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Siddharth Mallavarapu on International Asymmetries, Ethnocentrism, and a View on IR from India
How is the rise of the BRICs in the international political and economic system reflected in our understanding of that system? One key insight is that the discipline of International Relations that has emanated from the northern hemisphere is far less 'international' than is widely thought. Scholars from the 'Global South' increasingly raise important challenges to the provincialism of IR theory with a universal pretense. Siddharth Mallavarapu's work has consistently engaged with such questions. In this Talk, Mallavarapu, amongst others, elaborates on IR's ethnocentrism, the multitude of voices in the Global South, and why he rather speaks of a 'voice from India' rather than an 'Indian IR theory'.
Print version of this Talk (pdf)
What is, according to you, the biggest challenge / principal debate in current IR? What is your position or answer to this challenge / in this debate?
One of the things I constantly contend with in my work is to think of ways of how we can widen our notion of the international. IR has been too closely linked to the fortunes of the major powers, and this has been to our detriment, because it has impoverished our sense of international. I think the spirit of what I contend with is best captured by what Ngugi wa Thiong'o in his book Globalectics: Theory and Politics of Knowing concerns himself with, namely '…the organization of literary space and the politics of knowing'. My interest is to grapple with the manner in which the discipline of International Relations in its dominant mainstream idiom orchestrates and administers intellectual space and the implications this carries for the broader politics of knowledge. Simply put, the principal challenge is to confront various species of ethnocentrism – particularly Anglo-American accents of parochialism in the mainstream account of International Relations.
I am also keenly sensitive to some disciplinary biases and prejudices, which I think sometimes take on tacit forms and sometimes more explicit forms, and in which provincial experiences are passed off as universal experiences. The whole question of 'benchmarking' is problematic, in that a benchmark is set by one, and others are expected to measure up to that benchmark. Then there is the question of certain theories, for example the idea that hegemony is desirable from the perspective of international stability – think of the Hegemonic Stability Theory in the 1970s, or the Democratic Peace Theory that assumes that liberal democracy is an unsurpassed political form from the perspective of peace. Then there is human rights advocacy of a particular kind, and the whole idea of the 'Long Peace' applied to the Cold War years. In reality, this was far from a 'long peace' for many countries in the Third World during the same era.
I am also interested right now in the issue of the evolution of IR theory, and was really intrigued by the September 2013 issue of the EuropeanJournal of International Relations, with its focus on 'the End of International Relations Theory': I find this fascinating, because just at a time when there are new players or re-emerging and re-surfacing players in the international system, there is a move to delegitimize IR Theory itself. So I am curious about the conjuncture and the set of sociologies of knowledge that inform particular terms and turns in the discipline.
My response to this challenge is to consciously work towards inserting other voices, traditions and sensibilities in the discipline to problematize its straightforward and simplistic understanding of large chunks of the world. My work is informed by what international relations praxis looks like in other places and how it is locally interpreted in those contexts. There are gaps in mainstream narratives and I am interested in finding ways to create space for a more substantive engagement with other perspectives by broadening the disciplinary context. This is not merely a matter of inclusive elegance but a matter of life and death because poor knowledge as evident from the historical record generates disastrous political judgments that have already resulted in considerable loss of human life, often worst impacting the former colonies.
The global south holds a particular attraction for me in this context, especially given its often problematic representations in mainstream IR discourse. The underlying premise here is that the discipline of IR will stand to be enriched by drawing on a much wider repertoire of human experiences than it currently does. The normative imperative is to nudge us all in the direction of being more circumspect before we pronounce or pass quick and often harsh political assessments about sights, sounds, smells and political ecologies we are unfamiliar with. IR as a discipline needs to reflect the considerable diversity.
My doctoral research on the role of the International Court of Justice advisory opinion rendered in July 1996 on the legality of the threat or use of nuclear weapons provided an opportunity to probe this diversity further. While advancing a case for categorical illegality of nuclear use under all circumstances, Judge Christopher Gregory Weeramantry discusses at length the multicultural bases of international humanitarian law. In doing so, he combines knowledge of world religions, postcolonial histories and canonical international law to frame his erudite opinion, which displays a thoughtful engagement with often neglected or obscured sensibilities.
These examples can be exponentially multiplied. Such a sentiment is most succinctly captured by Chinua Achebe in Home and Exile where he argues that '…my hope for the twenty-first [century] is that it will see the first fruits of the balance of stories among the world's peoples'. It most critically calls for '…the process of 're-storying' peoples who had been knocked silent by the trauma of all kinds of dispossession'. I would treat this as an important charter or intellectual map for anybody embarking on the study of International Relations today. I would also like to add that this storytelling would inevitably encounter the categories and many avatars of race, class, gender and nationality crisscrossing and intersecting in all sorts of possible combinations generating a whole host of political outcomes as well.
The skewed politics of knowledge is most evident when it comes to theory with a big 'T' in particular. Most theories of International Relations emanate from the Anglo-American metropole and little from elsewhere. This is not because of an absence of theoretical reflection in other milieus but due rather to a not so accidental privileging of some parts of experiential reality over others. IR has been too caught up with the major powers. I could think of conscious efforts to theorize both in the past and in the present elements of reality hidden from conventional vantage points. One recent illustration of social and political theorizing from the context I am more familiar with is an account by Gopal Guru and Sundar Sarukkai titled The Cracked Mirror: An Indian Debate on Experience and Theory. There are on-going theoretical engagements in Africa, the Arab world, Asia and South America reflecting an intellectual ferment both within and outside of these societies. International Relations as a discipline has to find ways of explicitly engaging these texts and relating it to prevailing currents in world politics rather than carry on an elaborate pretence of their non-existence. I am more troubled by claims of an 'end of International Relations theory' just at a moment when the world is opening up to new political possibilities stemming from the projected growth in international influence of parts of Asia, Africa, the Arab world and South America. IR has to move beyond its obsession of focusing on the major powers and seriously democratize its content. The terms 'global' or 'international' cannot be a monopoly or even an oligopoly. Such a view has severely impoverished our understanding of the contemporary world.
How did you arrive at where you currently are in IR?
I cannot really claim that this was a neatly planned trajectory. I stumbled upon the discipline by chance not design. My initial curiosity about the world of social cognition emerged from a slice of my medical history. When I was at school in my early teens, I developed a condition referred to as Leucoderma or Vitiligo which involved skin depigmentation. I enjoyed writing from an early stage and recall recording my observations of the world around me in a piece titled Etiology Unknown borrowing language from the doctor's diagnosis. I recall an urgency to comprehend and make sense of what I perceived then as a fast changing world where old certitudes were dissolving on a daily basis. I felt an outsider at some remove from my earlier self and it gave me on retrospect a distinct vantage point to witness the world around me. It was impacting who I thought I was and thereby compelled me to confront issues of identity – individual and social. An extremely supportive family made all the difference during these years.
The turmoil and confusion in those years led me to develop a deeper interest in understanding more loosely why people reacted in particular sorts of ways to what was in medical terms merely a cosmetic change. It also led me to informally forge community whenever I saw anybody else experiencing similar states of being. I also internalized one of the first ingredients of good social science – the capacity to be empathetic and put ourselves in others shoes. I learnt that the discipline of Sociology among the available choices in my milieu came closest to allowing me to pursue these concerns more systematically further. I applied to a Sociology master's programme after my undergraduate years at Jawaharlal Nehru University in Delhi, but I had also applied simultaneously to the International Relations programme since in my understanding it after all concerned the wider world – an extension of scale but similar I imagined in terms of the canvas of concerns. The numbers in India are large, the competition is stiff: I made it to the IR programme but did not make it to the Sociology programme.
Having got there, I had some outstanding influences, and I soon realized that one could also think about issues of identity (then cast by me in terms of simple binaries – home and the external world, the relationship of inside and outside, victors and the vanquished) in the discipline of IR. I decided to stick the course and delve into these questions more deeply while keeping up with a broader interest in the social sciences.
I could list a few influences that were critical at various stages of my academic biography: at high school, an economics teacher S. Venkata Lakshmi was very encouraging and positive and confirmed my intuitive sense that I would enjoy the social sciences. Subsequently at college I had in Father Ambrose Pinto a fine teacher of Political Science. He would take us on small field excursions to observe first hand issues such as caste conflicts in a neighbouring village, and all that helped me develop a sharper sense of the political which moved away from the textbook and was strongly anchored in the local context.
At the graduate level of study, Kanti Bajpai who later also became my mentor and advisor in the doctoral programme exercised an enormous influence as a role model. I was convinced that a life of the mind is worth aspiring and working towards once I came into contact with him in the classroom. He also exposed me to all the basic building blocks of an academic life – reading, writing, researching, teaching and publishing, demonstrating at all times both patience and unparalleled generosity. We have collaborated on two edited volumes on International Relations in India and I continue to greatly value an enduring friendship.
For over a decade, I have also had the good fortune of coming into contact with B.S. Chimni who is an exemplary scholar in the Third World Approaches to International Law (TWAIL) tradition. It has been a great joy bouncing off ideas and discussing at length various facets of International Relations, International Law and Political Theory together over the years. I have learnt much from this rich and continued association. In 2012 we worked jointly on an edited book titled International Relations: Perspectives for the Global South.
I have also learnt (and continue to do so) from my students both at Jawaharlal Nehru University (JNU) and at the South Asian University (SAU). At JNU, I made my beginnings and continue to take some pride in being intellectually home spun at one of the foundational and premier crucibles of International Relations scholarship in India. I have also thoroughly enjoyed my interactions over the years with the students drawn from diverse backgrounds. At SAU, I have in the space of a short period been exposed to some fine students from across the South Asian region. I have often been impressed by their understanding of politics and on occasion have marvelled at their demonstration of a maturity beyond their years. There is much I learn from them particularly from their insider narratives of the unique political experiences and trajectories of their specific countries.
Himadeep Muppidi has also been a remarkable influence in terms of clarifying my thinking about the workings of the global IR episteme. His receptivity to hitherto neglected intellectual inheritances from outside the mainstream and most evidently his capacity to write with soul, passion and character while retaining a deep suspicion of the 'objectivity' fetish in the social sciences has alerted me to a whole new metaphysics and aesthetic of interpreting IR. The thread that runs through all these interests and influences is firstly the issue of context, and secondly the question of agency –what it meant to be marginal in some sense, how could one think about theorizing questions relating to dispossession, relating to a certain degree of marginality– and also the broader issue of the politics of knowledge itself: of how certain attitudes and concepts seem to obscure or deface certain conditions, which seem to be quite prevalent.
I have also found excellent academic conversationalists with sometimes differing perspectives who help sharpen my arguments considerably. I would like to make special mention of Thomas Fues and the fascinating global governance school that he offers intellectual stewardship to in Bonn. In the years to come, I look forward to further intellectual collaborations with scholars from Brazil and South Africa and other parts of South America and Africa as well as the Arab world.
What would a student need to become a specialist in IR or understand the world in a global way?
The key without a doubt is curiosity. I do my best to feed that curiosity as a teacher. I also think Gerardo Munck and Richard Snyder's counsel and interviews in their book, Passion, Craft and Method in Comparative Politics are a useful resource for students wanting to study International Relations. I also feel strongly that classics need to be read and engaged with, by bringing them into play in our contemporary dilemmas. I find that many of the questions we ask today are not necessarily entirely new questions: there is a history to them and there has been some careful thought given to them in the past, so it is important to partake of this inheritance.
Then there is language: it is vital for students to break out of one particular region or one particular set of concerns which flow from a limited context, and in this way to become willing to engage with other contexts. In this sense, language learning potentially opens up other worlds. I also believe that some exposure to quantitative methods is important: you need to be able to both contextualize and interpret data with some degree of confidence and not overlook them when approaching texts. Not everybody may choose it but we need to make the distinction between The Signal and the Noise as Nate Silverreminds us. I have found Marc Trachtenberg's The Craft of International History (chapter 1 in PDF here) a very useful text in providing some very practical advice in fine tuning our research designs to weave the past into our present. D.D. Kosambi's essay on 'combining methods' (PDF here) still provides important clues to thinking creatively about method.
I also think it is important for students to avoid the temptations of insularity and also pose questions in a fashion that allows them to explore the workings of these questions in diverse settings. They should be open to a diversity of methods from different disciplines such as ethnography, and develop a deeper historical sensitivity, all these are crucial to shaping up as a good scholar.
In sum, the importance of classics, fieldwork and language acquisition cannot be emphasized sufficiently. Classics bring us back to refined thought concerning enduring questions, language opens up other worlds, and field work compels one to at least temporarily inhabit the trenches, dirty your hands and acquire an earthy sense of the issues at hand.
Given the importance you attach to the learning of language, among other things, and the linguistic diversity that characterises India, do you often perceive language to be a barrier to understanding?
I think language works in two ways. On the one hand, each language has a specific manner of framing issues and a specific set of sensibilities associated with it which in some respects is quite unique. However, languages also lend themselves to different cross-cultural interpretations and adaptations. Kristina S. Ten in an evocative piece titled 'Vehicles for Story: Chinua Achebe and Ngũgĩ wa Thiong'o on Defining African Literature,Preserving Culture and Self' maps some key lines of an enduring debate. Thiong'o has a particularly strong position on this question of language: he says he no longer wants to write in the English language, but instead in his native Gikuyu, as well as Swahili. He argues that language has to do with memory, has to do with what he calls a soul, and he maintains that language hierarchies are very real and that we must contribute to enriching our own pools of language to begin with, if we are to contribute to a much wider, global repertoire of languages. In contrast, Chinua Achebe whom I mentioned earlier, very often wrote in English and held the position that it was important to be accessible to more people and to reach diverse audiences who would not necessarily be from his home country. He said it was possible to use a language like English and permeate it with local texture, wisdom and pulse – something he has exemplified in his own work. I consider his writings a testimony to how well that can be done.
So there is a bit of a divide in terms of how one can look at this question of language, but teaching in India I know that there are students who may be very bright but who are constrained by the fact that they have not had the same access to English schools, and therefore are restricted to the vernacular. These students may have some very good ideas, but they feel disadvantaged by the fact that their command of the English language is not sufficient to guarantee close attention to what they wish to say. Some work hard to overcome these challenges and meet with considerable success. While I think it is wonderful to learn another language, it does not need to entail a diffidence or neglect of one's own native language or any other vernacular language. My impression is that if unimaginatively pursued something is lost in the process and students end up feeling diffident and apologetic about their native language which is entirely undesirable. I believe therefore that while one should enthusiastically embrace new languages, the challenge is to accomplish this without unconsciously obscuring one's native tongue. Having said that, all of us in India are keen to go to English language schools. Vernacular languages have often lost out in the process. So there is something to be said about this concern about language. We have to tread carefully and remain attentive to how language hierarchies are positioned and deployed for advancing particular species of knowledge claims.
From the language issues flow conceptual questions: Asia is a Western construct, and South Asia an extension of that. You reluctantly use this term, South Asia, in what you call shorthand, and similarly terms "nation" and "state". How can we break away from these concepts if we don't have a new vocabulary?
This really flows from the fact that IR is still very much an ethnocentric construct. We are also suggesting in the same breath that there is a particular form in which most concepts and categories tend to be employed. I think IR language is imbued at least partly with the vocabulary of the hegemon or of the dominant powers, so that it shares with the area studies' legacy the political connotations that are still very much with us. One way that I try to break away from this when I introduce students to these concepts and categories is by focusing on the lineage and the broader intellectual history and etymology of concepts which come into play in IR. Students are in any case acutely aware of the fact that there is a strong area studies tradition which has mapped the world in a particular way which was not an innocent discursive formation by any stretch of imagination. They also recognize that this is not the only framing possible. The challenge for us is of course to introduce new concepts and categories. I noticed for instance that South Asia has become 'Southern Asia' for some strategic commentators (StevenA. Hoffmann among others) because 'Southern Asia' also includes China. However, when it is done from the perspective of strategy there are other interests intertwined such as specific geopolitical assessments.
What I try to do, rather, is to draw on the deeper histories within the region itself, in order to arrive at concepts and conceptions which are more germane to our context. I don't think I've succeeded in this project as yet, but one of the reasons why I think it's important to historicise these elements and even categories is to open up the possibility of thinking about different imaginaries and along with that different categories. I don't want to call it an alternative vocabulary, because I think that some sensibilities have been given short shrift in history, and some provincial experiences have more successfully masqueraded as universal experiences. Therefore, part of the challenge is to call that bluff, while another part of the challenge is to reconstruct and offer fresh perspectives. These may even be questions about traditional issues such as order or justice, questions of political authority, political rule or legitimacy. These are questions which are of concern to all societies though individual responses may not echo the language and slants of conventional IR theory. However, they may throw up some sophisticated formulations on these very issues. A part of the challenge for the IR scholar, then, is to recover and bring these ideas into the sinews of the mainstream IR academia.
It is equally important to avoid any sort of nativism, or to suggest that this is necessarily 'the best' approach, but to widen the inventory before moving on to stimulating a real conversation between divergent conceptions. We must avoid falling into the trap of what Ulrich Beck among others has referred to as 'methodological nationalism'. I am by no means suggesting that there is 'an Indian theory' of IR, but what I am curious about is how the world is viewed from this particular location. That is quite different from suggesting that there is a national project or a national school of IR. I think that distinction needs to be made more subtly and needs to come through more clearly, but one of the projects I am currently involved in is the chronicling of a disciplinary history of IR in India and what that tells us about Indians and their readings of the world outside their home. In that process, I ask what the key issues that animated particularly an earlier generation of scholars - how did they present these ideas and why did they avoid using certain forms of presentation and framing? What were some of the conspicuous presences and nonappearances in their work? Exploring these sorts of issues will lead us forward by, firstly, bringing to bear all these pieces of work which I feel have been ignored or have not received their due, and secondly, by showing that there is a fair amount of diversity of thinking even in the earlier generations of IR scholarship. The intent is to avoid a monolithic conception of IR that emerges from India. I will have to make this point much more clearly and emphatically in the future, and hope that my focus on disciplinary history will contribute to some critical ground clearing. Similar inventories of IR scholarship need to be assembled in different locations from Africa, South America, other parts of Asia and the Arab world.
Many of these projects then also link up to very practical questions. One of the issues that is of interest to me in this context is that of South-South cooperation, such as for instance the IBSA Dialogue Forum, or the grouping known as BRICS, or the broader forum of the G-20. There is evidence that the traditional structures and ways of doing things are increasingly suspect and being viewed with suspicion by some actors within the international system. It is therefore more important now to reopen some of these questions and to think afresh about such things as institutional design: what does it mean to be talking about "democratising international relations"? How can we think of more inclusive and legitimate institutions? How can we think about ways in which we can cooperate for the provision of global public goods, but in a manner which is historically more legitimate and fair? How can we address previous asymmetries that are not necessarily going to just disappear? How do we deal with old power structures and their residual influences in terms of the Westphalian state system? What legacy has been enshrined for instance in the Bretton Woods institutions and what has that legacy meant? What happened to non-alignment? Vijay Prashad chronicles vividly the promise and unfulfilled promise of the non-aligned movement in his fascinating account titled The Darker Nations: A People's History of the Third World. How the past plays out in terms of contemporary global governance questions and arrangements is fundamental to my research interests. I have recently intervened on the Responsibility to Protect (R2P) doctrine and its practice. I have been rather critical arguing that it cannot be disassociated from a longer history of interventionism by the major powers in the global south however benign its dressing. A thread that runs through my work is to demonstrate how historical asymmetry continues to manifest in terms of how the contemporary international system is structured. And I ask if we are to arrive at a more legitimate, inclusive and effective international system, then what are the mechanisms and steps which we need to work towards?
What do you imagine that process might look like? Do we need to return to a 'world of villages' (the 1300s) before we can reinvent IR, the national and the global? Do we need micro histories before we can reassemble a bigger history or is a subtle shift possible?
There are two levels on which this can happen: on one level the changes that seem to work are incremental changes and not lock-stock-and-barrel fundamental changes. In terms of scale, different scholars do different things. Some scholars are interested in micro histories, others are interested in macro histories and asking the big questions.
I imagine both these projects are important and there should be more scholars from the global south as well who ask the big macro questions. What has happened for too long is that we have relegated this responsibility to the traditional post Second World War major powers and they have treated it as natural to offer us macro-historical narratives and pictures. I think scholars from the global south need now to attend to both tasks: to write good micro histories as well as reframe the larger questions of macro history. I would add that normative concerns such as the content and feasibility of global justice needs also to be an integral part of contemporary international relations scholarship. For instance, it would be fair to ask that in a world of plenty, why do so many people go hungry?
So if you were to ask me about my dreams and my hopes, I still think that the 1955 Bandung Conference and subsequent nonalignment visions remain unfinished business. I hope that within the span of the current generation there is greater egalitarianism accomplished in the international system and ultimately a balance not just in terms of what Achebe called the stories of the world, but also in terms of actual institutional designs and political outcomes. This should translate into much better provision of various public goods to global citizenry with special attention to those who have been historically disadvantaged. For assorted reasons there have been deep asymmetries within the international system which have persisted and resulted in diminishing the life chances and collective self-esteem of various peoples in the global south. There is an urgent need to both acknowledge and remedy the situation in the world we live in.
In your experience, what is the role of the IR scholar in India in relation to the foreign policy establishment and the policy makers?
