often absurd. In fact, a general senselessness defying the rational mind pervades the whole Void. We slither aimlessly about, till we remember the lesson about staying still and waiting. When we apply this perseveringly, we are able to accept that it is no wonder we cannot understand the divine meaning and purpose when it is infinite and eternal while we ourselves remain time and space im-prisoned. It is also perfect love and omniscient wisdom, while we are full of "lacklove" and distorted vision. During the years spent in the Void we slowly learn to rest in peace in God's incomprehensible will, to trust its apparent irrationality, to have faith in its aim to express his beneficent care of us in and through our life circumstances even when they appear to be nothing but "a tale told by an idiot," to hope doggedly in a future blessed by fulfillment in bliss-ful union with him. Our concept of life's meaning and purpose has changed radically as grace permeated those levels where our basic semi- and unconscious re-bellion and misapplied self-will lay hidden but potent. 4. The Darkness of Entombment Review for Religious, September-October 1990 In the Void we are in the process of dying with Christ and being bur-ied with him so that our life may be his life and we be hidden with him in God, our glory part of his (see Col 2:12, 3:2-4). When Jesus hung upon the cross, he was in a kind of void between earth and heaven: the vacant space left by total immolation for the sake of others; the blank of utmost loneliness and dereliction expressed through his cry of abandonment and desolation; the kenosis of the God- Man brought about by the complete surrender of his awareness of his God-ness, coupled with his immersion in his representative Man-ness--his slav-ery as sin-taker for us when he himself was sinless. In various degrees and ways we, his lovers and beloveds, are invited by him to enter into his crucifixion and kenosis with him so we may even-tually share his resurrection glory. We have to die to self by hanging there with and in him through the sufferings--physical, mental, psycho-logical, emotional, and spiritual that God permits to come to us, and that our own and others' sins and sinfulness bring upon us. After the crucifixion comes the interlude of the entombment before the resurrection can occur. The sense of entombment is an essential as-pect of the Void. If we think of Jesus' corpse lying still,, cold, and alone on the stone slab, we shall understand some of the basic elements of the spiritual state of those called to die with him in order to rise with him. There is the darkness of this stone cavern behind its stone door. No chink of light anywhere. It makes us feel our intellect has been blinded and we shall never understand anything about God again. Though we carry on with our daily lives more or less satisfactorily, we suffer a kind of sense-deprivation of the spirit, (Only those who have experienced this state of being will find meaning in this paradox.) One form of torture of prisoners is to lock them into a pitch dark cell where there is complete sense deprivation so that time ceases to have meaning, as does everything else. Entombed with Jesus, we are in a similar state because all the satis-factions and enjoyments that come to a human being through his senses of hearing, sight, smell, touch, and taste no longer have power either to distract or fulfill us. We have become one-purposed in our longing for God, and the senses cannot tempt us away from it with their promise of surface, ephemeral delights. Since we have renounced the lesser good for the greater, the Spirit obliges by paradoxically taking away their irrelevant enticements--in a spiritual sense. To express it otherwise, our senses and our bodies and The Emptiness Within/ all our material being continue to function adequately for the purposes of everyday life. However, in relation to the spiritual life, we have be-come numb and dumb to their joys, attractions and any urge to seek deep meaning and fulfillment through them. We have been brought to that State where we float in the Void of blind faith that none of our senses can affirm as a reality. We gaze upon God without seeing him. We hear his Word without understanding it. We taste his supportive love without any sweetness or consolation--as if our taste buds had been anesthetized. He is weaning us from all such reassurances by imprisoning us in this Void of sense deprivation. He means us to learn how to enter, unencum-bered, into the central mystery of his Being, spirit to Spirit. He has led us into the depths of the Night of Faith. In it, usually for years after painful years, we learn to lie down with the dead Jesus in the tomb. We learn to lie there patiently and wait in our nakedness. We learn what being still really means as we contemplate the Savior's unbreathing body--not with bodily eyes, but with spiritual ones of unquestioning faith and a love stripped of self-seeking. We are seeds fallen into the ground and undergoing the hidden meta-morphosis from which we shall at last emerge, essentially changed per-sons, into spiritual resurrection. 