It is quite hard to find traction of one's ideas in terms of any influence of scholars or groups of scholars on the social or political establishment. Overall I would say that academia has for a long time not been taken seriously by the foreign policy establishment, and that has more to do with the institutional structure where there is a pecking order and the bureaucracy sees itself as being better informed. Even in academic conference settings, one could periodically expect a practitioner of foreign policy to argue that they know best having been present at a particular negotiation or at the outbreak, duration and conclusion of any recent episode in diplomatic history. This does not in reality translate into the best knowledge because there is the possibility that besides the immediate detail, the absence of a larger historical context or even unaccounted variables in terms of the contemporary political forces at work during that moment could be blind spots in the narrative. It is fair to say therefore that the influence of academia on the Indian foreign policy establishment by and large has tended to be minimal. However, one could make the argument today that there are some early stirrings of changes in the offing.
Quite evidently, the Indian Foreign Service is far too miniscule for a country of India's size and desired influence in the international system. There is a perceived need from within the foreign policy establishment to draw on expertise from elsewhere and on occasion they do turn to the academia to invite counsel on specific issues. From the perspective of the IR academic, it is perhaps equally important to be not too close to the corridors of power as it could alter the incentive structure to the detriment of independent opinion making for securing short or long term political patronage.
Siddharth Mallavarapu is currently Associate Professor and Chairperson at the Department of International Relations at the South Asian University in New Delhi. He is on deputation from the School of International Studies at Jawaharlal Nehru University. He completed his doctoral thesis on the politics of norm creation in the context of an Advisory Opinion rendered by the International Court of Justice in 1996 on nuclear weapon threat or use. This culminated in his first book, Banning the Bomb: The Politics of Norm Creation. His principal areas of academic focus include international relations theory, intellectual histories of the global south, disciplinary histories of IR, global governance debates and more recently the implications of recent developments in the field of cognition on the social sciences. Mallavarapu retains a special interest in issues related to the politics of knowledge and examines the claims advanced in the discipline of International Relations through this perspective. His immediate teaching commitments include a graduate course on 'Cognition and World Politics' and a doctoral level course on 'Advanced Research Methods'. He has co-edited (with Kanti Bajpai) two books on recent Indian contributions to International Relations theory. In 2012 along with B.S. Chimni, he co-edited International Relations: Perspectives for the Global South.
Read Mallavarapu's Dissent of Judge Weeramantry (2006 book chapter) here (pdf) Read Mallavarapu's Indian Thinking in International Relations here (pdf) Read Mallavarapu's Because of America here (pdf) Read Mallavarapu's Nuclear Detonations: Contemplating Catastrophe here (pdf)
In the present essay, I will examine the traces of coexistence between the Muslim and Christian world in architecture and literature, using the examples of the mezquita, or 'mosque', and the most important novel of Spain, Don Quixote of la Mancha (1605;1615) by Miguel de Cervantes Saavedra. This study incorporates an interdisciplinary approach that utilizes historical, literary, and architectural methods to explain the dual function of the margin— its architectural function in the Mosque and its narrative function as used in specific chapters from Cervantes's novel. Furthermore, I will show how the architectural margin of the wall of the mosque was familiar to Cervantes's readers who lived in Spain and this familiarity allows Cervantes to exploit the metaphorical meaning of the literary margin as architectural margin. A metaphor establishes an equivalency between a pair of images; the best-known example of which belongs to Ezra Pound, the founding leader of Imagism (1912-1923). This is a school of poetry that endorsed clarity of expression and simplicity through the use of precise visual imagery. The best known metaphor is Pound's own, in which faces are compared with petals in the poem, "In a Station of the Metro": The apparition of these faces in the crowd: Petals on a wet, black bough. Through his architectural and literary metaphor, Cervantes covertly expresses his personal beliefs about multiculturalism that could not be directly expressed for fear of censorship by the Inquisition. ; Winner of the 2020 Friends of the Kreitzberg Library Award for Outstanding Research in the Senior Arts/Humanities category. ; In the Margins of Literary and Architectural Discourse: A Comparison of Arabic Commentary in Cervantes's Don Quixote and Moorish Architectural Inscription Pablo Picasso: Don Quixote, August 10, 1955. Internet: Public Domain Alexandra Parent SP 415: Seminar on Don Quixote Professor Stallings-Ward 28 February 2020 1 Introduction The history of the Iberian Peninsula is a rich one, filled with influences from the entire European and Asian continents over time. When we think about Spain, there is one defining factor that distinguishes her from the rest of Europe: the presence of racial, ethnic and religious influence from Africa, and, resulting therefrom, a unique moment in world history: the confluence of three major world religions in one geographical place. Christianity, Judaism, and Islam once flourished side by side in mutual tolerance and economic interdependence in the Andalusian region of southern Spain, known as 'Al-Andalus,' in the High Middle Ages. Tolerance of others who are different, as Maria Rosa Menocal points out, is the underpinning of this unique historical coincidence and the essential component for the development of science, philosophy, medicine, urbanization, and hence trade and commercial prosperity.1 The Jews and Christians of Muslim Andalusia flourished economically and culturally under the Umayyad, whose dynasty (661-750) was transplanted from Damascus to Cordoba by Abd al-Rahman (756- 1031) after a civil war between two rival Caliphates. These three religions borrowed language and architecture from one another leaving traces of their coexistence, not surprisingly, within the architecture and literature of Spain. In the present essay, I will examine the traces of coexistence between the Muslim and Christian world in architecture and literature, using the examples of the mezquita, or 'mosque', and the most important novel of Spain, Don Quixote of la Mancha (1605;1615) by Miguel de Cervantes Saavedra. This study incorporates an interdisciplinary approach that utilizes historical, literary, and architectural methods to explain the dual function of the margin— its architectural function in the Mosque and its narrative function as used in specific chapters from Cervantes's 1 Menocal, The Ornament of the World. 2 novel. Furthermore, I will show how the architectural margin of the wall of the mosque was familiar to Cervantes's readers who lived in Spain and this familiarity allows Cervantes to exploit the metaphorical meaning of the literary margin as architectural margin. A metaphor establishes an equivalency between a pair of images; the best-known example of which belongs to Ezra Pound, the founding leader of Imagism (1912-1923). This is a school of poetry that endorsed clarity of expression and simplicity through the use of precise visual imagery. The best- known metaphor is Pound's own, in which faces are compared with petals in the poem, "In a Station of the Metro": The apparition of these faces in the crowd: Petals on a wet, black bough.2 Through his architectural and literary metaphor, Cervantes covertly expresses his personal beliefs about multiculturalism that could not be directly expressed for fear of censorship by the Inquisition. My essay is divided in three sections. In the first section, I will present a historical overview of Muslim presence in the Iberian Peninsula. In the second section, I present a survey of Muslim Architecture in Andalusia based on the results of a photographic study of architecture I did while visiting Spain during study abroad. I survey the presence of Muslim architecture found throughout Andalusia, placing particular emphasis on the function of the margin in the design of the walls of the mosque reserved for the calligraphy that features citations of scripture from the Holy Koran. The margin, although small in size compared to the rest of the entire structure of the mosque, is as I will show, actually the most important part of the mosque. In the third section of my essay, I analyze the literary margin treated in the episode of the lost manuscript in Volume I: Chapters Eight and Nine of Cervantes's Don Quixote. I will look at 2 Judith Stallings-Ward, Gerardo Diego´s Creation Myth of Music: Fábula de Equis y Zeda. London: Routledge, 2020, 175. 3 the coexistence of the Christian and Arab writers in Cervantes's Don Quixote. The collaboration between Cervantes and Cide Hamete Benengeli allows Cervantes to establish a metaphor between the architectural margin of the mosque and the literary margin of the manuscript as the place for covertly expressing his esteem for multiculturalism and his condemnation of the expulsion of the Moors by national decree; a ploy he uses to escape censorship by the Inquisition. The play with spatial perspective (margin vs center) and the severance of the manuscript (with the lost section recovered in the market of Toledo) establishes the architectural and narrative metaphor that recalls the physical and cultural coexistence between Muslims and Christians valued by Cervantes. In addition, I examine how Cervantes extends this metaphor to also evoke the rupture of that coexistence through expulsion of the Moors, which Cervantes believed broke the backbone of the country. Part I: Historical Overview of Muslim Presence in the Iberian Peninsula The invasion of the Iberian Peninsula began with one young man named Abd Al- Rahman, the son of the Arab family ruling Damascus in the east—the Umayyads. However, during a civil war, his family was massacred, and his escape left him the sole survivor. He fled through North Africa into Cordoba where he began to establish himself as the Caliph, or ruler.3 After the Visigoth monarchy fell, Muslim control dominated the Iberian Peninsula. From 711 through 1492, Islamic society had a long and profound presence on shaping Spanish culture until the Christian kings unified the country. By 716, almost all of Iberia, with the exception of the far northwest and mountainous regions, was under Muslim control and the province was name 'Al- Andalus'. By naming the country in this manner, it directly opposes the 'Hispania' title that the 3 BBC Worldwide Learning, The Moorish South: Art in Muslim and Christian Spain from 711-1492. 4 Romans gave the peninsula, foreshadowing the enmity between the religions of Islam and Christianity.4 Abd Al-Rahman sought to recreate his cultural roots here in Iberia. The peninsula was dominated by the Umayyad dynasty, who had no affiliation to the eastern Muslim dynasties at the time, and were met with little to no resistance from the small groups of Christians still living in the peninsula. As demonstrated in Figure 1, the conquering forces came through Northern Africa and thus were also comprised of Berber forces from that region. By 741, there were approximately 12,000 Berber forces, 18,000 Arabs, and 7,000 Syrians entering through the Southern tip of the peninsula. This totaled anywhere from 4,000,000 to 8,000,000 living in the Iberian Peninsula at the time.5 6 Islam and Christianity under Islamic Rule By the mid eighth century, the population of Iberia had grown exponentially and became more diverse both racially and religiously. Although Muslim forces had conquered what remained of the Visigoth territories and established themselves as the dominant, ruling power, a 4 O'Callaghan, A History of Medieval Spain, 91. 5 Phillips and Phillips, A Concise History of Spain. 6 Alchetron.com. "Umayyad Conquest of Hispania - Alchetron, the Free Social Encyclopedia," August 18, 2017. https://alchetron.com/Umayyad-conquest-of-Hispania. Figure 1: Depiction of the route of Abd-Al Rahman and the subsequent conquests of the Muslim Empire. From Internet: public domain.6 5 majority of the population living in Iberia was still Christian. This undoubtedly posed issues for the Moorish rulers who practiced Islam. As a result, conversion became a necessity for Christians. It is important to distinguish between the upper and lower class when discussing the notion of conversion. Many Visigoth royalty, nobles, and influential families saw it in their best interest to convert and to do what they could to join the new rulers in an effort to pursue political advantages.7 Yet, the majority of Iberia was home to lower class Hispano-Roman Christians who converted out of survival. Despite this, many of the people in this situation retained their Christian faith while adopting Muslim customs like learning Arabic so as to appease the rulers. The name given to these people are mozárabes, or 'Mozarabs', meaning 'Muslim-like'.8 A Christian writer noted the following about Christians living under Islamic rule in 854: Our Christian young men, with their elegant airs and fluent speech, are showy in their dress and carriage, and are famed for the learning of the gentiles; intoxicated with Arab eloquence they greedily handle, eagerly devour, and zealously discuss the books of the Chaldeans (i.e. Muhammadans), and make them known by praising them with every flourish of rhetoric, knowing nothing of the beauty of the Church's literature, and looking down with contempt on the streams of the Church that flow forth from Paradise ; alas ! The Christians are so ignorant of their own law, the Latins pay so little attention to their own language, that in the whole Christian flock there is hardly one man in a thousand who can write a letter to inquire after a friend's health intelligibly, while you may find a countless rabble of kinds of them who can learnedly roll out the grandiloquent periods of the Chaldean tongue. They can even make poems, every line ending with the same letter, which displays high flights of beauty and more skill in handling metre than the gentiles themselves possess.9 It is evident from this passage that the Christians admired the Arabs for the type of civilization they created. The Mozarabs recognized that the Arabs had something to offer them in terms of literature, character, and even language. This demonstrates that on some level, there was an 7 Phillips and Phillips, A Concise History of Spain. 8 Phillips and Phillips. 9 Alvar, Indiculus luminosus; quoted from Arnold, The Preaching of Islam; A History of the Propagation of the Muslim Faith, 137-138. 6 acceptance of Muslim culture and practices which set the foundation for the incorporation of Islamic architectural styles and writing styles to be continued after the Christians' reconquering of Iberia. Christian Kingdoms and "La Reconquista" When the Muslim forces conquered Iberia, they were not able to infiltrate the regions in the north. These regions were not seen as an apparent threat because they were isolated, poor, and not heavily populated, so the Moors did not make a vigilant effort to convert or control these Christians.10 However, the Christian states organized themselves into kingdoms and solidified their control in northern Spain by the mid-twelfth century before moving into Southern Spain during the fourteenth and fifteenth centuries. The progression of the Christian kingdoms' conquests can be seen in Figure 2. 11 At the height of the reconquest, there were seven individual Christian kingdoms within the peninsula: Asturias, Galicia, Aragon, Navarre, Leon, Castile, and Valencia. Each of these kingdoms had their own struggles trying to gain territory, power, and recognition. The Kingdom 10 Phillips and Phillips, A Concise History of Spain, 55. 11 "Reconquista+General.Jpg (1600×914)." Accessed February 19, 2020. http://4.bp.blogspot.com/- ofiGywz891k/TzynBPnsc7I/AAAAAAAAAok/ECNzH3rSp3E/s1600/Reconquista+General.jpg. Figure 2: Timeline of the Christian King's Reconquest of the Iberian Peninsula. Internet: public domain.11 7 of Navarre was largely under the control of the French to the north and did not have much to do with the conquering of other Spanish Christian kingdoms, let alone taking a stance on combating the Arab south. However, not only were the Christian kings working to overthrow the Islamic caliphate and reconquer Iberia from the Muslims, they were all vying for control amongst themselves. In the tenth century, Alfonso III expanded into the regions of Galicia and Leon slowly gaining more territory and strengthening his Christian kingdom to combat the Moors. The kingdoms of Castile and Leon unified in 1085 and then under the kingship of Alfonso VI, they conquered Toledo.12 Toledo is situated where the Moorish Al-Andalus and the Christian kingdoms of Castile and Leon border each other, so the conquering of Toledo was a push in the right direction for the Christian kings' ultimate goal of expelling the Moors from Spain. In the northeast, Alfonso I of Aragon began consolidating his power and conquered Zaragoza by 1134, and joined with Barcelona in 1137 to form the Kingdom of Aragon. By this point, the Muslim empire was facing many issues in trying to run their territories and were slowly losing their sphere of power in the south. King Fernando III of Castile was able to penetrate Al-Andalus and conquer the Andalusian cities of Cordoba and Seville in the mid-thirteenth century. So, when the two kingdoms of Aragon and Castile prevailed over their Christian counterparts, they were left with only the Emirate of Granada as their last steppingstone to banish Muslim rule from the peninsula. King Fernando II of Aragon and Queen Isabella of Castile married in 1469 and this consolidated the royal authority of Spain.13 In January of 1492, the city of Granada fell to the Spanish forces and this ended the 780 years of Muslim control in the Iberian Peninsula. This was the final act of La Reconquista and the beginning of the age of Los Reyes Católicos or 'The Catholic Kings.' King Ferdinand and Queen 12 Phillips and Phillips, 306. 13 Phillips and Phillips, 116. 8 Isabela ruled into the first few years of the sixteenth century, which is marked as the beginning of the Spanish Inquisition—a judicial institution that was used to combat heresy in Spain. Islam and Christianity under Christian Rule Islam first began to submit to Christian rule during the period when the Christian kingdoms were all building up their states and conquering each other in the eleventh century. When Toledo was captured in 1085, allowing the Muslims to stay was crucial to the economic stability and the intellectual advancement of Christian society.14 With the expulsion of the Moors came the expulsion of their religion and began the institution of Christianity, more specifically Catholicism. The immediate issue that the church saw after the reconquest of Spanish cities was the need to introduce their ecclesiastical structure, so they began to assign bishops to these major cities in addition to creating two new ecclesiastical provinces.15 This rapid organization and dispersion of the Catholic religion in previously Islamic territories was not good news for those Muslims still living in Spain after the reconquest. The Christians could not simply expel the Muslims because in some places they made up the majority of the population and were an integral part of the economy for the country.16 Muslims who continued to live under Christian ruler adopted the name mudéjares or 'mudejars' in English. This name is derived from the Arabic word mudajan meaning 'permitted to remain' with a colloquial implication of 'tamed or domesticated.'17 Ironically, the same way the minorities were treated under Islamic rule, to include Christians, was now how the Muslims were treated under Christian rule. The Mudejars would practice their religion, law, and customs in addition to being permitted to continue their 14 Watt, A History of Islamic Spain, 150. 15 O'Callaghan, A History of Medieval Spain, 488. 16 Watt, A History of Islamic Spain, 151. 17 Watt, 151. 9 craft so long as they paid a tax. It was not uncommon for these minority groups to distinguish themselves by dressing differently and even inhabiting different quarters of town. During the thirteenth and fourteenth centuries, a period known as the Mudejar age, it is evident that there is a culture common to both Christians and Muslims, and that coexistence, to the point of assimilation, was possible. However, it is important to note that the Christians, being the dominant power, were selective in what they chose to assimilate. The most evident piece demonstrating assimilation is the artistic productions, both architecturally and literarily. It was obvious that incorporating the Muslims into society was necessary and beneficial, but towards the end of the fifteenth century, economic disparages were becoming obvious and the Mudejars were the wealthier of the two groups. This jealousy and animosity led to a growing prejudice of Mudejars and once Ferdinand and Isabella unified the peninsula, they turned this prejudice into policy. The previous flirtation of religious tolerance was coming to an end, but due to the policy written for the surrender of Granada, many people of Islamic faith were briefly safe in 1492, so these religiously intolerant policies attacked other groups, namely the Jewish factions of the country. This period of brutal intolerance is known as the Inquisition, and it drastically influenced Spanish society for the years to follow, to include Miguel de Cervantes's Don Quixote of La Mancha. Part II: Survey of Muslim Architecture in Andalusia Moorish architecture is something that when one sees it, they know it. It is a mixture of oriental and occidental to create a recognizable and unique form of architecture. There are certain staple architectural features that help make this style so well-known and are also the features that other cultures adopt simply because of their beauty. Some of these features include 10 stone parapets with Islamic crenellations, horseshoe windows and doors, towers sometimes evoking a minaret, domes, arches, slender pillars, and many of these features were typically constructed with alternating colors of yellow and red brick and stone.18 The following figures demonstrate these architectural features. 18 Kalmar, "Moorish Style: Orientalism, the Jews, and Synagogue Architecture," 73. Figure 4 (above): The series of arches and horshoe shaped doors. Taken by Alexandra Parent in the Royal Alcazar in Seville, Spain. January 31, 2018. Figure 5 (below): The classic Islamic crennelations and attention to detail that characterizes all of Islamic architecture. This is also exemplatory of the domes that were utilized in Moorish architecture. Taken by Alexandra Parent at the Royal Alcazar in Seville, Spain. January 31, 2018. Figure 3: The slender pillars and open courtyards. Taken by Alexandra Parent at the Alhambra in Granada, Spain. February 23, 2018. Figure 6: The Torre del Oro or Tower of Gold located in Seville, Spain. Exemplifies the use of towers and minarets in Islamic architecture. Taken by Alexandra Parent in Seville, Spain. April 12, 2018. 11 19 These features are apparent throughout all the everyday buildings within the cities of Al- Andalus, but they also came together to make great, exceptional buildings. One in particular is the Great Mosque in Cordoba. This was built when the religion of Islam was only a century old, so it is renowned as one of the first mosques ever built. This mosque is truly grandeur in architectural style in addition to sheer size. In Islamic faith, it is forbidden to depict Allah, or any religious figure, so the traditional methods of using a painting to inspire religious awe was not possible, thus allowing for architecture to take its place. As seen in Figure 7, the rows of archways are seemingly never ending and absolutely uniform. 20 The architectural margin of the mosque (Fig 8 and Fig 10.D), which Cervantes metaphorizes with the annotation of Dulcinea written on the margin in Don Quixote, refers to the most important part of the mosque: the inscriptions. In the Islamic religion, as aforementioned, worshipping any idols or to depict Allah, Muhammad, or any other important religious figures 20 "The Mosque-Cathedral of Cordoba (Spain)." Accessed February 19, 2020. https://www.turismodecordoba.org/the-mosque-cathedral-of-cordoba-spain. Figure 7: The Great Mosque located in Cordoba, Spain. Known for the uniformity and neverending archways and pillars. From Internet: public domain.20 12 through paintings are prohibited. So, the role of the inscriptions becomes the most important and revered part of the mosque much like the depiction of Jesus on the cross is worshipped by Christians. This is because the inscriptions are the holy words of the Koran. The phrase most 21commonly inscribed in these architectural margins are 'only Allah is victorious.' The metaphor Cervantes makes between the architectural and literary margin is developed to a second degree with the handwriting in the margin of the manuscript being Arabic calligraphy. This can be compared to the inscriptions in the architectural margin of the mosques, which are also written in Arabic calligraphy. This type of writing is very distinct from Western modes of writing because the purpose of Arabic calligraphy is "no como un medio utilitario de 21 Fernando Aznar, La Alhambra y el Generalife de Granada. Monumentos, 12. Figure 10: Architecture of the Mosque21 (from left to right and top to bottom): A) ataurique B) interlacing decoration C) calligraphy in the margin of the wall with scripture "Only Allah is Victorious". Also shown in Fig 11. D) horseshoe arc E) muqarnas F) half horseshoe arcs G) arc with muqarnas H) column with crowned capital Figure 8 (above): The horsehoe shaped windows and use of alternating colors and very detailed crennelations. The Arabic calligraphy can be seen above the windows. Taken by Alexandra Parent at the Alhambra in Granada, Spain. February 23, 2018. Figure 9 (above): Fig 8 on a closer scale to better see the calligraphy 13 comunicación entre los hombres sino como un medio sagrado de comunicación entre Dios y los hombres," meaning, it is not like a utilitarian means of communication between humans, but rather a sacred means of communication between God and men.22 This type of calligraphy that Arabs place in the margins of their mosques obviously have religious value and is called caligrafía cúfica or 'Kufic calligraphy' as is shown in Figure 11. 23 The text written in Arabic calligraphy in the margin of the wall of the mosque is epigrafía. It is present in all mosques and throughout the royal palace known as La Alhambra in Granada. As Fernando Aznar explains, "El texto tiene gran importancia en la decoración. Frases que ensalzan a Alá, o que hace referencia a las bellezas del lugar donde se encuentra, ditando a veces a los constructores de cada zona, se reparten por todos los muros de la residencia real."24This quote says that text has great importance in the decoration of the buildings, and that the phrases that praise Allah, or that refers to the beauties of the place where Allah is located, are all throughout the royal palace. It amplifies the important role that language has in religious symbols. 22 "La Caligrafía Árabe." 23 "Arabic Inscription." Alamy. Accessed February 24, 2020. https://www.alamy.com/stock-photo-arabic-inscription- carved-in-a-palace-wall-of-the-alhambra-in-granada-17181753.html. 24 Fernando Aznar, La Alhambra y el Generalife de Granada. Monumentos, 12. Figure 11: An example of Kufic calligraphy. The style of the Arabic writing in this image is classically used in Islamic mosques to state the word of Allah from the Holy Koran. This is the architectural margin. From Internet: public domain.23 14 Moorish Architectural Influence Under Christian Rule As the Christians slowly began organizing themselves into kingdoms and conquering Moorish cities in Al-Andalus, two incredibly different cultures met each other. As previously stated, an assimilation of sorts was taking place by the Christians who were adopting Islamic practices and other elements of their culture. Architecture was one of these elements that Christian rulers not only preserved, but in some cases built from bottom up utilizing these inherently Moorish styles. Using the example of the Mosque of Cordoba, it is important to note that in the middle of this Islamic prayer hall, there is something unknown to Islam; a Catholic Cathedral (Fig. 12, 13, and 14). This addition was made in the sixteenth century after the Moors were abolished from Iberia. The rulers who erected this cathedral demolished the central columns in order to make room for the Christian edifices, however, Charles V recognized the gravity of this action and how it drastically changed the ambiance and historical significance of this architectural feat. This cultural vandalism by the Christians is symbolic of the enforcement and imposition of their religion onto a different group of people. This theme is also apparent in the literary works of the sixteenth and seventeenth centuries to include Don Quixote of La Mancha by Miguel de Cervantes. Figure 12: Located in the middle of the Great Mosque of Cordoba. Christian, gothic architecture meeting with Islamic architectural styles. Taken by Alexandra Parent. January 31, 2018. 15 An example of Mudejar work is the Cathedral of Seville, built after the demolition of a mosque, in order to increase the power of the Christian rulers. The architectural style of the building is very European and gothic with high vaulted ceilings and stained glass.25 As a statement piece for Christianity in former Islamic Spain, it is not expected for one to find traces of Moorish architectural influence, but there is. The Cathedral was built by Christian architects, so there was no lack of qualified Christian craftsmen, however there are qualities inherently Moorish that make its way into this grand architectural achievement. As depicted in Figure 15, the high altar in the Cathedral is adorned in so much detail that it mimics the Moorish tendency to not leave any blank space. The incessant ornamental decoration style that was a part of Islamic Spain bled into and permeated traditional Christian and European styles of architecture making its way into the very soul of Christian craftsmanship. Although the Christian Spanish rulers 25 BBC Worldwide Learning, The Moorish South: Art in Muslim and Christian Spain from 711-1492. Figure 13 (right): Christian altar located in the middle of the Great Mosque of Cordoba in Spain. Taken by Alexandra Parent. January 31, 2018. Figure 14 (left): Example of Christianity inserting itself into Muslim architecture. Taken by Alexandra Parent. January 31, 2018. 16 erected this cathedral as a statement to assert their religious dominance, the Moorish aesthetic had already made its way into the minds of the architects of that era. In addition to this, the minaret attached to the Cathedral of Seville, La Giralda (Figure 16), is evidence of this as well. The construction of this minaret concluded in 1568 and is the twin tower to the city of Marrakech. Having begun construction in 1184, La Giralda is host to the visible mixing of Moorish and Christian culture. Through the stonework, inscriptions, and different styles used, La Giralda is evidence of this assimilation of cultural and architectural practices. 26 Perhaps the most notable architectural feat in regard to Moorish influence on Christianity is seen in the Real Alcázar, or Royal Alcazar. At first glance, it is a very distinct Moorish-looking building in terms of architecture; it contains the classic Moorish archways, courtyards, crenellations and pillars (Fig 17 and 18), so it would be reasonable to conclude that it was 26 "Cathedral of Seville. Aerial View." Accessed February 24, 2020. https://seebybike.com/blog/must-see-cathedral-and- alcazar-of-seville/cathedral-of-seville-aerial-view/. Figure 15 (right): The altar located inside the Cathedral of Seville. Known for it's incredulous detail and extravagant style that is suspected to be a result of lingering Moorish influences. Taken by Alexandra Parent. January 31, 2018. Figure 16 (left): An aerial view of the Cathedral of Seville. It includes many influences of Morrish architecture to include the large tower known as La Giralda, the minarets all over the building, and the many domes that make up the cathedral. From Internet: public domain.26 17 constructed under Islamic rule. However, Christian king Peter of Castile, also known as Peter the Cruel, commissioned the Alcazar as his royal palace in the fourteenth century. He made the Alcazar identical to the architectural stylings of the Spanish Middle Ages. So, the question arises as to why a Christian ruler would deliberately choose Islamic decoration? The answer is that it comes down to power. By appropriating the Islamic art and traditional expressions, the Christian ruler projects a sort of authority over the minority subjects.27 The Moorish expressions of wealth and power are understood differently than traditional Europeans, so by creating something that the Muslim population would recognize as powerful, Peter the Cruel wielded a sort of power over the Mudejars. 27 Fernández, "Second Flowering: Art of the Mudejars." Figure 17 (left): The courtyard of the Royal Alcazar. Despite being built by a Christian king, it has many, if not completely full of, influences from Islamic architecture. Note, the pillars, the archways, the courtyard, the crennelations. Taken by Alexandra Parent. January 31, 2018. Figure 18 (right): The Royal Alcazar in Seville, Spain. This wall has both Christian and Islamic influences. Note the differences between the lower floor and the second floor of the archways. The bottom is much more functional and plainer, like traditional Christian architecture whereas the top portions are much more detailed and colorful such as depicted by Islamic architecture. Taken by Alexandra Parent. January 31, 2018. 18 Part III: The Literary Margin Treated in the Episode of the Lost Manuscript in Volume I: Chapters Eight and Nine of Cervantes's Don Quixote When reading Don Quixote, the reader is frequently taken off the main narrative path involving the adventures of the main characters, the knight and his squire Sancho Panza, and led down secondary narratives involving encounters with characters who interrupt the main narration with tales of their own stories of love, captivity, and triumph. The complexity of the narrative shows the novel to be an amalgam of many different short novels, much like the way of the river Amazon, which is fed by many smaller rivers, at the heart of which is Cervantes's parody of books of chivalry. Nevertheless, the one unchanging constant is the way the novel opens a window onto the life and times of the man who wrote it. Cervantes's novel reflects his lived experience rooted in multicultural society whose heterogeneity was the source of Spain's economic and agricultural well-being. Cervantes saw the well-being of his country destroyed by the Hapsburg dynasty's religious intolerance and persecution of minorities who did not convert from their Jewish or Muslim faith. Cervantes himself was of Jewish ancestry. His father was a surgeon, a vocation known to be practiced by Jews. Cryptic references to his Jewish ancestry appear in the portada, or cover page of this novel. For example, the phrase from the book of Job—after darkness light is hoped for—and references to their inability to worship on the Sabbath appear in the first chapter of the novel; a day when the Jewish population must be in duelos and quebrantos, or 'pain and suffering'. While a student, Cervantes was arrested and ordered to have his right hand cut off for allegedly shooting a man who had insulted his sisters. Cervantes escaped punishment by fleeing to Italy from where he joined the Holy League (an alliance among the Vatican, France, and Spain) in the Battle of Lepanto, a major battle against the Turks in the waters of the 19 Mediterranean, during which Cervantes lost the use of his left hand. After his distinguished military service in this major victory against the Turks, Cervantes was taken captive and held prisoner for five years in Algeria. His profound understanding of the Islamic world of the Maghreb, as the northern region of Africa is known, is reflected throughout Don Quixote. Upon return to Spain, he obtained work as a tax collector tasked with gathering funds throughout Andalusia for the construction of the Spanish Armada. His detailed knowledge of the geography and customs of Southern Spain is reflected throughout the novel as well. Cervantes's experiences from his military expedition against the Turks, his years in captivity in northern Africa, his travels through Andalusia, and his Jewish ancestry can be added as another factor that forged the broad multicultural perspectivism formed in his novel. As a student, Cervantes was taught by Lope de Hoyos, a known follower of the Dutch humanist philosopher Erasmus of Rotterdam. Erasmus criticized the empty ritual of the Catholic Church as well as its intolerance for Christians, especially followers of Martin Luther, who sought an unmediated religious relationship with God; one that did not require mediation by a Catholic priest. The teachings of Erasmus, an intellect who denounced the hypocrisy of the Catholic Church and its persecution of minorities and different versions of Christianity, are embraced by Cervantes and find expression in a covert manner in Don Quixote (II: 22-23).28 The episode of the lost manuscript (Volume I:8-9) reflects the perspective of multiculturalism and diversity Cervantes gained from the life experiences outlined above. Chapter eight is first and foremost about Don Quixotes's iconic battle with the windmills, the most well-known episode of the novel. Don Quixote's illusion leads him to believe that the windmills were originally giants that have been transformed into windmills by his enemy, the 28 Judith Stallings-Ward, "Tiny (Erasmian) Dagger or Large Poniard? Metonymy vs. Metaphor in the Cave of Montesinos Episode in Don Quixote." 20 wizard Freston, to cheat Don Quixote from a victory in battle against them. The deception of the knight conveys Cervantes's use of humorous parody to denounce the books of chivalry whose fantasy version of reality has brainwashed Don Quixote. A subsequent adventure in this chapter reveals Don Quixote has another lapse of reason. He believes that a Basque woman travelling to Seville, preceded by two Benedictine friars who are not in her party, and surrounded by her own men on horseback, is a princess being kidnapped. Upon observing once again his master's mind in the grip of delusion, Don Quixote's squire Sancho Panza replies, "This will be worse than the windmills."29 This foreshadows the battle that Don Quixote will ultimately have with the Basque. At the end of Chapter eight, we are left with both men having their swords unsheathed and raised at each other, but then the narration of the story abruptly stops. The narrator, a literary form of Cervantes inserted into the story by the real historical Cervantes, begins to speak directly to the reader as if in an informal conversation with them to convey that the end of the scene and the rest of the history are missing.30 This narrative style continues into Part II, chapter nine when the narrator begins a search for the missing manuscript. In this chapter we are brought to Toledo and the narrator brings the reader through the Alcaná market. The narrator Cervantes tells the story of his journey to find the manuscript in the market and how he comes across a young boy trying to sell him some notebooks, old torn papers, and other small commodities. Cervantes is inclined to pick up a certain book that the boy has and realizes the script on the front is in Arabic. Since he could not read Arabic, he finds a Morisco aljamiado, so called for their ability to speak both Arabic and Spanish, who can help translate the manuscript. It was not difficult to find this person and soon Cervantes flipped to the middle of the book and asked the Morisco to translate. Cervantes points out the availability of translators of 29 Cervantes, Don Quixote, 62. 30 Cervantes, 65. 21 all classic languages in the market, thus underscoring the advantage of multicultural spaces such as the markets of Spain. As the translator--the Morisco aljamiado--began to read the page, he laughed at something written in the margin: it stated, "'This Dulcinea of Toboso, referred to so often in this history, they say had the best hand for salting pork of any woman in La Mancha.'"31 The narrator immediately knew that this was the missing manuscript he was looking for, so he had the Morisco read even more. It is then that the reader learns the novel was originally written in Arabic by the Arab historian Cide Hamete Benengeli. Narrator Cervantes commissions the Morisco to translate the entire novel, paying him in "two arrobas of raisins, and two fanegas of wheat," so that the story of Don Quixote and Sancho Panza can be continued.32 This process of translation of the original manuscript from Arabic to Spanish is now the source of the narrator Cervantes's history of Don Quixote, and it is a collaboration between the literary Christian "Cervantes" and the original Arabic author Cide Hamete Benengeli, delivered through the translator. The reader is now being told the story through someone else's eyes and mind. The novel descends into a rabbit hole of authorship in which, ironically, the new lens is a Morisco translator. This metaphor demonstrates that true Spanish history is written as a compilation between Christianity and Islam, not one or the other, thus demonstrating historical Cervantes's disdain and disapproval of the expulsion of the Moors. Rather, Cervantes displays the importance and necessity of diversity and multiculturalism. The true author, historical Cervantes, also establishes a metaphor between the literary margin, in which the literary Cervantes discovered the novel was indeed Don Quixote, and the architectural margins of the mosque. Cervantes does this in a very clever and implicit manner, 31 Cervantes, 67. 32 Cervantes, 68. 22 otherwise he would be severely censored. Through this implied metaphor of architectural and literary margins, Cervantes is able to write a novel that has commentary to covertly express his condemnation of the Moors and announce his glorification of multiculturalism. The focus of attention placed on the margin of the manuscript wherein Arabic commentary is written calls to mind the architectural margin of the mezquita, or 'mosque', in which the Arabic calligraphy is written. The comparison between the textual margin of Cervantes's manuscript and architectural margin of the walls of the mosque would be easy for the readers of Cervantes's day to recognize given the prevalence of Muslim architecture throughout Spain, as my survey in the first part of this essay shows. Furthermore, the handwriting in Arabic by the Arab historian easily calls to mind the calligraphy used for citations from the Koran. The Arabic commentary—associated with the authoritative word of the Koran placed in the margin of the walls of the mosque—second guesses the religious purity of Dulcinea, the object of courtly worship by the Christian knight. When the translator points out the Arab historian's commentary in the margin of the manuscript, that 'the Lady Dulcinea has the best hand at salting pork,' he taints her purity by placing her in contact with a food source that is considered polluted for Muslims. The comment casts Dulcinea in tainted light. The Arab historian's questioning of religious purity occurs in tandem with the questioning of the authority or authorship of the history of Don Quixote. The literary Cervantes is a Christian writer, but he is not the true author of the original manuscript; the Arab historian Cide Hamete claims true authorship; and Dulcinea is not the pillar of religious purity she is perceived to be. The play with the double meaning of the margin (textual vs architectural) occurs with the play of spatial perspective between margin vs center. The reader sees through Cervantes's use of the metaphor as a multicultural perspective that questions the absolute status of Christian 23 authority and Christian purity. The play with meaning and perspective in Cervantes's treatment of the margin in chapters eight and nine may be taken to one final and third level of development. The margin, shown to be central in connection with the ruptured or severed manuscript, is a covert expression for Cervantes's esteem for the contributions to Spanish society by the Muslim population of his country and his condemnation for their expulsion by governmental degree from Spain. In the eyes of Cervantes, this broke of the backbone of Spain's culture and economy since the Arab population made up an incredibly large portion of the Iberian Peninsula. Cervantes accomplishes this by, not only changing chapters, but beginning a whole new section of the novel. Part I concludes with chapter eight and the pending battle between Don Quixote and the Basque, then Part II begins with the narrator Cervantes informing the reader of his journey to find the rest of the novel. Being wary of the censorship that plagued others during the Inquisition, Cervantes chose this metaphorical approach to convey his true sentiments about the situation of Spain at this moment in history. This rupture in Don Quixote's history is reflective of the moment in Spain's history where law has been decreed to banish something so inherent to the nation itself: the Moorish people. By placing these episodes side by side, Cervantes invites the reader to compare the delusion of the Hapsburg imperial vision and its expulsion of the Moors with the episode of the windmills. The blindness of Spain's government seems even more laughable than Don Quixote's own misguided attack on the windmills. Cervantes's play with the margin allows him to express his views on multiculturalism in an indirect manner that allowed him to escape censorship by the Inquisition. The Inquisition was not savvy enough to realize that this profound division between Part I and II is symbolic of the division of tolerant Spain into an intolerant Spain. After Cervantes 24 died, the Inquisition did censor and expurgate a passage that was considered too directly stated. In chapter thirteen, Don Quixote is once again declaring his servitude and attesting to the beauty of his beloved Dulcinea of Toboso. In his description to Vivaldo, he uses a Petrarchan metaphor, a very classical and renaissance style of poetry, to describe Dulcinea. Don Quixote states (Volume I:13): "Her tresses are gold, her forehead Elysian fields, her eyebrows the arches of heaven, her eyes suns, her cheeks roses, her lips coral, her teeth pearls, her necklace alabaster, her bosom marble, her hands ivory, her skin white as snow, and the parts that modesty hides from human eyes are such, or so I believed and understand, that the most discerning consideration can only praise them but not compare them."33 While eloquently put, Cervantes is nonetheless making references to the private areas of Dulcinea's body and thus was censored by the Catholic Church in 1624 after his death; they dared not censor him before since his novel made him so beloved by the people. Cervantes was too clever to have to follow the rules. His questioning of authority was apparent from the very opening words of the novel when he writes, "[s]omewhere in La Mancha, in a place whose name I do not care to remember…"34 Cervantes conveys how exact places and names are all arbitrary and are not relevant to the novel. This echoes Cervantes own questioning of authority and Spain's religious Inquisition going on that persecuted the Moors and other minorities alike. 33 Cervantes, Don Quixote, 91. 34 Cervantes, 19. 25 Conclusion The religious tolerance and interdependence between minorities of Al-Andalus, which are reflected through the architecture of Andalusia and also underscored in Cervantes's Don Quixote through the metaphorical treatment of the literary margin in the episode of the lost manuscript, seems evermore elusive today. In light of the divisiveness and racism rampant in our society that mars efforts toward multiculturalism and diversity, such as those undertaken at universities like Norwich, tolerance seems like the impossible dream that is the object of the quest of the chivalrous knight Don Quixote. 26 Bibliography Arnold, Thomas Walker. The Preaching of Islam; A History of the Propagation of the Muslim Faith. New York: C. Scribner's sons, 1913. http://archive.org/details/preachingofisla00arno. Aznar, Fernando. La Alhambra y el Generalife de Granada. Monumentos Declared of World Interest by Unescco. Mariarsa:1985. BBC Worldwide Learning. The Moorish South: Art in Muslim and Christian Spain from 711- 1492. Documentary Film. The Art of Spain: From the Moors to Modernism, 2009. https://fod.infobase.com/p_ViewVideo.aspx?xtid=39408. Cervantes, Miguel. Don Quixote. Translated by Edith Grossman. 5 edition. New York: Harper Collins, 2003. Fernández, Luis. La Historia de España en 100 preguntas. Madrid, Spain: Ediciones Nowtilus, 2019. https://ebookcentral.proquest.com/lib/norwich/reader.action?docID=5703133&ppg=1. Fernández, María Luisa. "Second Flowering: Art of the Mudejars." Saudi Aramco World, The Legacy of Al-Andalus, 44, no. 1 (February 1993): 36–41. Harsolia, Khadija Mohiuddin. "Captivity, Confinement and Resistance in Mudejar and Morisco Literature." University of California, Riverside, 2016. WorldCat.org. https://search.proquest.com/docview/1849025713?accountid=14521. Kalmar, Ivan Davidson. "Moorish Style: Orientalism, the Jews, and Synagogue Architecture." Jewish Social Studies 7, no. 3 (2001): 68–100. "La Caligrafía Árabe." Accessed February 21, 2020. http://www.arabespanol.org/cultura/caligrafia.htm. Maíz Chacón, Jorge. Breve historia de los reinos ibéricos. 1a. edición. Quintaesencia ; 6. Barcelona: Ariel, 2013. http://catdir.loc.gov/catdir/enhancements/fy1313/2013369841- b.html. Menocal, Maria Rosa. The Ornament of the World: How Muslims, Jews and Christians Created a Culture of Tolerance in Medieval Spain. Reprint edition. Boston: Back Bay Books, 2003. O'Callaghan, Joseph. A History of Medieval Spain. 1st ed. Ithaca, New York: Cornell University Press, 1975. https://ebookcentral.proquest.com/lib/norwich/detail.action?docID=3138541. 27 Phillips, William D., and Carla Rahn Phillips. A Concise History of Spain. Cambridge Concise Histories. Cambridge: Cambridge University Press, 2010. https://library.norwich.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true &db=e000xna&AN=490553&scope=site. Raquejo, Tonia. "The 'Arab Cathedrals': Moorish Architecture as Seen by British Travellers." The Burlington Magazine 128, no. 1001 (1986): 555–63. Sheren, Ila Nicole. "Transcultured Architecture: Mudéjar's Epic Journey Reinterpreted." Contemporaneity: Historical Presence in Visual Culture 1 (June 1, 2011): 137–51. https://doi.org/10.5195/contemp.2011.5. Stallings-Ward, Judith. "Tiny (Erasmian) Dagger or Large Poniard? Metonymy vs. Metaphor in the Cave of Montesinos Episode in Don Quixote." Comparative Literature Studies. 43.4 (2006) special issue: Don Quixote and 400 Years of World Literature. 441-65. Stallings-Ward, Judith. Gerardo Diego´s Creation Myth of Music: Fábula de Equis y Zeda. London: Routledge, 2020. Urquízar-Herrera, Antonio. Admiration and Awe: Morisco Buildings and Identity Negotiations in Early Modern Spanish Historiography. 1 online resource (289 pages) vols. Oxford: OUP Oxford, 2017. http://public.ebookcentral.proquest.com/choice/publicfullrecord.aspx?p=4850548. Watt, W. Montgomery. A History of Islamic Spain. Islamic Surveys; 4. Edinburgh: Edinburgh University Press, 1977.