5. Loneliness The inner Void is a crucifyingly lonely space of nothingness. We shall probably find there is no one who can understand our state, except one who is also in it, or one who has endured it and emerged. The one in it may be able to offer sympathy and sharing. The one emerged can give reassurance, understanding, encouragement, guidance, support, and hope for the future. This is so only if she or he has some understanding of what the lonely one is passing through or has emerged from. Such un-derstanding is rare. The Void can have many guises, including those of mental, emo-tional, or physical breakdown. It is often mingled with factors associ-ated with these. It adapts itself to whatever needs to be purified in the particular sufferer, since it is always under the control of the Spirit. It is not easy, and almost impossible, to discover a fellow sufferer who is enduring the same searching trial in the same ways. A qualified, learned, compassionate spiritual guide who has had both personal experience of the Void and of supporting others immersed in it is a very special blessing from God--one that is seldom given. An es-sential part of learning to live at peace in the Void's faith dimension is Review for Religious, September-October 1990 that of being able to trust oneself blindly to the hidden guidance and con-trol of the Spirit coming directly instead of through an intermediary. The purification process includes enduring it alone with God--and an absen-tee God at that. The only sure and never-failing companion is Jesus in his passion, especially in Gethsemane and in his cry of dereliction on the cross. We can find here, in union with him, the strength and purpose to endure, to hang helpless and in agony in absurdity, giving oneself up out of love for his redemptive work, staying with, and in him gladly, for love of him, sharing his loneliness and comforting his desolation. This is anything but mere sentimentality, as anyone who has really done it knows. It is a genuine, self-obliterating response of "Yes" to his questions, "Will you drink of the cup I must drink of? . . . Will you watch one hour with me? . . . Will you take up your cross and follow ¯ me? . . . Will you give yourself with me for others? . . . Will you love my Father's will wholeheartedly as I do to the end? . . . Will you fol-low me wherever I lead? . . . Will you go down into the darkness and die with me and then wait with me in my tomb till resurrection morning comes? . . . Will you dare Sheol with me? o . ." If we agree to share his loneliness, we shall indeed be lonely, and in that desolation share the essential loneliness of all abandoned, help-less, despised, outcast, comfortless human beings whom he represented on the cross, as well as those lost in the black loneliness of habitual, sev-ering sin, or those immured in purgatory in this life or the next. We may have friends who love and try to comfort us, but this will do little to ease what is a loneliness of our very essence crying out for God. Only if they have been through it themselves will they be able to apply balm. In the ultimate there is only one who can fill the Void of loneliness with genuine fulfillment and it is God himself. He is busy preparing in us a place fit to receive him. All we can do is wait in faith, hope, and love that feel like unbelief, despair, and a numb indifference that will never be able to love again. "Out of the depths have I cried unto thee, O Lord. Lord, hear my voice!" 6. Awareness of Sin The Void strips away inessentials, leaving the emptiness of nothing to cling to but God--and in.bare, stubborn faith. Because the motes in our own eyes (our absorption in the secondar-ies of created things instead of the one primary necessity of God) have The Emptiness Within now been removed, at least partly, by grace, we see much better. One of the things we see with our new sight and in startling clarity is the re-ality of sin. Not so much actual sins--these are fairly obvious to discern and we have long ago trained ourselves to watch and guard against them in our own lives. No--what we now see with the eyes of our spirit enlightened by the Spirit is innate sinfulness. We become aware of its substratum in ourselves (those tangled "roots" I mentioned earlier), and in other hu-man beings we have to do with. We helplessly observe it issuing from us and them in all kinds of meannesses, envies, prevarications, self-delusions, self-loves, rationalizations. Squirming and humiliated, we face, with the help of grace, that, "This is me . . . that is the person I loved and revered so much . " If we do not take care, this pitiless insight will cause discouragement and fear in ourselves, and a judg-mental, condemnatory, disillusioned attitude towards others--even cyni-cism. The taste of this racial and personal basic sinfulness is bitter indeed. We want to spit it out and rush to grab something, sweet to gourmandize on and hide that vile flavor. We have been living all the time with a des-picable traitor within us, and till now we have never even glimpsed him. His cronies are present in all other members of the human race, and from them emanate the sorrows, sins, evils and disasters of living on this planet that has been tipped off its axis. Some of the penitential psalms now have for us as never before a co-gent, humbling, and intensely personal message. Paraphrasing a little, we cry with St. Paul, "Who will rescue me from this enemy within?" and reply with him, "Nothing else but the