The approach taken by authorities in the oversight and supervision of FMIs is important in promoting and maintaining financial stability in Moldova. While well-functioning FMIs can greatly improve the efficiency, transparency, and safety of financial systems, they can also concentrate systemic risk, which requires effective oversight and supervision to achieve public policy objectives. In the context of Moldova, the authorities are confronted with a national decision to create a single CSD that has good governance, robust risk management practices, and financial soundness. Vulnerabilities in FMIs could potentially undermine the implementation of monetary policy, or generate systemic disruptions in the financial markets, and more widely across the economy. A problem may be initiated by the inability of a participant to settle its obligations, or by operational failures of the system as a whole. The resulting default may be passed on to other participants, and get transmitted across financial systems and markets, threatening their stability. This note reviews the oversight and supervisory framework for FMIs in Moldova. In this note, FMIs cover payment systems, central securities depositories, and securities settlement systems. Payment systems were assessed in the 2008 Republic of Moldova FSAP Update and are not covered in this note. Securities registrars, which play a key role in the capital markets, are not FMIs and are assessed under principle 11 on CSDs of the PFMIs. The analysis was based on the authorities' answers to the IMF's questionnaire, IMF and World Bank technical assistance reports, and background documentation. The mission met with representatives from the NBM, NCFM, MSE, NSD, and independent registrars. This note was prepared based on the information available in February 2014. The note includes (i) an overview of the FMIs and description of past and ongoing reforms, and (ii) an assessment of the main issues at stake.
This paper explores how a 'conflict and violence sensitive' framework in project assessment, design and implementation facilitates early identification and mitigation of negative consequences of competition and dispute, and promotes sustainable development over the longer term. It discusses the role of renewable resources in perpetuating conflict and violence, and distills lessons from selected development programming experiences in managing conflict risks associated with these dynamics. The study emphasizes that building capacity to productively address conflict and to improve community resilience to ecological change decreases vulnerability to violence, and improves livelihoods particularly for the world's poorest communities. The study draws on a range of development experience and specifically examines six case studies: three from the World Bank portfolio and three external to the Bank. Of the World Bank projects, the paper considers Andhra Pradesh Community Forest Management Project (India), Land Conflict and Vulnerability Pilot Project (Afghanistan), and Second Fadama Development Project (Nigeria). The paper also studies three external cases: conservation of managed indigenous areas (Ecuador) and Building the Capacity of Institut Congolais pour la Conservation de la Nature (ICCN) to Resolve and Manage Environmental Conflicts in Virunga National Park (DRC), both financed by U.S. Agency for International Development (USAID); and the Community Development Component of German Technical Cooperation's (GTZ's) Palestinian Water Program (West Bank). The concluding chapter outlines good practice and lessons learned from experience, emphasizing principals for building institutional and organizational capacity that support constructive conflict management.
This paper decomposes the gender gap in pay in the Russian Federation along the earnings distribution for the period 1996–2011. The analysis uses a reweighted, recentered influence function decomposition that allows estimating the contribution of each covariate on the wage structure and composition effects along the earnings distribution. The paper finds that women are in flat career paths compared with men; the importance of observable characteristics that proxy human capital in the gender pay gap decrease along the earnings distribution; and if women's pay took into account their educational degrees as much as men's, the gender pay gap would disappear or even reverse at the top of the earnings distribution. The results suggest that women at the bottom of the earnings distribution should be helped to increase their labor market skills, and women at the top of the distribution should be helped to break the glass ceiling and be remunerated for their skills to the same extent as men.
Recent studies in the DRC tend to focus on human rights abuses or on the status of women, however few investigations examine the link between mining and sexual violence. There is a dearth of research specifically into the gender dimensions of artisanal and small-scale mining (ASM) as a means to economic security for both men and women. Further, there has been insufficient analysis of the real and potential threats to women's human rights in the artisanal mining sector in DRC. Once these threats are identified, governmental and other partners can be informed as to protective and restorative actions they can take to assure the rights of vulnerable groups within mining communities. With improved understanding of the vulnerabilities, opportunities, and human rights threats facing women in conflict-affected small-scale mining areas, governmental and NGO partners can be better informed both how to prevent violations of rights, as well as how to promote rights and improve economic and social outcomes for women and communities. The ASM sector has been noted as a significant element in the ongoing conflict in DRC, with particularly negative implications for women, but also has the potential to lead to considerable economic gains. The objectives of the study will be to: (i) identify the key gender dimensions of ASM in the Kivus, particularly in terms of how conflict exacerbates or changes what is already known about the gender dimensions of ASM and to understand the human rights issues facing women; (ii) identify specific sources of gendered vulnerability to human rights abuses within AMS communities and identify ways to address these vulnerabilities; and (iii) identify methodologies of resilience or positive coping in communities.
This paper studies the effects of voluntary accounting information disclosure through auditing on firm access to finance, exposure to corruption, and sales growth. Relying on a data set of more than 70,000 firms in 121 countries, the analysis finds that disclosure can be a double-edged sword. On the one hand, audited firms exhibit a slightly lower level of financial constraints than unaudited firms. On the other hand, audited firms face a significantly higher level of corruption obstacles. The net effects of voluntary information disclosure on firm growth are negative, which can largely be explained by the fact that most of the countries in the sample are developing countries where institutions are weak. The beneficial effect of disclosure increases as a country's property rights protection improves. The qualitative results are robust to considerations of the endogeneity of auditing and to alternative measures of corruption and financial constraints. The findings reveal the dark side of voluntary information disclosure: exposing firms to government expropriation where institutions are weak.
The six countries of South East Europe (SEE6) are aging fast and catching up with developed economies that are already far advanced in the aging process. Low fertility rates are reducing working-age populations across the SEE6. The adverse SEE6 demographic dynamic is aggravated by emigration. In the absence of any policy and behavioral responses or changes in labor productivity, and where population aging reflects solely declining overall labor force participation rates, aging itself would be expected to negatively impact economic growth. Boosts in productivity are one of the key ways to counterbalance potential negative effects of aging on economic growth. Changes in both individual and business behavior supported by policies that increase quality of human capital and encourage labor force participation can help seize the opportunities and mitigate the adverse effects of an aging population.
Since 1947, the Vietnam Social Security (VSS) has provided social insurance to public servants and armed forces personnel in Vietnam. In 1995, the Government merged the social insurance unit of the Ministry of labour, invalids and social affairs with that of the Vietnam General Confederation of labor. At the same time the system became mandatory to the employees of the newly developing private sector. The consolidated system is publicly managed by the VSS administration. VSS collects contributions and pay social insurance benefits (in case of sickness and sick leaves, maternity and family planning related leaves, work injury and professional disease, survivorship and to people that reached pension ages). This paper investigates this issue by reviewing the characteristics of employment in Vietnam. It concludes that the risk that social coverage remains limited for many years is high and, presents accordingly some policy options to augment VSS's chances to reach universal coverage in the future.
The past year generally has been another quiet one for children's legal issues in Virginia, although it was a busier than normal year in the United States Supreme Court with the grandparents' visitation case, the Texas high school football game prayer case, a significant Title I case involving the provision of instructional material to religiously operated schools, and the gay Boy Scout leader case. Not as much occurred at the state level, with little legislation of great significance to children and youth being enacted at the 2000 General Assembly session. However, a succession of cases interpreting and applying Baker v. Commonwealth-regarding juvenile and domestic relations district court jurisdiction over juveniles in the absence of notice to biological parents--caused a bit of excitement for juvenile law practitioners and much concern for prosecutors.
Compared with the intensive focus on juvenile justice issues in Virginia between 1994 and 1996, and the significant statutory changes generated by that focus, the past two years have been relatively serene, at least for juvenile law. Legislative activity about juvenile justice has been subdued, and few cases have interpreted the major legislative changes wrought during that three-year period, or their effects. The 1998 legislative session did result in the demise of the family court initially created five years earlier contingent on the provision of adequate funding for the court at some future session. The provision of funding for the court pursuant to that legislation was delayed twice by the General Assembly, initially to July 1, 1996, and then to June 1, 1998. No action was taken to implement the authorizing act during the 1998 Session of the Assembly and, thus, the enabling statutes lapsed.
This article covers changes made to the Virginia Administrative Process Act (VAPA) during the 1992 session of the General Assembly. It also covers selected recent cases from Virginia courts dealing with state administrative procedure decided between August 30, 1990 and September 17, 1992.
Issue 32.2 of the Review for Religious, 1973. ; Review ]or Religious is edited by faculty members of the School of Divinity of St. Louis University, the editorial offices being located at 612 Humboldt Building; 539 North Grand Boulevard; St. Louis, Missouri 63103. It is owned by the Missouri Province Educational Institute; St. Louis, Missouri. Published bimonthly and copy-right (~) 1973 by Review ]or Religious. Composed, printed, and manufactured in U.S.A. Second class postage paid at St. Louis, Missouri. Single copies: $1.25. Sub-scription U.S.A. and Canada: $6.00 a year; $11.00 for two years; other countries, $7.00 a year, $13.00 for two years. Orders should indicate whether they are for new or renewal subscriptions and should" be accompanied by check or money order payable to Review ]or Religious in U.S.A. currency only. Pay no money to persons claiming to represent Review ]or Religious. Change of address requests should include former address. R. F. Smith, S.J. Everett A. Diederich, S.J. Joseph F. Gallen, S.J. Editor Associate Editor Questions and Answers Editor March 1973 Volume 32 Number 2 Renewals, new subscriptions, and changes of address should be sent to Review for Religious; P.O. Box 6070; Duluth, Minnesota 55802. Correspondence with the editor and the associate editor together with manuscripts, books for review, and materials for "Subject Bibliography for Religious" should be sent to Review for Religious; 612 Humboldt Building; 539 North Grand Boulevard; St. Louis, Missouri 63103. Questions for answering should be sent to Joseph F. Gallen, S.J.; St. Joseph's Church; 321 Willings Alley; Philadelphia, Pennsylvania 19106. Religious and Social. Security William Quinn, F.S. . Brother William Quinn,F.S.C., is the Assistant to the President of the Conference of Major Superiors of Men of the USA; Suite 114; 1330 New Hampshire Avenue, N.W.; Washington, D.C. 20036. For some years the Internal Re~)enue Service of the U.S. Government has recognized that religious with the vow of poverty require a specific treatment under the law. In virtue of their vow of poverty, religious have no income in the sense in which this word is used by Internal Revenue Service. What-ever salary they might earn is in reality earned as an agent of their order, not for themselves personally. Because of this, religious have been exempt from the federal income tax; when the Social Security System was begun in 1936, .religious were excluded for the same reason: They had no income upon which to base the Social Security tax and which would serve to determine the level of benefits upon retirement or disability. In 1967 the House of Representatives of the U.S. Congress passed legislation extending Social Security coverage to members of religious orders under a vow of poverty. However, when the matter was considered in the Senate, representatives of religious orders requested time for further study of the effects of coverage. The provision was not included in the Senate: passed bill which went to conference, and th~ conference agreed to post-pone the matter pending study of the orders. The status of religious under Social Security was not changed in the Social Security Amendments of 1967. The 1972 Provisions The provision for extending coverage to members of religious orders that is contained in the 1972 Amendments to the Social Security Act is based upon recommendations submitted to the Congress by a joint Social Security study committee, established by the two conferences of religious superiors in the U.S., LCWR and CMSM. 210 / Review for Religious, Volume 32, 1973/2 On October 30, 1972, President Nixon signed into law the Bill, H.R. 1, entitled Social Security Amendments of 1972; this Bill is now known as P.L. 92.603. The Bill provided many modifications in the existing Social Security legislation, but Section 123 is of particular interest to religious since its heading is: Coverage for Vow-of-poverty Members of Religious Orders. Religious orders are given the option of electing coverage under Social Security for their members under a series of rather well-defined conditions. The option is open-ended, that is, there is no time limit for when this option must be exercised, but it is irrevocable once it has been made. It will then be binding upon all present and all future members of the order. This new legislation recognizes the special situation of religious with the vow of poverty by creating for the purpose of Social Security coverage a unique definition of "wages": "The term 'wages' shall include the fair market value of any board, lodging, clothing, and other perquisites furnished to such member." Two things might be remarked about this definition: First, it is in no way related to the salary a particular religious might be receiving, and second, every religious in the order has an assignable "wage." The services performed by the religious might actually be carried out in an institution such as a school or hospital, but for the purposes of this Bill these services are deemed to be performed by the religious as an employee of the religious order. The obligation of paying the Social Security taxes members of the order falls upon the order, and not the particular institution for which the religious might be working. The effect of this legislation is to allow religious orders (or an autono-mous subdivision, such as a province or an independent monastery) the option of entering the Social Security system. The rates of taxation, the conditions for claiming disability, and the requirements for old-age benefits are the same for religious as all other participants in the Social Security pro-gram. A retroactive feature is built into the legislation, to allow the order to make the effective date of coverage any time'up to five years previous to the date of election of coverage. The order must pay the accumulated back taxes for all of its members, starting with the chosen effective date, but in so doing a number of older religious Will qualify immediately for old-age and Medicare benefits. The answers to specific questions about eligibility, tax rates, and bene-fits must be found in publicatigns of the Social Security Administration, or by consulting local offices of the Administration. These questions and answers are part of the daily routine of these offices and should not present any great difficulty. Special Questions Some questions, however, do pertain directly to religious, and some of these present rather difficult technical considerations. Examples of these Religious and Social Security might be: What is an autonomous subdivision of an order; are alien mem-bers of the order living in the United States covered; what about U.S.A. citizens, living and working in a foreign country; when is a religious retired? It is relatively easy to know when a lay worker in a business enterprise is retired. The case of one who stops working and who is no longer paid a salary is rather obvious, but even with the layman there may be some diffi-culty in establishing the fact of retirement. This would occur, for example, in the case of a self-employed person who would substantially reduce the time devoted to employment. In the case of a religious, where the "wage" is calculated on the basis of room and board and other perquisites furnished to him by the order, the question as to when the religious is to be considered as retired becomes more difficult. Retirement, for a religious under Social Security, is defined in the new legislation as the situation in which the religious no longer performs the duties usually required (and to the extent usually required) of an active member of the order. In spelling out the interpretation of this definition for the benefit of the religious superiors who will have to make the certification of retirement, the Social Security Administration calls attention to two con-siderations: a comparison of the nature of the work being performed before retirement with that performed after, and the amount of time devoted to this service. Should a sister, for example, be assigned to the motherhouse after fifty years of teaching and there devote herself to monitoring the phone, it is clear that she has retired. The case is more difficult, say, for a con-templative sister who gradually grows more feeble with age and who is not able to keep up the pace of former years. She is considered to be retired, for Social Security purposes, when the religious superior certifies that she is no longer able to perform the services required of active members. A Typical Illustration The operation of the new Social Security legislation could perhaps best be appreciated by considering a particular case as a typical illustration of how the law would work out in practice. Suppose, for example, that Brother John Doe, born in 1917, has taken a vow of poverty as a member of a re-ligious order. Suppose further thai the prov.ince of his order elects to partici-pate in Social Security by filing the appropriate Certificate of Election, with an effective date of January 1, 1973. The tables of eligibility for retirement benefits and for hospital insurance (Medicare) indicate that 31 quarters of coverage are needed in order to be fully insured; this means that Brother John Doe must have paid Social Security taxes on his "wages" for 31 quarters, at least, in order to be fully insured. An important parameter in the discussion is the amount of "wages" on which Brother John Doe pays the tax. This is an amount arrived at by the religious superior of his province as a result of considering the fair market 212 / Review ]or Religious, Volume 32, 1973/2 value of the board, lodging, clothing, and other perquisites furnished mem-bers of the province. Suppose for the sake of our illustration that this figure is $2,500 per year. The province, beginning in 1973, must pay a Social Se-curity tax for Brother John Doe at a rate of 11.7%, or $292.50 per year. The tax rate will remain at 11.7% until 1978, when it will increase to 12.1%. This rate will continue through 1980; from 1981-85 it will be 12.3%; 1986-1997 it will be 12.5%. This tax must be paid until Brother John Doe becomes disabled or until he retires. Brother John Doe will reach the age of 65 in 1982. At this time he may apply for old-age benefits. By 1982 he will have earned 36 quarters of coverage, and he will therefore be qualified for both retirement and Medi-care benefits. The amount of Brother's retirement benefits are calculated on the basis of his average "wage" over a period of 26 years (this number is given in a Social Security table, depending on date of birth and whether the person is a man or woman). In Brother John Doe's case his total earnings are 9 × $2,500 or $22,500; this divided by 26 gives his average yearly earn-ings as $865, or $72 a month. The Social Security Administration table of benefits indicates that Brother John Doe qualifies for the minimum benefit of $84.50 per month, or $1,014 per year. American Experience of Mortality Tables show that, on the average, men who reach age 65 will live another 15 years. Applying this figure to Brother John Doe gives his total old-age benefits as $15,210. Medicare Provisions After reaching 65, Brother John Doe automatically qualifies for Medi-care, Part A, the hospital insurance part of the health insurance program. This provides payment for services received as a bed patient in a hospital, or in an extended care facility, or at home as a patient up to 90 "hospital days" or 100 "extended care days" or 100 "homeohealth visits." The details of these benefits are spelled out in Your Medicare Handbook published by the Social Security Administration. After reaching age 65, Brother John Doe may elect to participate in Part B of Medicare which is a medical insurance program that helps pay for doctors' services, medical services and supplies, and other health care services. The cost of this insurance is reevaluated by the Government an-nually, but was $5.60 per month for the period July 1971-July 1972. Again, the details of this insurance program are contained in the same Handbook referred to above. Brother John Doe may continue to work after reaching age 65; should he do so, he will continue to pay Social Security on his wages. Further, the first $2,100 of his wages do not influence the old-age retirement benefits he receives, but the $400 beyond $2,100 (recall that our example set Brother John Doe's wages at $2,500) reduces his benefits by a proportion of one dollar for each two dollars earned over $2,100, or, in our example, by Religious and Social Security $200. Upon retirement, Brother John Doe would receive the full amount of his retirement benefit and would no longer pay the Social Security tax. Upon his death, a cash benefit of $251 is paid the beneficiary of Brother John Doe. However, for Social Security purposes Brother John Doe has no dependent survivors; after the deathbenefit is paid, no further benefits are paid on Brother John Doe's account. The Question Facing Each Religious Order Each religious order is now faced with a rather complex question-- what would be the economic consequence of exercising the option of joining the Social Security system. The order becomes liable to the Social Security tax on all its present members add all future members; it also gradually qualifies its members through quar.ters of coverage for the benefits of the Social Security program, chiefly disability, retirement, and Medicare. The order must make a careful evaluation of its age profile, its wage level, and its health and mortality experience.', to arrive at a prudent judgment as to lhe advisability of joining the Social Security program. The retroactive feature of P.IS. 92.605, Section 123, requires special consideration. This will allow religious who have recently retired, or those who will retire in the next several years, to qualify for full coverage, but the price that must be paid is the back Social Security tax for all members of the order who were active at the effective retroactive date. This date may be any number of quarters up to '~a maximum of 20 prior to the date of election of coverage. The effect of not choosing the retroactive feature is that some of the present older religious will not qualify for Social Security benefits, nor will they be eligible for Part A of Medicare after reaching age 65. Detailed information on Social Security matters is contained in the .publications listed below. Also, more specific reference to Social Security as it affects religious with a vow of poverty is given in the series of questions and answers that follow. Critical Social Security Questions Question 1. For purposes of the law relating to the Social Security coverage of religious (P.L. 92.603), what are considered wages? Answer. Wages for the purpose of this law shall include the fair market value of any board, lodging, clothing, and other perquisites furnished to a member by the order or autonomous subdivision thereof or by any other person or organization pursuant to an agreement with the order or subdivi-vision. Question 2. Does the law provide for a minimum or maximum amount for evaluated maintenance? Answer. The legislation specifically provides that the evaluated mainte-nance shall not be less than $100 per month. The maximum of course 214 / Review [or Religious, Volume 32, 1973/2 would be $10,800 under the 1972 amendments. The committee reports emphasize that the evaluation shall be on a reasonable basis. There is no indication that cost accounting principles must be applied. The committee reports also emphasize the understanding that there will be one established or evaluated wage for all of the members of the order regardless of the position which they occupy. Question 3. Are religious subject to both Social Security and income taxes? Answer. This law does not affect the vow of poverty but rather confirms it. Therefore, there would be no income tax liability on evaluated board and lodging. The Social Security taxes imposed on wages are limited by the law to orders which waive their tax exempt status for the limited purpose of Social Security coverage. Question 4. Will the religious be required to file any income tax forms? Answer. No, this law is not based on the self-employment concept as in ~the case of ministers. The only form filed is that which is required of tile employer; that is, the order or a subdivision thereof. Question 5. Who determines the level of income for a particular religious order or autonomous subdivision thereof? Answer. This is determined by the religious super:,or, based on a study of the actual situation existing with the members of the order or subdivi-sion thereof. Question 6. The order or subdivision thereof decides whether or not to come into the Social Security System; how is this decision made? Answer. The law does not specify how the decision is to be made. The provincial may get to~ether with the council and make the decision. Alterna-tively, the entire membership might be polled on the question. Question 7. If the order elects to come under Social Security, is this election irrevocable? Answer. Yes. Question 8. How many quarters of coverage are necessary in order to be fully insured under Social Security? Answer. Ultimately, the answer depends on the date of birth of the person being considered. It is necessary to go to a table supplied by the Social Security Administration to find the answer to this question. It should be observed here that, depending on the age of the individual, it may not be necessary to have as many quarters of coverage to secure Medicare coverage. This too depends on Social Security Administration tables. Question 9. Is it economically advantageous for a religious order to participate in Social Security? Answer. It is difficult to give a generalized answer to this question. It must be determined for each individual order. Three of the most signifi-cant factors are: the level of wages of the members of the order, the age distribution of the members of th+ order, and the benefits which would be Religious and Social Security / :215 receivable, that is, old age and survivors benefits, Medicare coverage and disability insurance and death benefits. Question 10. What retirement benefits are paid to a retired religious who has been fully insured under Social Security? Answer. This depends on the level of "income" on which the religious paid Social Security taxes during the years he was acquiring the necessary number of quarters of coverage; however, there is a minimum benefit paid to everyone who has the requisite number of quarters. At present this minimum is $84.50 per month or $1,014 per annum. Question 11. What is the situation with respect to a religious who pays Social Security taxes for ten years and then leaves the order? Answer. The credits a religious earns toward Social Security coverage belong to him/her as an individual; should the religious leave the order he takes the earned eligibility with him into secular life. Question 12. A religious man with sufficient quarters of coverage to be fully insured reaches age 65 but continues to work; that is, he is not retired in the technical sense of the term. What is his status under Social Security? Answer. Upon reaching the age of 65 the religious who has earned the required quarters of coverage may apply for Social Security benefits and he would be entitled to the same. If he continues to work, that is, he is not retired, the order must pay the Social Security taxes on his wages even though he is receiving old age benefits. If his wages are $2,100 or less, there would be no reduction of his old age benefits. If, on the other hand, they are in excess of $2,100 there would be a reduction of one dollar for every two dollars in excess of $2,100. The above answer would apply to a member of a religious order of women with the exception that she would be eligible for Social Security at the age of 62. Her benefits, however, would be somewhat reduced. Under the 1972 amendment a man may likewise be retired at 62 but his benefits would be reduced. Question 13. Is there any significant difference in the Social Security law as it applies to men or to women? Answer. The age at which women may receive benefits, and is the nor-mal retirement age for women, is 62, whereas it is 65 for men; however, men may retire at 62 and receive i'educed benefits. The required quarters of coverage to be fully insured differs for men and for women. The exact details should be checked with table~ supplied by the Social Security Administration. Question 14. Is there any time limit in which to elect coverage? Answer. No, an election may be made at. any time the order so desires. Question 15. Is there any time limit for electing retroactive coverage? Answer. No; however, if. the order defers the election of retroactive coverage for a significant amount of time it will be more costly when the order does elect to come in on a retroactive basis. The rate for the retro-active purchase of coverage is determined by, existing tax rates during the :216 / Review ]or Religious, Volume 32, 1973/2 five year period. For example, if an order elected five years retroactive cov-erage in December the tax rate for 1967 and 1968 would be 8.80%; for 1969 and 1970 it would be 9.60 and for 1971 and 1972 it would be 10.40. In 1973 the rate will be 11.70 and by 1978 it will rise to 12.10. In addi-tion to the increased costs it is possible that some religious will not be covered if the retroactive buy-in is deferred for a substantial period of time. Some members, for example, may retire and, consequently, will not be cov-ered in the retroactive purchase. Question 16. Must one elect for a retroactive period of five years or may one elect for a lesser number of years? Answer. The order may elect to "buy in" for any number of years it wishes, the maximum being five. Question 17. If a religious is active during the retroactive period and alive at the time of election but no longer a member of the order should he be counted in determining retroactive coverage? Answer. Yes. Question 18. When must the order pay for the retroactive coverage? Answer. By the end of the quarter in which the election is made. This payment must be made in a lump sum; there is no provision for an install-ment buy-in. Question 19. May an order elect coverage before the forms and regula-tions are finalized? Answer. Yes; notification of election of coverage may be sent to your district Social Security office. Question 20. When should a religious secure a Social Security number? Answer. As soon as possible. It is not necessary to have Social Security coverage in order to acquire a number. Acquisition of a number might speed receipt of benefits when an election is finally made. Question 21. If a religious subject to a vow of poverty performs ser-vices not required by the order but merely with the approval of his or her superior may he or she receive the benefit of this law? Answer. No, the services performed must be at the requirement of the religious order or subdivision thereof. Question 22. If a religious receives board and lodging from another organization (parish) how shall the wages be determined for Social Se-curity purposes? Answer. The tlat rate which is adopted for all religious shall prevail. Question 23. How much would it cost to buy in retroactively for a five year period at an evaluated wage of $100 per month? Answer. It would cost $612 per member who was active during the five year period and alive at the time of election. Some Available Literature 1. Social Security Handbook (SSI 135). This is available from the Religious and Social Security / 217 Superintendent of Documents and provides o]~erall ~nformatlon but nothing more recently than 1969. It will be 3 to 6 rrionths, before anything like its counterpart will be brought out. The volume c~sts $2.25. 2. Your Medicare Handbook (DHEW ,Publication; SSA 72-10050). This is available from the Superintendent of Documents at 35 cents in bulk rate, free for a few copies. The Handbook is available to anyone entitled to Medicare. 3. Your Social Security (DHEW SSA 72-10035). This provides gen-eral information and is available free from the Superintendent of Documents. 4. If You Become Disabled (SSA 73-10029). Available free even in bulk. 5. Your Social Security Earnings Recordi (DHEW 73-10044). Avail-able from the Superintendent of Documents. 6. How Medicare Helps You When You Go to the Hospital (DHEW 72-10039). This may be free in bulk. 7. Estimating Your Social Security Retirement Check (SSI 47). Avail-able free. Theological Reflections on the Ordination of Women Committee on Pastoral Research and Practices The Committee on Pastoral Research and Practices is a committee of the' National Conference of Catholic Bishops. Foreword This report prepared by the Committee on Pastoral Research and Practices has been approved for publication by the Administrative Committee of the National Conference of Catholic Bishops. The report is not definitive. It deals only with the question of ordination to diaconate and priesthood, leaving aside the question of installation of women in ministries of lector and acolyte. It is a contribution to the con-tinuing dialogue on a subject of great importance. Its purpose is to encour-age further study and discussion while making honest efforts to identify the major questions which must be examined in depth before conclusive answers can be given. We are conscious of the deep love for the Church which underlies the growing interest of many women in the possibility of ordination. Our own appreciation of their indispensable contribution to the life of the Church underlies this effort at honest dialogue. Other churches are also engaged in a study of this question. While their reflections have been helpful to us, we hope ours may be helpful to them. Theological Reflections on the Ordination ot Women The question of ordaining women is an old one in the Church, but it has not yet been thoroughly researched for Catholic theology. There is no explicit authoritative teaching concerning the ordination of women that settles the question. The topic should be given exhaustive study. The theological reasons for and against the ordination of women need to be developed in careful and 218 The Ordination of Women / 219 objective fashion. A thorough study is required not because of sociological trends, but because of developments in the Church within the past decade. The encyclical Pacem in terris (no. 41) in 1963 listed the emancipation of women as a positive development of modern times. The Pastoral Constitution on the Church in the Modern World (nos. 9, 29) in 1965 rejected any discrimination based on sex. The admission of women as auditors to the last two sessions of Vatican II (1964-65), the proclamation of St. Theresa of Avila as Doctor of the Church (1970), the discussions on this subject in the Third Synod of Bishops (1971)--these trace a considerable recent development concerning woman's role in the Church. The revelation given in Galatians 3:28 shows the equality before God of every Christian: "There does not exist among you Jew or Greek, slave or freeman, male or female. All are one in Christ Jesus." In the Church then there is no distinction of persons: Discriminatory lines have been erased by Christ. In the Church there can be no discrimination. The basic text and basic teaching, however, do not mean that there are not different ministries in the Church, or that one ministry is to be pre-ferred over another--as the same St. Paul taught in 1 Cor 12:4-14: 1. In spite of this doctrine of the equality of all in Christ, no woman has ever been pope, bishop, or priest. At the present time it cannot be proven or disproven that women were ever ordained deacons. It is Church law (Canon 968) that women are not eligible for orders. Several scriptural and theological justifications have been proposed to explain why women are not eligible for ordination. They are here listed-- in a general order of increasing importance--with some brief comments. 1. In the Old Testament, authentic priesthood was limited to males. The Aaronic priesthood and the levitical service (a service somewhat analogous to the diaconate) were similarly limited to males (cf. Exodus 28, Leviticus 8). This was in keeping with the strongly patriarchal Hebrew society. Be-cause we accept the law as invested with divine authority, we accept this limitation of Old Testament priesthood to men of one family within one tribe of Israel as expressing God's will-for the Old Testament. The exclusion of most males and of all females was then also God's will. This entire presen-tation, however, seemingly has no direct bearing on the issue at hand. We of the New Testament are studying the will of God concerning the New Testa-ment priesthood of Jesus Christ. 2. In the New Testament there is mention of a woman who was called "deaconess" (Rom 16:1) and of other women serving as deacons (1 Tim 3:11). Similarly in the early centuries of the Church, and especially in the East, there were deaconesses. Unfortunately no clear conclusions can be drawn from this information. There is no way at present to determine whether these women were called by this title in a formal or an informal way, whether the women in scripture were wives of deacons .who aided their deacon hus-bands, whether they were ordained, whether any ordination they received 220 / Review for Religious, Volume 32, 1973/2 was sacramental, etc. The uncertainty of Scripture scholars concerning an "order" of deaconess is illustrated in the Jerome Biblical Commentary, 53: 136; 57: 21. A similar uncertainty seemingly exists concerning the deaconess in the early Oriental Church. This deaconess tradition is helpful in approach-ing the present question. However, we must beware of constructing a case for or against the sacramental ordination of women on such fragmentary and indefinite information. 3. Saint Paul repeatedly directed that women hold to a subordinate posi-tion in the Church, keep silence in the Church, keep their heads covered, tend the home and family, etc. (cf. 1 Cor 11:2-16; 14:33-36; Eph 5:22-24; Col 3: 18; Titus 2:5; cf. 1 Pet 3: 1-7). There seems to be little question but these texts are of Pauline authority alone. The developments of the past decade in the Church listed in this letter, and the authorized functioning of women as lectors and commentators, further demonstrate that these Pauline texts should not be cited as arguing against the ordination of women. 4. The New Testament doctrine on "headship" as reflected in the order of creation is given to justify the leadership of men and the subordination of women in the Church (cf. 1 Cor 11:3-12; 1 Tim 2:8-15). This same reasoning is advanced to explain the ordination to the priesthood of men but not of women. This doctrine of the dependence of woman on man is seem-ingly the teaching of Genesis (cf. JCB 2:18) as well as of Saint Paul (cf. supra). However, much further study is needed before conclusions can be drawn. 5. The incarnation is given as a reason for the ordination of men only. The word of God took on flesh and was made man--as a male. This then was the divine plan. It is stated that this divine plan is expressed in the person of Christ (cf. Decree on the Ministry and Li]e o[ Priests, no. 2). It is argued that a male priest is required to act in the person of the male Christ. 6. The selectivity of Christ and of the early Church presents another ap-proach. It is known that Jesus did not hesitate to contravene the law and sociological customs of his time. Yet Jesus selected only men as his apostles and disciples. Further, the replacement for Judas was to be specifically one of male sex (Acts, 1:21 in the Greek), even though women who fulfilled the other conditions were present and available. Similarly the seven assistants to the apostles (Acts 6:3) were all men, even though the work was to be that of serving widows. This limitation to men, it is argued, goes beyond socio-logical conditions of that day and points to a divine choice. 7. Revelation is made known to us from tradition as well as from Sacred Scripture (cf. Constitution on Divine Revelation, nos. 8-10). It is then necessary for theology in this question to look to the life and practice of the Spirit-guided Church. The constant practice and tradition of the Catholic Church has excluded women from the episcopal and priestly office. The-ologians and canonists have been unanimous until modern times in con- The Ordination of Women / 221 sidering this exclusion as absolute and of divine origin. Until recent times no theologian or canonist seemingly has judged this to be only of ecclesiasti-cal law. It would be pointless to list the many authorities and the theological note that each assigns to this teaching. However, the constant tradition and practice of the Catholic Church against the ordination of women, interpreted (whenever interpreted) as of divine law, is of such a nature as to constitute a clear teaching of the ordinary magisterium of the Church. Though not formally defined, this is Catholic doctrine. These seven approaches have been used to document the exclusion from ordination of women. From them we attempt to draw six somewhat tentative conclusions: 1. Reasons no. 5 and no. 6 call for considerable further study in order to measure their validity. 2. Reason no. 7 is of ponderous theological import. Its force will not be appreciated by those who look for revelation and theology in Scripture alone, and who do not appreciate tradition as a source of theology. Because of rea-son no. 7 a negative answer to the possible ordination of women is indicated. The well-founded present discipline will continue to have and to hold the entire field unless and until a contrary theological development takes place, leading ultimately to a clarifying statement from the magisterium. 3. This question is extraordinarily complex. It is influenced by the indi-vidual's point of departure, viewpoint, and choice of terminology. Even in this study some helpful distinctions have not been spelled out for the sake of brevity. It would seem that neither Scriptural exegesis nor theology alone can give a clear answer to this question. The ultimate answer must come from the magisterium, and the current question is whether the magisterium (as reason no. 7 explains) has already given a definite and final answer. And at this level of doubt, only the magisterium itself can give" ultimate clarification. 4. It is possible to draw distinctions between the diaconate and the epis-copal- priestly order, and within the diaconate itself. Assuming that the diaconate is of ecclesial and not divine, institution, and that it can be sep-arated from the sacrament of orders, it would seem possible that special study be given to the possibility of a diaconate of service, non-sacramental and non-liturgical, which would be conferred on women. It has been noted that Pseudo-Denys in the 5th century made such a distinction within the diaconate. 5. Some contemporary writings on this subject approach priestly ordina-tion as "power" rather than service, and speak of a "right to ordination." Such views appear to overlook the clear doctrine that priestly ministry is service to the People of God, that no Christian has any right to ordination, and that it involves the mystery of God's free election. One who is not an ordained priest is not thereby, a lesser Christian, a lesser minister, or a victim of discrimination. In the Church there are many ministries, but all Christians do not have all charisms, and the hearts of all should be set on the greater 222 / Review ]or Religious, l/olume 32, 1973/2 gifts of God's love (1 Cor 12:4-13:3). Further, all Christians share in the common priesthood of the faithful (cf. Constitution on the Church, no. 10); from among these some are chosen by God to minister to the others by priestly service. In such a context should this question be presented. 6. Beyond the question of theological possibility is the further considera-tion o~ what is pastorally prudent. For the present, however, we can see from theology only a continuation of the established discipline. Considering the strength of that discipline and the numerous uncertainties detailed in this paper, the needed study on this question is now just beginning. As is evident, every one of the points listed in this report calls for a major study. The German theologian Ida Friederike Gorres reminds us that it is God's will and plan that must be determinant in this question: The Catholic priesthood is a unique phenomenon, springing solely from the faith, the doctrine, the history, the growing self-consciousness of the Church: not from the religious needs of the Catholic people, certainly not from any principles or theories concerning the rights of men and women, nor yet from the necessity of particular functions which could be assigned at will to various persons. The one and only exemplar of the Catholic priest is the living person of Jesus Christ, in his relationship to the Church: in the mystery of the one, perfect, indissoluble life he leads, with her (Catholic Transcript, Dec. 17, 1965). Pluralism in the Works of Karl Rahner with Applications to Religious Life Philip S. Keane, S.S. Philip S. Keane, S.S., is the Vice Rector of St. Patrick's Seminary; 320 Middlefield Road; Menlo Park, California 94025. As a working theologian moves from place to place, he finds himself being asked questions on a wide variety of subjects and his interests tend naturally to move towards those questions which he is asked over and over again. In the past twelve to eighteen months there is no question which I have been asked about more frequently than the theological meaning of pluralism. The question has come from virtually all segments of the Christian community, but it has been asked with special urgency by the members of religious communities, with at least one religious community having enough concern about the issue that it has called for a serious study of pluralism in its newly adopted constitutions.1 Pluralism a Perennial P~oblem In a certain sense I have found the repeated questions about pluralism amusing. My amusement has come from the fact that my questioners (sisters in particular) so often seem to be presupposing that pluralism is a brand new issue, perhaps even a .brand new toy, which theologians have just lately discovered. Some of the questioners seem very excited about this new issue as if it will solve all their community living problems while others are quite frightened by it, but they all seem to have the idea that pluralism is a totally new problem. This I find amusing inasmuch as pluralism is a perennial problem which theologians have .wrestled with for centuries; it is hardly a new issue. Many of today's older theologians such as Karl Rahner aConstitutions o] the Sisters o] St. Joseph o] Carondelet, a Congregation o] Pontifical Right, St. Louis, 1972, p. 29. 223 224 / Review ]or Religious, Volume 32, 1973/2 have been working with pluralism for 30 or 40 years, that is, since before a number of my excited questioners were born. Thus perhaps the first point to be made to those who are either nervously or excitedly asking about theologi-cal pluralism today is that it is anything but a totally new theological concept. Nonetheless, theological plurfilism is a most important issue for the whole Church today and for religious communities in particular. Also, it is an issue which is not well understood especially from the theological view- . point. Hence, the goal of this article will be to aid our understanding of pluralism as a theological reality by presenting the concept of pluralism found in the works of Karl Rahner and by applying this concept to the situation of the religious community today. In the past 10 or 15 years Rahner has written very extensively and incisively on pluralism'-' and his work on the theme should surely be a help to us in forming a workable theological concept of pluralism. Divisions and Presuppositions Our reflections on the theology of pluralism will be divided into five parts: first, pluralism as a basic theological reality; second, the unique character of pluralism today; third, some consequences of today's pluralism for the Church as a whole; fourth, pluralism and the oneness of our faith; and finally the implications of pluralism for religious community life. The first four parts will gather and coherently organize Rahner's ideas on plural-ism. The final section will move beyond what Rahner says explicitly, but it will seek to be faithful to his views on pluralism. An important note before beginning the explanation of Rahner's writings on pluralism is that, as with any Rahnerian topic, the vastness and.depth of Rahner's total theological synthesis are such as to render the treatment of a particular Rahnerian theme such as pluralism somewhat difficult without at least some grasp of the whole of Rahner. In our particular case, for example, Rahner's metaphysics of human knowing as bipolar (explicit and implicit), his concept of God as indescribable mystery, his explanation of Christianity as an openness to all that is genuinely human, and his concept of man as ~Rahner's major articles on pluralism include "The Theological Concept of Con-cupiscentia," Theological Investigations (hereinafter T1) [8 volumes 1961-71; vs. 1-6, Baltimore: Helicon; vs. 7-8, New York: Herder and Herder], v. 1, pp. 347-82; "The Man of Today and Religion," TI 6, pp. 3-20; "A Small Question Regarding the Contemporary Pluralism in the Intellectual Situation of Catholics and the Church," ibid., pp. 21-30; "Reflections on Dialogue within a Pluralistic Society," ibid., pp. 31-42; "Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, pp. 17-29; "Philosophy and Theology," Sacramentum Mundi (New York: Herder and Herder, 1968-70), v. 5, pp. 20-4; "Theological Reflections on the Prob-lem of Secularization," Theology o] Renewal (New York: Herder and Herder, 1968), v. 1, pp. 167-92; "Pluralism in Theology and the Oneness of the Church's Profession of Faith," Concilium, v. 46 (1969), pp. 103-23; and "Glaube des Christen und Lehre der Kirche," Stimmen der Zeit, July 1972, pp. 3-19. Pluralism in Rahner / 225 a future-oriented being whose most fundamental virtue is hope are all themes which form a substratum for his theology of pluralism? These themes will be given brief explanations as needed and the reader less familiar with Rahner is advised to consider them carefully when they occur. Pluralism as a Basic Theological Reality First of all then, what is the basic theological meaning of pluralism? Rahner began to develop his thinking on this matter in his well known 1941 article on concupiscence.4 Therein while discussing Heidegger's distinction between human person and human nature, Rahner makes the point that the human person, the source of human freedom and human longing for God, can never fully dispose of himself in a single action. Instead, man's person finds himself limited by man's nature as a material or incarnate spirit. Man cannot make a total act of movement towards God, an act which is uni-formly effective in all the aspects of human nature. For man's person which freely seeks God lives in an insuperable tension with his nature which limits his ability to move towards God. Some years later (1959) Rahner explained this kind of thinking further in another context when writing about the mystery of God) Here the point is that the mystery of God so totally tran-scends human knowledge that no concrete human experience or human expression can ever fully encapsulate the mystery of God. This mystery which is at the very root of man's being constantly eludes man's efforts to grasp or formulate it. At the level of concrete human knowing man does not have a total understanding of God. Rather man in his materiality and there-fore in his limitation has only partial knowledge of the mystery of God. The more he learns about God the more there is to learn, for God will always be the mystery who exceeds the depths of our understanding.~ Our life then is a day by day effort to see, follow, and love God more clearly, nearly, and dearly as the popular song from Godspell puts it. All this of course is no new insight. St. Paul said the same thing centuries ago: "Oh, :~Good background reading on these themes includes "Dogmatic Reflections on the Knowledge and Self-Consciousness of Christ," TI 5, pp. 199-201; "The Concept of Mystery in Catholic Theology," TI 4, pp. 36-73; "Anonymous Christians," TI 6, pp. 390-8; "On the Theology of the Incarnation," T) 4, pp. 105-20; and "The Theology of Hope," Theology Digest, Sesquicentennial issue, 1968, pp. 78-87. ¯ ~"The Theologi~:al Concept of Concupiscentia," TI 1, pp. 347-82. For what follows see especially pp. 368-9. In recent articles Rahner has explicitly shown how his present thinking on pluralism is rooted in his early writings on concupiscence; for example, "Theological Reflections on the Problem of Secularization," Theology o] Renewal, v. 1, pp. 187-8. 