grace of God, through Jesus Christ, our Lord." We know now that we really do need a personal Savior, that we would be lost without Jesus, that an essential part of our Void experi-ence is acknowledging our personal, basic sinfulness for which the only cure is the grace that Jesus gives. We cry, "Lord, you came to save me-- because I needed you so much. I need you even more now you have shown me the truth about myself. Only show me what you want of me, and I will do it. I will do anything at all for you, my Lord and my Sav-ior, because you have rescued me in my great need." This time we really mean it, because we are so much closer to Truth itself. We have been given the grace of a genuine horror of sin because of what it did to Jesus, and still does to him suffering in his members. We long to help heal the wound of sin in his Body. We offer our per- Review for Religious, September-October 1990 sonal wound of sin to him, humbly pleading for the grace of healing. As never before we understand the cleansing power and action of grace, sac-ramentally and otherwise. We hunger for it, seek it, open ourselves wide to receive it. We become beggars for it. We learn what spiritual poverty really means, and again lie down with Jesus in the tomb, content to be naked, trusting in his Body and Blood to heal us of our grievous wound. We are learning what it means to be dead to self and alive to Christ and his members. In the inner Void the self becomes so tiny in the Allness of God. We do not lose our individuality, but we long for it to be absorbed in Christ, so that we become exactly that aspect of his extended incarnation and continuous passion destined for us by the Father. We pray for deliverance from all evil--for ourselves, and for every other human being. We pray fervently, for at last we have "seen" what naked sin and evil are, and what they bring about--the death of the Loved One. 7. We enter a state of Heroic Abandonment and Endurance. Our Void has opened up enough for us to receive the grace we must have to enable us to lie down in the Lord in a state of advanced inner stillness, trust, and hope. The Void's darkness begins to take on the faint glow of incipient dawn, the intense silence is broken by the first tenta-tive twitterings of birds as something soundlessly rolls away our tomb's stone door. The sense of being stifled eases and we draw deep breaths of sweet, cold, dew-drenched air. There is deep within us an awareness of wounds having been healed, of a terrifying emptiness having been filled with Someone, of Love himself annihilating loneliness forever, of a still, si-lent, crystalline joy, and blessedness welling up from deep, deep down, crying in exultation, "Abba! Alleluia! Amen!" Then we see a Person is walking like a king towards the light grow-ing and glowing every second in the tomb's open doorway. It is as if the light emanates from him, as if he is The Light. Wondering and worship-ping, we rise from our stone slab, gather about us the new white gar-ment we find there and follow the Light into the new day. There is no void of inner emptiness anymore. Christ risen and triumphant fills it with himself. Shame: A Barometer of Faith Clyde A. Bonar Father Clyde A. Bonar is a priest of the diocese of Orlando, Florida. He holds ad-vanced degrees in formative spirituality from Duquesne University and in political science from George Washington University. He has served as parochial vicar and administrator of various parishes. His address is St. Joseph of the Forest Catholic Church; 1764 S.E. 169th Avenue Road; Silver Springs, Florida 32688. Aristotle called shame "a feeling or emotion . a kind of fear of dis-grace."~ Interestingly, what one values and what one distains can pro-vide a source for these feelings of disgrace. This allows shame to become a barometer of faith. For the faithfilled person, lapses in living one's faith, for example, can be causes for shame. Conversely, one who scorns religion may find shameful any personal exhibition of faith in an Eter-nal Being. In this paper I shall examine the generic core of "shame" and re-late the experiences of shame in the life of Francis of Assisi (ca. 1182- 1226). Francis' well-known incidents with the lepers caused that saint feelings of shame. Notably, why Francis felt shame about the lepers dif-fered in the earlier and the later parts of his life. Because of that, Fran-cis becomes illustrative of how shame can be a barometer of one's faith. On Shame The Generic Core The core of the shame experience is a sense of exposure and visibil-ity. 2 First, shame is intimately linked to the need to cover that which might unwantedly be exposed. Experiences of shame involve the expo-sure of the peculiarly sensitive, intimate, and vulnerable aspects of the self.3 Something is to be hidden, dodged, or covered up; even, or per- 687 61~1~ / Review for Religious, September-October 1990 haps especially, from oneself. Feelings of shame included "I am weak" and "I am inadequate." The particularities of what must be covered to prevent exposure may vary widely and are individually determinate. For example, while a physical deformity caused Philip in Of Human Bondage4 to feel shame when his clubfoot was exposed, a deeper shame burned "in secret" as Dimmes-dale in Scarlet Letter saw Hester Prynne bear in public the