5"The Concept of Mystery in Catholic Theology," TI 4, pp. 36-73, especially pp. 46-8. 6Rahner pushes this position about God as absolute mystery to its ultimate radicality when he argues that God will still be m. ystery for us in heaven (ibid., pp. 53-60), and that in God all the mysteries of our faith are ultimately one (ibid., pp. 61-73). 226 / Review ]or Religious, Vohtme 32, 1973/2 the depths and the richness of the wisdom of God; how incomprehensible his judgments are, how unsearchable his ways" (Rom 11:33). Unavoidable Pluralism Putting these ideas together, we can see that both man's unlimited desire to choose God in freedom and his ceaseless yearning to know God with his intellect are limited in such a way that in actual fact man only chooses and knows God through a series of particular or partial acts of choice or knowledge. His choice of God comes through a multiplicity of human choices, his knowledge of God comes through a multiplicity of human acts of knowing.; All this leads Rahner to a basic dictum of his religious or theological anthropology, namely, that the inherently limited and seriated character of all human choice and knowledge of God means that all human experi-ence of God has about it a necessary and unavoidable element of multiplicity or pluralism. Since man cannot fully embrace the mystery of God in single actions, he must experience God through many actions. Pluralism thus be-comes a basic or fundamental element of man's relationship to God. Rahner states this in many ways in his works. He states that man is ever subjected to the agony of pluralism,s and even more strongly he calls pluralism a radical or irreducible fact of human existence.'~ Because God made man as a material or embodied spirit, man cannot escape from pluralism, from the fact that he must learn about God, and indeed about all of life bit by bit, part by part. There just is no other way for the human spirit. Any form of mysticism which tries to escape from man's bodiliness and multiplicity is a pseudo-mysticism in the opinion of Rahner?° It is particularly important to note that since Rahner's concept of plural-ism is founded upon man's way of knowing and choosing God, it is a radi-cally theological concept, that is, a concept asserting a basic aspe.ct of man's relationship to God. This is significant today because very often pluralism is bandied about as a sociological or political concept, whereas Rahner's idea of it is much deeper. The trouble with those who limit their concept of pluralism to sociology or political science is that, whether they like pluralism or not, they can very easily look upon it as a fad which will pass away. In :Rahner uses both Scotist approaches (the limitations of our freedom) and Thomist approaches (the limitations of our knowledge) in explaining pluralism theologically. In later years he tends mostly towards knowledge oriented or Thomist examples, perhaps most celebratedly with his concept of "gnoseological concupiscence" ("The-ological Reflections on the Problem of Secularization," Theology o] Renewal, v. 1, p. 187). But both ways are possible for him. Slbid., pp. 190-1. :"'Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, p. 22. 1°Hearers o] the Word (New York: Herder and Herder, 1969), pp. 77-9. Pluralism in Rahner / 227 particular those threatened by pluralism will wait for it to pass if they view it as a fad. But pluralism is not a passing fad. Its basic point is that no two of us ever experience and formulate our approach to God in exactly the same way. We are truly moving towards the "many mansions in our father's house." Ultimately then we must see pluralism as a theological issue. Problems of Pluralism Rahner's language in describing the fundamental phenomenon of pluralism raises some interesting questions. Why does he describe man as "subjected" to pluralism? Why does he call pluralism agonizing? Why did he begin to develop his treatment of it in the context of a theology of con-cupiscence? The answer to all these questions is that in Rahner's view it is man's irreducible pluralism which makes it possible for man to sin. It is precisely man's ability to explicitly grasp only partial goods or values which enables him to sin, to sin by absolutizing one or some of these partial values and thus shutting himself up in the finite,~1 closing himself to the unfathom-able mystery of God. The agony for man is that he experiences or perceives value only in partial and thus plural realizations. His very way o~ being drives him towards the multiple or plural values. The temptation to ab-solutize such values is the temptation to sin. Rahner's whole theology of hope, of man as a being who must be open to the future, a being who must refuse to absolutize the partial values of the present, is, of course, echoed here.l~ These thoughts bring up another problem. Do pluralism's close connec-tions with concupiscence, and hence its status as the occasion which renders sin possible make pluralism a bad or evil thing? Definitely not! This rejection of a condemnation of pluralism is one of the most emphatic rejections in Rahner's entire theological system. His whole reason for beginning to write about man's concupiscent movement after multiple and partial values was to insist that such movement cannot be called fundamentally evil?:' Rahner holds that it was the all good God who made us .as material and pluralistic beings and that, therefore, we must accept ourselves as we are in faith, in hope, and in love. Rahner is determined to teach that we should love the nature God gave us and this means that we must openly embrace our radi-cal, God-given pluralistic state. We simply cannot flee from it, agonizing though it may be. Are we ready to accept Rahner's challenge on this point? The Unique Character of Pluralism Today Our reflections so far have shown us that pluralism is a basic constituent of man's experience of God affecting all men at all times. But another vital 11,,Thoughts on the Possibility of Belief Today," 7~1 5, p. 10. V-'For a position similar to Rahner's on this point see Wolfhart Pannenberg, What is Matt? (Philadelphia: Fortress, 1970), pp. 68-73. ~:t"'The Theological Concept of Concupiscentia," TI 1, pp. 369-71. 228 / Review ]or Religious, Volume 32, 1973/2 point needs to be made. Why is it that pluralism, always a part of man's situation before God, has become such a particularly pressing concern in our times? Why are so many in religious communities suddenly talking about it? Why has a man like Rahner written so much on pluralism in recent years? To put all these questions more precisely we should ask the following: Is there something specifically unique about pluralism in the 20th century? Are there new factors today which further complicate man's fundamentally pluralistic situation? In answer, the first assertion to be made is that Rahner very definitely feels that 20th century pluralism is a specifically unique phenomenon in the history of the human race. He explains the uniqueness of 20th century pluralism by referring to the tremendous, historically unparalleled explosion in human knowledge which is taking place in our century.TM Man has prob-ably learned more (and therefore appropriated more multiple or plural values) since the beginning of our century than he learned in all the previous centuries combined. Thus, specialization has become the byword of our age. Each individual human being is learning more and more about less and less. Human communication is becoming harder and harder. In the 19th century those who went to college or graduate school could be rela-tively certain that their studies would include a good deal of the "liberal arts" and that they would arrive at basically similar value systems. Even in the early 20th century this was still so. Today, however, people are sent away to school to study various disciplines (art, sociology, psychology, literature, mathematics, and so forth) and they come home with such varied value systems that for all practical purposes they are speaking in different languages. Many segments of society experience this problem in-cluding religious communities. The situation is especially burdensome for persons in authority insofar as persons in authority are never again going to be able to learn enough to understand all the varied value systems and languages of the people under them. A Qualitatively New Situation Rahner gives his position on the uniqueness of 20th century pluralism a deeply radical meaning when he refuses to explain today's pluralism on a merely quantitative basis, that is, on the basis of the increased number of plural values which different men are learning about today. Rather he holds that the numerical increase in man's knowledge of pluralistic values has placed mankind in a qualitatively new situation,x'' The qualitative l~"Reflections on the Contemporary Intellectual Formation of Future Priests," T! 6, pp. 114-20; "Reflections on Dialogue in a Pluralistic Society," ibid., pp. 39-40; and repeatedly elsewhere in Rahner's works on pluralism. ~z"Pluralism in Theology and the Oneness of the Church's Profession of Faith," Concilium 46 (1969), p. 104. Pluralism in Rahner / 229 difference is this: In the past the number of insights and values known to man was limited enough that it was at least possible in principle for one person or one group of persons to gather together the known human insights and values in such a way as to formulate one coherent worldview or philosophy of life which could be accepted and embraced by all men at least in a given part of the world. Further, in the past, the world's great civiliza-tions (Western, Oriental, African, American) were so insulated from one another by "cultural no-man's lands" that the fact of one civilization's philosophy of life not including the values known to other civilizations made no difference in practice,a'~ Today, however, the whole world is different; the barriers between the great civilizations are collapsing, and the number of pluralistic insights and values has so increased that it is simply impossible for any person or group to embrace all known values and thus establish a worldview which can attain anything approaching a universal acceptance by a civilization or civilizations.1~ This is why Rahner says that 20th century pluralism has put man in a qualitatively new situation: man can no longer thematize universally acceptable worldviews. 20th century pluralism is therefore radi-cally new. The adjectives which Rahner uses to describe it become stronger and stronger as the years pass. He describes today's pluralism as irreduc-ible, indomitable, unconquerable, unsurpassable, and so forth,as Another way of describing the qualitative difference between today's pluralism and that of the past might be to say that in former times the plural values perceived by man could be conquered by inclusion within one philosophical worldview so that they were reduced to diverse aspects of that worldview, to diversities within one philosophical system. But the differing values of today cannot be conquered or reduced to one system; thus we no longer have diversities within a system but instead we have something much more radical, we have a pluralism which is in Rahner's words unconquerable and irreducible. Rahner never precisely uses the words diversity and pluralism to characterize the old and new aspects of human multiplicity, but such a terminology certainly seems to fit in with his description of the qualitative difference between today's pluralism and that of former centuries. In any case the point is that pluralism, while ~"Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, p. 22. ~r"A Small Question Regarding the Contemporary Pluralism in the Intellectual Situa-tion of Catholics and the Church," TI 6, p. 22, and in a number of other places in Rahner's works. ~SAmong many examples of Rahnerian language of this type are: "Theological Reflec-tions on the Problem of Secularization," Theology o] Renewal, v. 1, pp. 188-90; "Reflections on the Contemporary Intellectual Formation of Future Priests," TI 6, p. 117; "The Man of Today and Religion," ibid., p. 20; "Pluralism in Theology and the Oneness of the Church's Profession of Faith," Concilium 46 (1969), p. 107. Review ]or Religious, Volume 32, 1973/2 always a fact for man before God, presents us with a new series of problems in our times. Consequences of Today's Pluralism for the Church What should be the attitude or response of Christianity towards the qualitatively new phenomenon of 20th century pluralism? Six different aspects of Christianity's response to today's pluralism can be distinguished. The first of these aspects is a general picture of Christianity's response to pluralism; the remaining five are specific consequences of the new pluralism for the Church. First then and in a general way, it can be said that throughout his writings Rahner comes across very strongly as a man who is deeply con-vinced that one of Christianity's most vital and essential tasks for our times is to accept and embrace the pluralistic situation which God has given us today just as all men in ages past have had to accept the experience of pluralism which God gave them. This open thinking is found in Rahner's works on non-Christian religions,19 on the secularity and godlessness of today's world (which Rahner says we must bravely and courageously accept because it has a positive meaning and challenge for us),-°° and on the pluralistic sciences which he espouses and encourages.21 Even the shrinking of the Church in today's pluralistic world must be accepted ~vithout fear and loved by the Christian as part of God's plan for us, part of salvation history?-° Definitely, theret~ore, Rahner sounds a clarion call to the 20th cen-tury Church to face without fear or escapism the task which God has given us of coping with the new pluralism. I have little doubt but that in future centuries, Rahner's brilliant and insightful challenge to the Church on this matter will be one of the things for which he will be most remembered. In so many ways it can be said that for Rahner the name of the game for the Christian today is to be open. The whole thrust of Rahner's thinking on anonymous Christianity suggests this. Specific Consequences Secondly and more specifically, Rahner holds that in the light of modem pluralism Christianity must give up the idea that its entire message and value system can be embraced in any one philosophical system and in par: ticular it must give up the idea that the Thomistic philosophical system can continue to be the one decisive dialogue partner in which all Christian in-ag" Christianity and the non-Christian Religions," TI 5, pp. 115-34. =°"The Man of Today and Religion," TI 6, pp. 1 I-2. '-'1"Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, p. 27. "-'~"The Present Situation of Christians: A Theological Interpretation of the Position of Christians in the Modem World," The Christian Commitment (New York: Sheed and Ward, 1963), pp. 3-37. Pluralism in Rahner / 231 sights can be expressed to the world. Rather in the future Christianity will simply have to accept a who~le host of diaiogue partners (the arts, the be-havioral, social, and pure sciences, Oriental philosophies, and so forth) in expressing the Gospel messa'ge to the world. Rahner says this explicitly at least twice~3 and gives many other hints of it as well. For instance, he says that we must study all the great philosophies of the world because in an anonymous way they may be,' as much or more Christian than our explicitly Christian philosophy. In other words we are moving into an age of Christian philosophies and worldview!, instead of an age of a univocal Christian philosophy and worldview. Note carefully that Rahner who is a Thomist never says that Thomism sl~ould be abandoned as a philosophy. What he does say is that Thomism can no longer be given the absolute, monolithic status ascribed to it in the 15ast by the Church. Instead it must constantly criticize itself, realizing that it can never express the fullness of the truth of God. It must relentlessly op.en itself to the lns~ghts of other philosophies, which must in their turn be~ open to it. No longer will there be any one philosophy of life (in the sense values) upon which the Chu~rch or communities within it can operate.~' Thirdly as a consequence of pluralism for the Church Rahner holds that since theology depends on philosophical thinking for its mode of ex-pression, the fact that there can no longer be only one exclusively Christian philosophy suggests directly that there can no longer be one theology in the Church. Instead there Will be many theologies, a fact that the Church I ¯ " must bravely accept as Rahner puts it. no way denies our oneness of faith (Rahner calls it credal oneness) but it does demand that in the future our expressions of the one faith will be plural, in accord with the plu~iformtty of human experience. Next, and closely related to the idea of many theologies, Rahner argues I . that the magisterium or teac, hmg office of the Church finds itself cast into a whole new situation by tod.ay's pluralism.-oG Rahner points out that on rare occasions the teaching office[of the Church will have to continue to operate in the traditional mode, that [is, by rejecting this or that theological formula-tion as inconsistent with the faith,z7 Much more often, however, Rahner holds that in today's plurahst~c world the magisterium will have to take on z~"Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial ~ssue, 1968, p. 18; 'Phdosophy ~nd Theology" Sacramentum Mundt, v. 5, p. 23. ~4This position does not deny the underlying unity of our faith, a matter we shall consider later. '-'SIbid., pp. 23-6. Rahner does speak herein of a sense in which there is still one theology, but this will emerge in our forthcoming consideration of our one faith. "-'Glbid., p. 26; "Pluralism in Theology and the Oneness of the Church's Profession of Faith," Concilium 46 (1969), pp. 112-3. ~7"Pluralism in. Theology and the Oneness of the Church's Profession of Faith," Concilium 46 (1969), p. 113. 232 / Review for Religious, Volume 32, 1973/2 a new function, a function which can be well described as a challenge func-tion rather than a judgment function. The idea of this challenge function of the magisterium is that no longer can the teaching Church understand all the formulations of all the theologians as it did in the past. Thus the Church will often not be in a position to judge the works of an individual theologian. But she can challenge him. She can urge him to be certain that his formula-tions are faithful to the Christian tradition. By so doing the teaching Church can render real service to the individual theologian and to the Christian community as a whole. Obviously a magisterium which challenges more than it judges will have to be more trusting of its theologians, trusting that they are faithful to our traditions even when the magisterium is not totally clear on how the new formulas of theology relate to the faith. Rahner states that this new challenge aspect of the Church's teaching office is already occur-ring. 2s The whole situation also suggests to Rahner that today's magisterium will generally refrain from proclaiming new dogmas, as it refrained at Vatican II. A fifth consequence of pluralism for the Church today is a fact which we previously alluded to, namely, that persons bearing authority in the Church (including bishops, pastors, religious superiors, and so forth) are placed in an extremely difficult but still very important position by con-temporary pluralism. All of us, therefore, should be deeply sensitive to the burdens of those who hold ecclesial office. Rahner points out that at times such authorities may have to exercise authority traditionally, saying no to this or that.-09 In most cases, however, office bearers in today's Church will follow the style of the new magisterium by challenging their subjects rather than judging them. In this context a particularly important task for Church authority figures will be to maintain openness, that is, to keep any of their subjects or groups of subjects from so locking themselves to a partial set of values (whether liberal values or conservative values) that they fail to be genuinely open to the mystery of God and thus commit the ultimate human sin of absolutizing finite values. Need for Constant Dialogue The last and perhaps most important implication of contemporary plural-ism is that in our times Christianity must engage in a constant and genuine dialogue with itself and with the world around it. Since today's man realizes that his philosophy of life can never be a total or absolute system, he must constantly seek to correct and expand his own viewpoint by dialoguing with other men. Rahner points out that genuine Christian dialogue is truly possible in a pluralistic society because for the man of faith all true values in 2s"Philosophy and Philosophizing in Theology," Theology Digest, Sesquicentennial issue, 1968, p. 27. 29"The Future of Religious Orders in the World and Church of Today," Sister Forma-tion Bulletin, Winter, 1972, p. 7. Pluralism in Rahner / 233 various philosophical and theological systems are seen to be rooted in the one mystery of God. Values not rooted in the mystery of God are not true values and will be shown as such in the dialogue. Hence as we journey through history together, there is hope that men can come to understand how their partial expressions of value are integrated in the absolute mystery or absolute future of man which is God. Those of course who lack faith will not see human differences as resolvable even in our future in God. But for those of us who do believe, there is hope that full unity will be attained in the eschaton. And in this hope we can keep on talking with each other despite repeated misunderstandings. Our age is peculiarly an age of going to meetings, and no doubt many of us get tired of meeting after meeting. But, if we are to be Christians in these pluralistic times, it seems we must keep on having meetings no matter how boring they, become. As Rahner sees it, dialogue is the only possible mode of coexistence for mod-ern Christian persons."~° In ending this section an observation which ought to be made is that none of these consequences of pluralism we have just reviewed really solve the problem of how the Christian is to live and form community today. For in all honesty we have to face the fact that pluralism as it now exists is a new problem which the generations who have preceded us did not face in the way we face it. Thus nobody today really knows how to cope with our pluralism and our inability to form worldviews which large scale segments of society can accept. Rahner makes some suggestions on the matter for the Church as a whole, but even he admits that he is far more asking the question about pluralism than answering it.~1 This lack of answers to the challenge of pluralism may not make us feel comfortable, but we must realize that that is where we are. Pluralism and the Oneness of Our Faith An especially nagging question seems to underlie much that we have said. Is pluralism something like the dualisms of former centuries with their many gods? Does pluralism have some effect on our faith in one God? In the Rahnerian thought world the answer is quite simple. Theological plural-ism positively does not weaken the oneness of our faith; if anything it strengthens that oneness by focusing us on the true source of our faith instead 'of on the more superficial sources of unity upon which we too often relied in the past. To understand Our oneness in faith in Rahner's system, we must advert to a basic theme of Rahner's theological anthropology or vision of man, namely that there are two poles or levels to human exis- :~°"Reflections on Dialogue within a Pluralistic Society," TI 6, p. 35. The whole article is valuable on dialogue. :~lThis point is made clear by the title and substance of Rahner's article, "A Small Question Regarding the Contemporary Pluralism in the Intellectual Situation of Catholics and the Church," TI 6, pp. 21-30. 234 / Review lor Religious, Volume 32, 1973/2 tence.3~ One of these poles, in fact the more obvious of them, is the pole of concrete human activity and experience. This is the pole of human expres-sion, of human speech, of explicit consciousness and choice. On this pole or level the effects of man's materiality and limitation are clear, and thus man operates from this pole in a radically pluralistic fashion. He has many con-crete acts of learning and many forms of speech. He makes many choices. There is, however, another, a deeper and ultimately more significant level to human existence, a level which precedes the level of the concrete and multiple. This is the level of man's preconscious existence, of his deepest self-awareness before his God. Those who speak of man's funda-mental option are referring to this level of man's life. On this level rather than multiplicity and a myriad variety of human acts of knowledge and choice, man, if he is a believer, has a basic and simple openness to his God. On this level man in his radical openness no longer experiences a pluralism of values. Instead he knows one Lord and one faith. He and his neighbor may not be able to describe their faith in the same way, but as believers they are surely experiencing the one ineffable God. This level of transcen-dent human openness to God makes Christian faith community real. Our faith, therefore, is not hindered by pluralism. In fact, pluralism only serves to buttress our faith, because it forces us to realize that our faith can only be genuine faith if it is based on the unfathgmable mystery of God. No other source but this mystery can stand as an adequate ground for us as believers. Surely with this ground we can cry out in the words of Malachy: "Have we not all one father? Has not the one God created us?" (Mal 2:10). The Foundation in Tradition Rahner's position on human openness to the ineffability of God as the source of our faith and upon (he inevitable pluralism which begins to ensue as soon as we start expressing that faith finds much support both in the tradition of the Church and in modern authors. Traditionally, for instance, Christian authors have emphasized that the ways of knowing God by specific affirmation (via allirmativa) or negation (via negativa) had a validity .but still a clear limitation. Thus traditional authors appealed to a third way of knowing God, to the way of eminence or transcendence (via eminentiae), that is, to a primal recognition by man of the mystery of God. As Henri de Lubac has pointed out this third way is really the first and most fundamental way. a3 Among modern authors Bernard Lonergan in his new book, Method in Theology,34 gives particularly noteworthy support to Rahner's idea that we 3'-'"Dogmatic Reflections on the Knowledge and Self-Consciousness of Christ," TI 5, pp. 199-201. a:~Henri de Lubac, The Discovery o! God (New York: Kenedy, 1960), pp. 122-3. 34New York: Herder and Herder, 1972. In our context see especially pp. 265, 323, 326-30. Pluralism in Rahner / :235 all share one ineffable faith despite our various perceptions of that faith. Lonergan's insistence that true objectivity in man is not an "out there now real" set of facts, but rather man's honest habit of mind as he keeps him-self attentive, intelligent, reasonable, and responsible would seem to place faith on the deepest level of human openness while realizing that faith will be expressed in various formulations. Even more explicitly, Lonergan's carefully reasoned argument that what is permanent in our dogmas is their meaning, not their formula supports Rahner's effort to place faith at the core of the human person while being open to pluralism on other levels of human perception or choice. Perhaps the title of Rahner's article "Pluralism in Theology and the Oneness of the Church's Profession of Faith" sum-marizes all this very nicely?5 We may have to use many words but we still have the Word of God. Pluralism thus creates no fundamental faith problem. It helps us to see that our faith must be based on the mystery of God. Our openness to this mystery is the primary source of our existence as a faith community. It is true, of course, that Christians need other levels of communal togetherness and organization besides this primary mystery of faith level. Some of these other or "second level" approaches to community will be considered in what follows about religious communities. First, however, we must realize that none of these other levels will have any meaning unless we begin by seeing ourselves as united on the primal level of faith in God. Implications of Pluralism for Religious Community Life~ With less specific guidance from Rahner, but in the spirit of all that we have seen, what can be said about the implications of contemporary plural-ism for religious communities in the Church? First, if we accept the idea that a religious community is called to be a genuine sign of hope to the whole Church and if contenlporary theological pluralism is one of the most critical and fundamental challenges facing the Church today, the task of opening itself to and coping with man's radically pluralistic situation is one of the most formidable and vital tasks facing the religious community today. It seems to be the kind of issue concerfiing which the religious community must live up to its eschatological nature as a sign of transcendent hope for the whole Church, a sign that real Christianity is possible in the modern pluralistic world, a sign to the Church of where she is going. It is an historical fact that over the centuries, religious com-munities have been leadership organizations in the Church in times of crisis. :~SA section of Lonergan's new book has almost exactly the same title (pp. 326-30). a6White the title of this section speaks of religious communities, surely the remarks herein can be taken as referring to the various n6ncanonical religious groups in the Church today as well as to the canonically approved religious communities. Indeed, the noncanonical groups may have an especially important task in showing religious communities their possibilities in our pluralistic world. 236 / Review ]or Religious, Volume 32, 1973/2 In our times pluralism is the crisis and millions of persons throughout the world are seeking to overcome the alienation which can exist in our plural-istic world. New experiments in communal living abound. In the crisis of pluralism can the religious community live up to its historic role of leader-ship for the future? Second, if religious communities do face up to this challenge of assuming a leadership function in showing the Church its role in a pluralistic society, probably the most realistic forecast which can be made is that the days ahead are going to be days of agony and suffering for religious communi-ties, agony because of the very nature of pluralism, and because no one right now knows precisely what to do about pluralism. This does not mean at all that religious communities should give up hope or lose faith, but it does mean that the years ahead and the paths to adapting to pluralism are going to be most difficult. Just one example of this difficulty will be that almost in-evitably more religious will have crises of faith and perhaps leave com-munities, even later in life?7 For an honest facing of pluralism will create more options for the religious and these options will create more crises. Third, it would seem that the option being taken by a few communities of refusing virtually all change and forward movement simply is not a viable option in the light of the theology of pluralism. With the greatest respect for the good faith of the leaders and members of these communities, there is an honest question about how such nondialoguing communities can continue to exist in our pluralistic .world. It is true that these communities are doing rather well as far as incoming candidates are concerned. But are these candidates accepting the vocational task of building community amidst the pluralism which God has given us all? Or are they fleeing from that task and seeking after a security which refuses to admit that pluralism exists? The Option of Fragmentation Fourth, and of special importance, the option of "fragmentation," the option of a larger religious community dividing itself into two or more smaller groups with each group representing a particular viewpoint would also seem to be foreign, at least in principle, to Rahner's theology of plural-ism. Many religious are heard to call for this option today when there is so much clamor about the bigness of organizations and the value of small, intimate communities. While I can see real value in religious communities working out living arrangements based on small, relatively homogeneous groups, I would argue that the large community structure with its varying viewpoints should be retained in our pluralistic world. My reasons for saying this is that there would seem to be a great possibility that smaller groups of religious in cutting off dialogue with other thinking about religious ::rKarl Rahner, "The Future of Religious Commonities in the World and Church of Today," Sister Formation Bulletin, Winter, 1972, p. 4. Pluralism in Rahner / life would become ineffectual, would fail to grow in maturity, and would stand in a real danger of closing in on themselves in such a way as to become unresponsive to the demands of a pluralistic society. Incidentally, the danger of a select group becoming closed would be just as great for a progressive group as for a conservative group. The Pharisees are the classical example of a progressive group who closed in on themselves and subsequently became of little value to society. Further, the fragmentation option for religious seems to ignore another of Rahner's noteworthy themes, namely that the power inherent in a larger organization can be a genuinely redemptive value in a pluralistic society.3s The foregoing remarks against the fragmentation of religious com-munities should not be taken as an absolute stand against such fragmenta-tion. Rather these remarks are a general or "in principle" statement. Rahner himself points out that in some hopefully exceptional cases in life there is so little possibility of creating understanding that a particular dialogue must be broken off so that a group can keep dialoguing at all."~ In these cases other forms of dialogue must replace the broken ones, since genuine dialogue is essential for human coexistence in a pluralistic society. There have been a few cases in recent years of religious communities dividing; and who are we to say that these particular terminations of dialogue were not genuine in-spirations of the Holy Spirit, genuine efforts to establish other forms of dia-logue when one form had become impossible? In general, however, dialogue between differing viewpoints is so essential in a pluralistic society that the option of fragmentation should not be taken except under extreme and oppressive circumstances. Experimentation and Incarnationalism Fifth, if the religious community accepts its leadership mission for the world, and if it refuses the anti-change and fragmentation options, it be-comes clear that the most helpful (and also most difficult) option for a religious community today is to let its structures become open to genuine dialogue and pluralism in such a way that the community becomes truly re-flective of the actual condition of the whole Church today. This will mean as Rahner sees it that the religious community will be engaged in a constant process of. experimentation as it seeks to face up to new perceptions of value in our pluralistic world?" Such experimentation will stem from all levels in a community: individuals, groups, and organized authority. Only through such experimentation will a religious community achieve the true openness and dialogue needed in a pluralistic ~ociety. ~S"Theology of Power," TI 4, pp. 391-409. :~:~"Reflections on Dialogue within a Pluralistic Society," Ti 6, pp. 40ol. ¯ "~"The Future of Religious Communities in the World and Church of Today," Sister Formation Bulletin, Winter 1972, pp. 6-7. 238 / Review ]or Religious, Volume 32, 1973/2 Lastly, a religious community living amidst pluralism must advert to what Rahner calls the "incarnational principle" of Christianity.'1 This principle means that the ineffable faith unity which we share in the depth of our being must somehow become incarnate, must somehow be incorpo-rated into tangible structures. Otherwise we could never experience our faith unity. More particularly, a religious community as a small unit in the Church can never embrace all the possible incarnations or concrete ex-pressions of faith value. A religious community is thus only one form of faith expression. It is only one "social institutionalization''42 of Christianity. All this implies that in addition to its underlying faith unity, a religious community will necessarily have to embrace certain second level values (the first level is always our faith), certain particular incarnations of the mystery of God. Such second level values are genuinely worthwhile in a pluralistic society for they do lead us to the one God, though in a limited way. Traditionally, the second level values around which religious com-munities have been organized have included the confession of the members of a community (Roman Catholic), their apostolate, their sex, their vowed life, their prayer, their communal living, and so forth. Openness and Second Level Unifiers Now what, in our pluralistic society, can be said about religious com-munities' second level sources of unity? Two main points must be made. First, important though these second level unifiers are, they are not ab-solute expressions of the mystery of God. Thus the place, meaning, and even the continued existence of such second level unifiers of a religious community are subjects which cannot be exempted from dialogue if a re-ligious community is going to be genuinely open to the pluralism of today's world, to our inability to form a total worldview as we did in the past. A religious community which seeks to be open to the absolute mystery of God is not absolutely open to that mystery if it absolutizes any other points besides the one mystery. And when a religious community says that values such as the vows do not call for further dialogue and understanding, it is precisely absolutizing something other than the mystery of God; it is sub-mitting to the ultimate temptation created by our pluralistic situation, the temptation of seeking particular goods instead of the good. It would be most paradoxical if today's religious community were to submit to this temptation. The whole history of religious communities has been one of protest (by vows) against the absolutization of partial human goods such as marriage, wealth, and power. And even though this protest has had tremendous impact in the history of salvation, can a religious corn- 41"Membership of the Church according to the Teaching of Pius XII's Encyclical 'Mystici Corporis Christi,'" TI 2, p. 34. a~Karl Rahner, "Reflections on Dialogue within a Pluralistic Society," TI 6, p. 31. Pluralism in Rahner / 239 munity absolutize its means (and its understanding of this means) of dialoguing with the world, of showing the world where it must move in the spirit of Christian hope? Many examples of how a religious community must be open to dialogue about second level values could be cited. Apostolates obviously need to be reconsidered today. The vow of poverty is in great need of reassessment inasmuch as the mere fact that one cannot dispose of his or her own funds does not make one poor if he or she belongs to a rich community.4'~ To take another example which has probably been thought of a good deal less, who are we to say that religious communities are always going to remain ex-clusively Roman Catholic? Granted that Vatican II has already described the other Churches as true ecclesial realities, granted that Eucharistic Inter-communion is probably not too far off, granted that many young people in the other Christian confessions (especiall.y young women) find an idealism, way of life and apostolic zeal in Catholic-religious communities for which there is no parallel in their own confessions, and finally granted that more and more the real need is for a united Christianity to show its value to a secular (and sometimes atheistic) world rather than for Catholicism to show its value to Protestantism or vice versa, might it not ultimately be-come a genuine call of the Spirit for the Catholic religious communities to accept members from other confessions? While not offering an absolute answer, I hope the example at least helps make the point that dialogue on the values which I have called second level in the religious life seems to be an inescapable consequence of the theology of pluralism. Necessity of Second Level Unifiers Our second major observation on religious communities and second level values or unity sources is a strong reminder that, granted that these values are a constant subject of dialogue, growth, and change, a religious community movement simply cannot exist without some sort of second level value commitment and organization. The religious community must operate through a concrete value-unity structure in order to be open to ultimate value. It must have a concrete vocation if it is going to have a vocation at all. It cannot have its absolute, transcendental goal (the mystery of God) without expressing this goal in concrete goals. A religious community's concrete vocation and concrete goals are so necessary sociologically that, in the midst of all the open dialogue about them, they should be seen as a requirement for membership in the community. Those who do not agree with a religious community's particular goals may be perfectly good Christians, but a community will only retain its societal identity insofar as its members agree upon a particular sociological format for moving towards the mystery of God. This is why Rahner argues that authority in a religious community 43On this point see Karl Rahner, "The Theology of. Poverty," TI 8, especially p. 172. 240 / Review jor Religious, Volume 321 1973/2 may sometimes have to operate in the traditional yes or no method. Surely the yeses or noes of a religious community's authority can never be more than provisional since the community's self understanding and consequent second level values will grow and change in dialogue. But the fact remains that the growth process of permanent religious commitment (and this is what permanent commitment is, a growth process) can only function at a particular point in space and time through the acceptance of second level goals.44 Religious communities which have forgotten this point in recent years have had their troubles as a result. Conclusion By way of a concluding thought, especially for those who are fearful of what will happen to religious communities as they face their future with all its pluralism, I would like to make the very joyful and hopeful point that there are already some indications that an honest, pluralistic dialogue on religious life's second level values will probably do a great deal more to reinforce rather than to downgrade the traditional wisdom of the Church on religious life even though this wisdom may not be asserted as absolutisti-cally as it was in the past. For instance, I have noted and been truly inspired by the fact that Christian virginity has been emerging as a very deep seated value in the lives of some members of the noncanonical religious com-munities in which it is required neither by Church law nor by any public vow. In an era when so many priests, brothers, and sisters are questioning celibacy and virginity, this is most refreshing; it suggests that our pluralistic, open-ended society (which is, after all, God's gift to us) is not so much a thing to be feared as it is a genuine opportunity for spiritual growth. Per-haps it will teach us some things we have been trying to learn all along. ¯ ~4The insistence of second level goals does not of course imply anything like the detailed agreement which existed when religious communities operated from a homogeneous worldview. But some admittedly evolutionary sociological coherence on the second level is a necessity. Pluralism and Polarization among Religious George M. Regan, C.M. Father George Regan is associate professor of theology at St. John's University; Grand Central and Utopia Parkways; Jamaica, New York 11432. The recently published sociological and psychological studies of priests in the United States have no counterpart as yet in special studies about religious men and women. Tempting hypotheses could be constructed on the basis of personal experience and impressions about the levels of maturity and self-actualization among religious, about their attitudes toward authority, and about their opinions on specific issues such as birth control, celibacy, divorce, and liturgical practices. The surveys of priests indicated that widespread disagreement exists among various segments of the Catholic clergy on such issues and that deeply polarized attitudes seem rooted in profound ideologi-cal differences. In the absence of hard data leading to actual percentages of religious who hold certain views, one can nevertheless reflect on the divergence experienced firsthand in contacts with religious communities these days. Pluralism of approach, outlook, and conviction characterize religious at all levels of the same community at times, and comparison of one community with others easily substantiates this impression of diversity, which has re-placed the former uniformity. Pluralism reaches into all levels of community life, encompassing not only particular questions such as order of day, con-crete regulations on government, poverty, and style of dress, but also more fundamental aspects of the institute's l!fe, such as its purpose and nature in the larger Church, its basic ideals and values, and its charismatic qualities for today's world. Members thus find themselves split deeply at official chapters and in less formal gatherings on the most fundamental meanings of their religious life and on many more superficial issues. Coupled with this pluralism has arisen a sense of alienation, an outright bitterness about 241 242 / Review ]or Religious, Volume 32, 1973/2 the frustrating experience of division, or an aimless confusion. Polarization of groups may be discerned not infrequently. The vitality of individual religious and of entire communities has suffered immeasurably as a conse-quence. This extensive pluralism and the resulting polarization constitute a rich and inviting ground for thorough exploration by specialists in various fields. At times in recent years, some religious have tended to look upon their problems as mainly theological in nature, but further reflection casts grave doubt on the accuracy of this claim. In particular, the psychological and social factors of given attitudinal differences and divisions often feed into the situation more than do the theological and philosophical viewpoints espoused. This may be seen clearly in many contemporary divisions which have emerged between young and old, or between liberals and conservatives. Such divergences often manifest features closely resembling matters dis-cussed in development psychology or sociology in general. This article will concentrate principally on the more theoretical and intellectual roots of today's pluralism which underlie the theological, psychological, and sociological differences. In a sense, it will address the issue of the basic framework within which various groups of religious operate. It will not offer a litany of the specific differences which separate religious, nor will it provide a "medicine chest" of remedies. Our more limited purpose is simply to reflect on the different levels and .origins of pluralism in the ways of thinking and acting among relig!pus and to inquire into some possible means of coping with its sometimes unhappy results. The Death of Old Theory In an address to a committee of American bishops in which he inter-preted the results of the sociological survey of priests, Andrew Greeley claimed that "we have not yet discovered that our fundamental problem is the collapse of old theory combined with the non-appearance of new theory." In his usage, theory means those goals, values, models, and basic assumptions that allow the given human grouping to interpret and order phenomena, to justify its own existence, to explain its purposes to outsiders and new members, to underwrite its standard procedures and methodologies, and to motivate its members toward its goals. Though Greeley's comments regarding such theory concern priests alone, his approach has direct bear-ing on the question of the emergence of pluralism in all areas of American Church life, including religious communities. According to Greeley, the old theoretical structure began to crumble in the United States about ten years ago, and it has now disappeared, never to be restored. This rigid and unconscious theory emerged as a mixture of post-Tridentine garrison Catholicism and American immigrant Catholicism. It laid stress on loyalty to the Church, certainty and immutability of an-swers, strict discipline and unquestioning obedience, a comprehensive Pluralism and Polarization Catholic community, suspicion of the world beyond the Church, avoidance of re-examination of fundamental principles, and clearly defined models of behavior. The reasons substantiating .this theory were largely extrinsic and suasive, not decisive, for they were justified by one's loyalty to the teachings and structures of the Church and not by their intrinsic rationality. When various elements of this theoretical structure were thrown into doubt, the entire theoretical structure collapsed without warning. Since all rules, however minor, were viewed as immutable and unquestioned, change in even a few rules such as "meat on Friday" exposed the shaky foundations of the whole structure. The very suddenness of the change had excluded any opportunity to rethink the grounds of past assumptions and when these assumptions fell into disrepute, confusion resulted. Greeley believes that there exists virtually no theoretical perspective to replace the old theory, for the fads and fashions, clich6s and slogans of recent years lack sound and solid scholarship. His remedies for this situation center on the indis-pensability of scholarship in all areas of Church life. Scholars must get to work on building a new theory; and all levels of the Christian community must manifest openness, respect, and understanding for the results of their scholarship. One might justifiably criticize various elements of Greeley's presenta-tion, which sometimes verges more on polemical journalism than on ob-jective analysis. Sweeping generalizations about the old theory's "avoidance of re-examination of fundamental principles," and about the former lack of rational foundations do not ring completely accurate. One may well disagree with the actual cogency of the intrinsic reasons advanced for many past approaches, but it strikes one as gross exaggeration to deny their very existence, as Greeley seems to do. Consequences ot the Loss o~ the "Old Theory" His overall analysis seems true enough, however, and its application to the current situation which exists in many religious communities also seems clear. In a peculiar fashion and perhaps more strongly than in the priesthood, many religious institutes had embodied the chief marks of the "old theory" which Greeley describes. Disappearance of these characteristics or questionings about their presentday relevance have split many a com-munity or left it adrift aimlessly. The basic goals, values, and assumptions of past approaches to religious life constitute the kind of "old theory" which has undergone increasing challenge. Debates about such funda-mentals have obviously far more import than does disagreement about more superficial features in religious communities. How often does one not hear religious, usually older in age, wondering about the seeming decrease in loyalty to the community and its traditions among some members, the ever-changing views of the young, the lack of discipline and compliance with authority which has grown, the intrusion ~/44 / Review for Religious, Volume 32, 1973/2 of what seems a worldly spirit, the lessening in time devoted to formal prayer, an overstress on personal fulfillment, an endless questioning of basic goals, values, and principles, and the advancement of vague and im-precise models of religious conduct? It takes little effort to draw the sharp contrast between these tendencies and the "old theory" formerly in effect. Another group of members, on the other hand, may criticize the present situation and urge change from precisely an opposite vantage point: Why has the community not updated more its apostolate, life style, government, and spirituality? Why do institutional requirements outweigh personal needs? Such conflicting comments and complaints signal at the least that the members of the religious community have failed to agree on some essential aspects of their life together. Onguing Crisis If one were to accept Greeley's views, then a religious community which lacks agreement on a theory in this deep sense of goals, values, and basic assumptions must of necessity expect ongoing crisis, for it lacks the founda-tions needed by any human organization. Without such organizational ele-ments agreed to substantially by the members, the religious community will lack the tools to provide a rationale for its existence, thereby undercutting its ability to attract new candidates and to motivate its present members. The conflicting expectations of its members, furthermore, would in all likeli-hood lead to frustration and anger, which may become repressed and then manifested only in hidden agendas. The real issues which separate may appear rarely in open discussion; a superficial facade of friendly toleration may mask underlying divisions. Instead of religious' testing one another's assumptions in healthy confrontation and seeking to incorporate whatever seems of value, defensive listening may begin whereby one person listens caret~ully in order to gather information, or better ammunition, to contra-dict. In extreme cases, open hostility or full withdrawal into silence may eventuate. Such problems parallel closely communications difficulties de-scribed extensively in marriage counseling literature. In such an atmosphere, not only deterioration of the human relationships involved, but also de-terioration of the persons themselves must set in eventually. Need for Substantial Agreement This sobering prospect lends a special urgency to the continuing task of striving to clarify and reach substantial agreement on the fundamentals of each religious community. If the members differ broadly on the very purpose and values of the community, how can they realistically expect one another to pursue vigorously and in unison some common goals? The various issues which polarize groups may, in fact, be symptoms of the deeper pathology in the religious community: a lack of common goals, values, and assump-tions essential to the life of the organism. For example, when large numbers Pluralism and Polarization / 245 of religious in a teaching community favor direct social work for the poor, the issue of the apostolic purpose of the institute should be addressed courageously. Similarly, communities which experience sharp and immense diversity among the members on their inner identity as contemplatives or apostolically oriented religious should discuss the matter openly, rather than avoiding the problem or simply drifting indecisively into a new identity through the sheer force of circumstances. When