blame for their joint carnal indiscretion .5 Socrates warns of the disgraceful shame of ap-pearing inept in the presence "of some really wise man.' ,6 Personally, for example, I have felt shame for the way I treated a traveling compan-ion during a three-day trip. Second, there is an intimate connection between shame and visibil-ity. 7 When Yahweh called to Adam after he and Eve had eaten the for-bidden fruit, Adam said: "Because I was naked . . . I hid" (Gn 3:11). In his phenomenology of shame, Jean-Paul Sartre claims that shame arises from the look of the Other. "Shame. is the recognition of the fact that I am indeed that object which the Other is looking at and judg-ing." 8 When another looks at him, Sartre comments: What I apprehend immediately., is that I am vulnerable, that I have a body which can be hurt, that I occupy a place and that I cannot in any case escape from the space in which I am without defense--in short, that I am seen.9 Everyday expressions repeat this connection between visibility and shame. We speak of being "shamefaced" or "hiding my face in shame" when others know our failures, inadequacies, or losses of con-trol. A Happy Blush Two other aspects of shame need to be kept in mind as we proceed: that the feeling of shame comes unexpected. That first and physiologi-cal manifestation of shame, the blush, highlights the involuntary and sud-den characteristic of shame. Helen Lynd is perceptive on this aspect of shame: Shame interrupts any unquestioning, unaware sense of oneself . More than other emotions, shame involves a quality of the unexpected: if in any way we feel it coming we are powerless to avert it . What-ever part voluntary action may have in the experience of shame is swal-lowed up in the sense of something that overwhelms us . We are taken by surprise, caught off guard, or off base, caught unawares, made a fool of. ~0 Shame / 689 In his illustration of the voyeur at the keyhole, Jean-Paul Sartre confirms the "immediate shudder" of being unexpectedly caught: "All of a sud-den I hear footsteps in the hall. Someone is looking at me!''~ Importantly, this self-consciousness contains a revealing capacity. Again, it is Sartre who captures this: "Shame is by nature recognition. I recognize that I am as the Other sees me." ~2 Shame carries the weight of "I cannot have done this. But I have done it and cannot undo it, be-cause this is 1.''13 The thing that is exposed is what I am. To "recognize" one's self is to be open to reformation, and there is the delight. Adrian van Kaam writes that "reformation implies a re-appraisal of formative and deformative dispositions, judgments, memo-ries, imaginations, and anticipations." ~4 If experiences of shame can be fully faced, if we allow ourselves to realize their import, they can inform the self and become a revelation of one's self. The question is exactly what personal disposition is revealed by the quick reddening of the blush, the sudden feeling of shame, this which involuntarily and unexpectedly just happens. Writing back in 1839 on The Physiology or Mechanism of Blushing, Thomas Burgess reported that the blush reflects "the various internal emotions of the moral feel-ings [so that one could] know whenever we transgressed or violated those rules which should be held sacred." He continued to point out that, given this "spiritual" nature of the "blush," it is "solely a moral stimulus that will excite a true blush.''15 That is~ it is our value system that is re-vealed by shame. For example, if I hold dispositions mostly congenial with the particular individual God designed me to be, a blush will reveal that there are also some uncongenial and not-reformed dispositions. Or, by contrast, if my fundamental orientation is that talk of God is mean-ingless I may blush at some scruples within my disposition constellation that would be more in agreement with faith in an Eternal Being. Among The Lepers The immediate question is what should not be exposed, what should be covered from visibility. Francis' experience with the lepers proves in-structive. In his "Testament" he wrote: The Lord granted to me, Brother Francis, to begin to do penance in this way: While I was in sin, it seemed very bitter to me to see lepers. And the Lord Himself led me among them and I had mercy upon them. And when I left them that which seemed bitter to me was changed into sweet-ness of soul and body.~6 This too brief statement includes all the elements of experiences of 690 / Review for Religious, September-October 1990 shame. Fallen Nature of Humanity By his words "While I was in sin" Francis refers to his youthful years. In his parents' home he enjoyed the easy life his successful father could provide. He was a most likable lad, clever, charming, smooth-talking, and insanely generous. Francis had a gift for business and seemed born to be a merchant like his father. The son enjoyed dressing with a studied elegance and entertaining at a good inn with the best of everything. Friends flocked around Francis when he appeared and played the troubadour with his Provencal songs. 17 One would say that Francis was reflecting the fallen nature of hu-manity common since the first sin of Adam, living in ignorance of the true transcendent nature of humanity. ~8 Caught in the competitive trade of the cloth merchant, his father taught Francis to live by that competi-tion. Escape in the exigencies and the excitement of being the business-man became a way of life, with questions of transcendence relegated to minor, occasional thoughts. Responsibility for being a faithfilled Chris-tian example for others was evaded, for the other was also typically the customer, who was to be sold something even if that meant a little de-ception and an excess of charm. Immersion in the sensual joys of life was a natural corollary in a society of, according to Pope Innocent III, "obscene songs, dances, and fornications." 19 Still, why was Francis affected by the lepers as he was? Other youths, his peers in cultural refinement and the easy life, would merely hold their noses when they smelled the horrible stench of the lazaretto where the lepers were confined, and unashamedly turn their horses a dif-ferent direction. But for Francis the human misery breathing death right into his face was incredibly disagreeable. And, the young clothier would experience shame when a wretched beggar would intrude.2° A clue to Francis at this early point in his life, while he was still "in sin," lies, I opine, in the phenomenology of shame. As we saw above, shame is an experience of the whole self: in moments of shameful expo-sure it is the self that stands revealed.2~ Existentialists state this force-fully: in the consciousness of shame, there is "a shameful apprehension of something and this something is me. I am ashamed of what I am . Through shame I have discovered an aspect of my being."22 The self that was standing revealed for Francis'was, in the terms of Adrian van Kaam, his foundational life form. The image of God deep within Francis was being exposed. Thomas Burgess, cited above, might say it was the internal moral feelings of Francis which were being ex- posed. As early as twelve years old Francis was struck in some special way by the elevation of the consecrated host during Mass. In the mud-dle of being dominated by his sensual and functional dimensions and his sociohistorical situations, the inchoate thunderbolt of the transcendent was there. But within the flamboyance and egotism of the sensuous and romantic party giver he appeared to be, Francis would feel shame when his more basic faith in God would protrude. His lifestyle hid from visi-bility the transcendent, as he took greater pleasure in identifying him-self as a prince of the world and knight of Assisi. As God's chosen who would become God's anointed, the young Francis would feel shame where others had no such self-consciousness. According to our paradigm of shame, what Francis's apparent life form, or way of being in his environment, sought to cover during these early years of his life was his foundational life form. When his "vul-nerability" or "inadequacy" was exposed, that is, his sensitivity to the sufferings of lepers and beggars, he felt shame at the "flaw," which was his deeper felt love of God, becoming visible through the cover of how he presented himself to others. Attuned to His God Francis was twenty-four when he stood in front of the episcopal pal-ace at Santa Maria Maggiore and stripped off his clothes in hot haste and threw them at his father's feet. God had seized him: the sinner faded to give way to the saint. But watching his second naked birth, the crowd fell silent, for this "erstwhile dandy" was seen to be wearing a hair shirt. "It was a hideous penitential device of horsehair for killing the instinct of sensuality and chastising the flesh day and night."23 The peni-tential hair shirt was a symbol for what had been happening for some time in Francis--the transformation from dissonance to consonance with the Eternal, a change from running away from God to running toward God. For our present emphasis, we might remember the words of Francis: "Bernardone is no longer my father," but Our Father who art in heaven. The words indicated his change. For Francis, shame is no longer from having love of God exposed within a life lived as a merchant, but henceforth the shame was in having any failure to love God exposed within a life of excited faith. Now, when Francis embraced the leper, as we quoted above in the words of Francis, "that which seemed bitter to me was changed into sweetness of soul." The contrast is sharp between the experiences of shame for Francis before and after his transformation. Upon encountering the so distaste- Review for Religious, September-October 1990 ful leper, "He slipped off his horse and ran to kiss the man . Filled with wonder and joy, he began devoutly to sing God's praises." He be-gan to render humble service to the lepers and "with great compassion kissed their hands and their mouths." Further, the lover of complete humility went to the lepers and lived with them. He washed their feet, bandaged their ulcers, drew the pus from their wounds and washed out the diseased matter; he even kissed their ulcer-ous wounds out of his remarkable devotion.24 Francis took the bold step of overcoming the conventional perception of what is attractive and what is repulsive by reaching out to love what re-pelled him. And the change in the source of shame was seen in other aspects of his life. When his pre-transformation apparent life form had dominated, Francis's selfish pride would tell him to feel deep humiliat