religious of the same community differ enormously on such a basic point of their common life as that of the character of the institute, they have little reason to hope for harmonious concord on lesser ideals and values. The more that significant pluralism enters these foundational areas of goals, values,, and basic assumptions regarding the community itself, the more the members should expect a sense of aimlessness, disunity, and confusion, it would seem. Unless some shared meanings emerge at these deep levels of their life together, religious must prepare for the inevitable results which flow from vague and overly general goals and values. Un-fortunately, dialogue may at times neglect these basic levels of religious life and concentrate on the more superficial, day-to-day aspects or happenings. Such failure may even carry over into official discussions at chapter and the like where extreme defensiveness or closed-mindedness can prevent needed exchange of opinions among the members. In a positive way, therefore, it seems incumbent on religious, especially those in higher authority, to raise these issues when disagreement exists below the surface and to foster free airing of views in the hope of clarifying goals and values. This seems a healthier solution than pretending outwardly that the members amicably share the same opinions. Some meeting of minds may follow more readily in this unhampered atmosphere, despite the anxieties created by confronta-tion. The Roots of Change Greeley's analysis of the contemporary situation in the Church and in the American priesthood is professedly that of a sociologist. When he speaks of the disappearance or collapse of the old theory, therefore, he refers hardly at all to the philosophical and theological underpinnings of the old theory, which he discusses more in empirical terms. Appreciation of these more theoretical dimensions may assist us in gaining additional insight into the roots of pluralism and in evaluating proposed means of coping with it. We shall direct our attention to two matters in particular: the emergence of pluralism in ecclesiology today, and the shift from a classicist to an his-torically conscious worldview. Pluralism in Ecdesiology Though Greeley mentions the death of post-Tridentine garrison Cathol-icism, he does not explore the highly juridical theology of the Church which 246 / Review ]or Religious, Volume 32, 1973/2 had justified these tightly knit patterns of behavior. This ecclesiology often found direct application to the models of authority and the corresponding structures employed in religious communities. The overcentralization, lack of sufficient subsidiarity, and overly juridical conception of authority found in the Church at large and in diocesan structures existed in religious com~ munities as well and rested its common roots in this understanding of the Church. This former approach to a theology of the Church had the added implication of overstressing the divine element of the holy Church, in too great contrast at times with the so-called profane world. In failing to give enough weight to positive elements outside the Church and to see God present there among men, "this understanding lent a basis to a spirituality tinged with suspicion of the world, "merely natural" or human values, and human institutions. God's self-communication seems relegated more readily to the more narrowly institutional context of the Church and open dialogue with the world appears foreign or dangerous in this conception. Religious communities which operated within this conceptual framework more natur-ally took on reservations about contacts with the world and the need to separate oneself from its perverting influences gained favor. By way of contrast, many contemporary writings which view the Church as servant and healer of the total human society understand her as essentially related to the world; and they take a far more accepting view of human values and institutions: the Church "goes forward together with humanity and experiences the same earthly lot which the world does. She serves as a leaven and as a kind of soul for human society as it is to be renewed in Christ and transformed into God's family" (The Pastoral Constitution on the Church in the Modern World, no. 40). The more that individual religious communities as a whole have taken on this more openly secular approach, which views the world and human values more favorably, the more they customarily take a somewhat negative view of factors which are viewed as separating the religious from the world or from human customs. Resulting Disagreements Inevitable disagreements must exist in religious communities and throughout the entire Church so long as disagreement exists on such funda-mental approaches to a theology of the Church. Pluralism among religious in this basic theological area sometimes underlies the members' differing convictions on contact with or separation from other people, openness or closedness to human standards and patterns of conduct, and general in-volvement with or disassociation from ordinary human events. Disputes about religious garb, about freedom to come and go, about visiting with laity or entering into friendship with them, and about attendance at or participa-tion in recreational or sports activities sometimes stem from more profound differences about the way in .which religious are conceived of in their rela-tionship to "the world." An implicit ecclesiology often seems at work in the Pluralism and Polarization / 247 way people think about such concrete matters. Similarly, disagreements in ecclesiology are bound to influence one's notions of Church authority. These disagreements become manifest frequently in the comments or criticisms by religious that they find their community's authority too centralized in the person of the provincial authorities or the local superior; or that col-legial bodies such as consultations of the local house are given mere lip service by the local superior; or that decisions which can be reached by themselves individually or at the local level are reserved to higher authority. Once again, these issues seem symptomatic of the more profound ideological differences in ecclesiology which separate Catholics today. Though such disagreements seem inevitable in today's climate of plural-ism, the destructive manner of coping with them found so often need not exist. More comments will be made on this topic later in this article, but some reflections seem pertinent even at this stage. Disagreement can at times be a constructive and enriching force in human relationships, within toler-able limits and depending on how people react. Deep differences should be faced squarely in a climate of open communication, if some valid hope remains of fostering closer harmony and unity in community. To bury di-vergences o~r to treat only the symptoms or external manifestations of pluralism and the resulting polarization insures an eventual destruction of interpersonal sharings promotive of personal growth. It would be more worthwhile to plunge tactfully into the more basic levels of disagreements, which in this case touch on the very nature of the Church and of ecclesiasti-cal authority. One's assumptions, spoken and outspoken, should be brought to light in mutual respect and openness. A willingness to temper one's views, to grant honesty and good will to the other party, and to speak about issues, not personalities, seems a minimum condition in such dialogue. In this deeper context where lie the roots of more shallow differences, mere pragmatic techniques for bettering the current situation will prove in-sufficient. Though the American passion for such practical programs may obscure one's vision, religious communities must accept the need of dealing with these more profound, theoretical dimensions of these issues. If reli-gious communities are to adopt even more moderate thrusts of contemporary theologies of the Church and of ecclesiastical authority, for example, they should at least acquaint all members with a more positive view of the world beyond the Church. Leaders in each community must also embody the con-viction that authority means service, not naked power disguised under new forms; that collegial functioning flows from Christian coresponsibility as members of the community; that love, trust, and friendship must be present in any effective Church leader and perhaps even more in a leader within a religious community. This kind of new theory, if it be that in contrast to some past distorted notions, surpasses mechanical techniques of improving government and the community's stance vis-?a-vis the rest of mankind. To expect that religious superiors familiar with another approach to authority 248 / Review ]or Religious, Volume 32, 1973/2 can automatically learn and adopt this new theory and behavior seems rather unrealistic. Practice based on such theory would go a long way in alleviating some tensions which exist among those who doggedly hold to outmoded con-ceptions of the Church and of authority, and those who stridently favor newness uncritically, perhaps urging the abandonment of most structures and of practically any interpretation of authority. Once more, unless some attempt is made to deal with issues below their surface and to strive for some limited agreement in fundamentals, religious communities cannot rightfully expect polarization to lessen, let alone disappear. A Changed Worldview Beyond Greeley's empirical analysis and the implications of the ecclesi-ological factors described above, we can explore still further to the deeper roots of today's pluralism in religious communities. Catholic authors in recent years have noted a significant shift in the basic worldview whereby we do philosophy and theology these days, and whereby we approach prac-tical solutions to questions in Church life. By worldview, these authors mean the fundamental framework whereby one interprets and orders reality and thus arrives at more detailed convictions. Bernard Lonergan in dogmatic theology, Charles Curran in moral theology, John Courtney Murray in matters pertaining to religious freedom, and Avery Dulles in ecclesiology have all referred to a contemporary change from a classicist worldview to an historically conscious worldview, which they all see as having immense ramifications in their areas of concern. Greek philosophy and Christian thought represented by thinkers ranging from Augustine to Thomas Aquinas to nearly all Catholic theologians until quite recently employed an approach which emphasized man's ability to grasp the essence of reality through his reasoning faculty. This so-called "classicist worldview" left little room for change, variation, or uncertitude. Since reason can easily enough penetrate to the essence of reality, im-mutability, certitude, timelessness, and absoluteness characterized such varied matters as moral principles, images of the Church, Church laws, and inherited patterns of conduct. In moral issues, for example, this thought pattern leaves little room for variability and relativity because of cultural diversity, historical development, or concrete circumstances. A variety of universal, negative norms, "Thou shalt nots," became part and parcel of the moral theology built on this worldview. In ecclesiology, this approach favored descriptive notes which emphasized similar qualities of unchange-ableness, universality, absoluteness, and certainty. The canon law elaborated in former times also mirrored this conception of reality. Modern influences of personalism, phenomenology, and existentialism and the scientific spirit of modern times bore in on Catholic philosophers and theologians in recent decades and turned the tide against this classicist Pluralism and Polarization / 249 worldview for many an author and, seemingly, for our entire Western cul-ture. The historically conscious worldview embodied in many Catholic writ-ings today views man and his world as evolving and historical, rather than as static and unchanging. Progress, development, and growth are seen as marking man and his world, and these qualities should carry into all philosophical, theological, and practical understandings of Christian life. A stress on the human person in his subjectivity and concreteness, on this man or men, rather than simply on "man," characterizes the contemporary in-quiry. The individual's feelings and non-rational states understandably receive more attention in this approach. Since concreteness, change, and diversity are such prominent features, tentativeness and openness to excep-tion replace the past tendency to formulate a host of absolute understand-ings. Pluralism and Worldviews Results of this shift in worldviews can be seen clearly in recent debates in the field of Christian moral theology. The uniqueness and unrepeatability of the individual person and his myriad moral situations have eroded for some authors the very possibility of articulating general moral norms with an absolute force, the "Thou shalt nots" so familiar in past presentations of Catholic morality. Rather than centering their treatment of a question like divorce, contraception, or pre-marital relations on the essence of marriage and human sexuality, for instance, authors writing in this vein will tend to discuss the empirical consequences and concrete circumstances of divorce, contraception, and pre-marital relations in order to arrive at their moral reflections on the proposed conduct. Nearly all authors show some reliance these days on this historically conscious view of man, though most have combined this with some continuing reliance on man's essential structures. This eclecticism does, however, lead inevitably to a spectrum of theological opinions, instead of the one "Catholic opinion" found in moral writings in use even into the past decade. A main result of this shift in worldviews and the accompanying eclecti-cism, consequently, has been the emergence of pluralism in many areas of Catholic thinking and living. One answer no longer exists for many issues in theology, philosophy, and Church life. Catholics' opinions run the spectrum from the essentialism inherited from past approaches through all shades of combinations to the other pole, new approaches heavily conditioned by existentialism, process thought, and consequ.entialism. Many common em-phases can, of course, be discerned in contemporary writings: a stress on the human person in his freedom, dignity, and personal fulfillment; the possibility of more room for change in previously accepted theological opinions, in social customs and law, and in Church structures; a thrust toward service in the world, rather than an emphasis on the dangers of con-tamination from the world; and an understanding of the Church more in 250 / Review ]or Religious, Volume 32, 1973/2 terms of the persons involved than in terms of institutions. These common emphases do not, however, lead to one new theory; they lead instead to new theories, new theologies, new understandings of the Church and ecclesiastical laws, customs, and structures. In a real sense, a new theory has developed which permits and even fosters a plurality of theories, of theologies, and of understandings. Pluralism constitutes a key-note of such "new theory." Disappointment may well await those who urge and expect some new univocal theory in the sense of an all-comprehensive and wholly coherent system of goals, values, and models of appropriate behavior and assumptions for the Church at large. Such a theory seems un-likely to appear on the horizon in the foreseeable future, if at all. What seems far more plausible and realistic to expect is an acceptance of pluralism in theology, philosophy, Church structures, and social customs and laws. Worldviews and Polarization This contrast between the classicist and historically conscious worldviews has influenced greatly the polarization so evident in religious communities today. At the roots of the various groupings whose labels have become pop-ularized-- liberal vs. conservative, old vs. young, secular-minded vs. cultic --often lies this more fundamental difference in the very approach to reality which religious and other Catholics now have. Inevitably, religious working within the historically conscious worldview will be more prone to accept or even to foster change in structures, in theological understandings, in the manner of doing Christian service to the world, in the proper exercise of authority in their community, and in traditional laws and customs. Since their entire outlook on reality promotes change and development in the name of human and Christian progress, and diversity and tentativeness in all formulations, which must of necessity be time-conditioned, they will urge these qualities in all aspects of religious life. Bedause their worldview con-centrates more on the human person in his concreteness and uniqueness, they will react strongly against whatever structures, institutions, and under-standings hinder the individual's fulfillment. A deeper interpersonal sharing at a different level of friendship than found in traditional approaches to religious life will leave these religious unsatisfied with forms of life which they find impersonal, institutionalized, and shallow. De~ires for small group-living frequently result from their reaction to such weaknesses, which they discern in large religious houses. Such issues as those of optional celibacy for secular priests, the ordination to priestly ministry of women, freedom of life style for priests and religious in such matters as dress, residence, and occupation, remarriage or readmis-sion to the sacraments of the divorced, and collegial living without a local authority in the person of a superior flow more naturally from a person whose fundamental outlook remains open to newness and progress in the sense described and whose value system places great emphasis on the indi- Pluralism and Polarization / :251 vidual person's development. Often enough, the individual religious will not have clearly articulated the theoretical foundations of his basic worldview or framework for thinking and judging; he simply finds himself doing it rather consistently without much reflection. No more than for many a person operating within the classicist worldview, his basic presuppositions and unarticulated theory rarely enter formally into discussion. Unless other members of religious communities come to appreciate this basic contrast in worldviews, they will find it most difficult to understand the rationale for many present-day movements and for viewpoints like those described previously. They will greet each new issue in the community with dismay, wondering why large numbers of their own community fail to see things their way. "Where have they gone wrong?" may be their continuing puzzled query. They will not grasp that an entirely different framework, the historically conscious worldview, has its own inner logic, as compelling for its adherents as their own classicist approach. One need not, of course, actually agree with the historically conscious worldview in its main lines or certainly in its applications. Unless one has some minimal understanding ot~ its overall thrust, however, one seems doomed to confusion, so far-reaching has been its influence and acceptance. Rancor and anger leading to hardened opposition of polarized camps may eventually set in. This seems already to have occurred in numerous instances in religious communities and rela-tions have become strained or, in some cases, non-existent. The Danger of Worsening The pluralism of opinions has threatened and disturbed many religious precisely because it has unsettled the foundations of their entire worldview and the conclusions which flow from it. The wonder, at times is that more polarization fails to exist, given the chasms in viewpoints. A hankering after the former uniformity in outlook and the accompanying security may under-standably have crept into one's (onsciousness in this charged atmosphere. Condemnation of unexamined new approaches as untenable or foofish may prove the only sustainable defense for the threatened and vulnerable person trained in another way in a different era. Conversely, religious who operate within the historically conscious Worldview may retreat into an unsubstan-tiated dogmatism in reaction to this rejection which they sense in their fellow religious. The wounded feelings they experience may lead some into frustrated withdrawal, whose sequel will be loneliness and depression. In overreaction, others may lash out negatively against traditional values and customs, denying in the process the continuity with the past which will insure the future. This unhealthy and mutally destructive atmosphere will breed a polarization far removed from the ideals of Christian community. Unless some steps toward amelioration of this situation can be under-taken, the current crisis in some religious communities seems likely to con-tinue and to deepen. An already bad situation may worsen. In particular, 252 / Review ]or Religious, l/olume 32, 1973/2 the strong, balanced, and idealistic candidates needed so badly in religious communities will not be attracted to a divided and polarized group who seem unable to live the unity their very notion implies. A deep and urgent crisis exists; yet the tone of given communities sometimes manifests business as usual in an atmosphere of unrealistic hope for a better future. Doomsday prophets are usually proved wrong and their message hardly accords with Christian hope. Yet Christian hope has always avoided the twin shoals of despair and presumption. Both undue pessimism and unwarranted optimism remain excluded. Coping With Pluralism and Polarization What suggestions can be offered for coping with pluralism and its fre-quent companion, polarization? At the outset, it would be profitable to recall that any such discussion should proceed within the prayerful recol-lection of Jesus' prayer "that they may all be one, even as you Father in me and I in you; that they may all be one in us." Religious communities' unity must fit within this larger context of the unity among men and the unity of the Church, as prayed for by Jesus. Constant prayer for faithfulness to the gospel ideal of loving union with all one's neighbors should mark every Christian. I-Iow much more so in those situations when religious experience disunity, discord, and polarization? Prayer for one another, reflection on those features which the religious share in common, and a positive desire for loving union should receive more emphasis than often seems the case. Besides these most fundamental suggestions, several more come to mind. First, it would seem helpful as a starting point to realize and expect that pluralism will be unavoidable in the years ahead in most areas of Church life and theology. Pluralism will not simply go away overnight, if at all. The fundamental differences in outlooks among Catholic moral theologians, for example, in such basic matters as the existence of absolute norms, the epistemology of theological ethics, the use of Sacred Scripture, the binding force of the Church's teachings on moral matters, the importance of esti-mating consequences and employing empirical data, all point to long-reaching splintering into various camps of moral theologians for the fore-seeable future. Logically, authors who disagree on such basic items must disagree also in matters pertaining to medical ethics, sexual ethics, social issues, or any other concrete moral question. Similarly, the different worldviews employed by religious who live under the same roof or in the same province dictate perforce some degree of continued divergence on matters pertaining to their religious lives. Keeping these facts in mind, expectation of pluralism in a realistic way may cut away some of the unnecessary emotional defenses which hinder rational analysis of the new premises and conclusions. In this unhampered atmosphere, de-fensiveness will diminish, hopefully, and reasoned consideration and genuine dialogue, in the sense of a candid exchange of views, may follow the more Pluralism and Polarization / 25
ABSTRACT: The refugee crisis has shaped a new perception of the migration reality in Europe. The ramifications of its impact on European integration are visible and enduring. The EU's response has included a certain strategic perspective, albeit weighed down by an excess of eurocentrism and a security perception that does not take third countries' interests into balanced account. The major economic effort being made supports a far-reaching strategy, only now beginning to be outlined, to promote economic development in the countries of origin and transit of migrants. Additionally, issues such as the monitoring of respect for migrants' human rights have not yet been suitably globally defined in this strategy. Although the behaviour and response capacity of the EU and its Member States can be assessed in different ways, the truth is that the migration debate has decisively swayed a block of countries that are openly reluctant to engage in intra-European solidarity and accept the new realities and responsibilities entailed by the refugees already present and yet to come to Europe. This position is very negative in the medium and long term, since, as noted, the crisis has also underscored the permanence of migration trends and flows and the consolidation of the routes or gates of entry to Europe. This contribution considers the vulnerability of the European borders designed and in operation in the Schengen Area. The internal borders were the most affected at the start of the migration crisis and are likely to be marked by current regulatory changes, which tend to allow exceptionality as a relatively common occurrence in the European 'federal' area of free movement. Nevertheless, the resilience of this system of the absence of internal border controls in the 'federal' area of free movement is undeniable. The impact on the EU's external borders has been even greater, as it has shown once and for all that, more than fragile or vulnerable, some border controls, such as the sea border ones, are not practicable, especially those on Europe's southern sea borders. It is precisely this infeasibility of border control in marine areas that leads to the accentuation of certain trends on Europe's external borders, such as the externalization of migration controls. New regulatory and strategic planning developments confirm this trend, as well as the current concern for deploying an integrated external border management system. With regard to the phenomenon known as the 'externalization' of migration controls, the literature considers it to refer to EU actions aimed at reducing, sorting and controlling migration flows with the consent of third states in relations that are, by definition, asymmetrical. This article has addressed the different situations that arise, highlighting the advisability of differentiating between externalizing migration policy, on the one hand, and extraterritorial action concerning migration control, on the other. In search of greater conceptual accuracy, the term 'deterritoriality' has been used, as it is more neutral than the other terms mentioned insofar as it evokes the idea of positioning outside the territory certain border control and migration policy functions, to be carried out by other states or by the state itself. Since these are situations and actions linked to migration and border control, they should be conceptually situated outside the territory; the deterritoriality option hypothetically makes it possible to encompass both the externalization and the extraterritoriality of border control functions concerning migration. To this end, this article has focused on the various notions and activities that might be discussed in relation to the 'externalization' and the 'extraterritoriality' of migration controls and border functions, terms that, in sum, refer to migration control and management activities outside the territory, carried out by public officials of the EU states or by third states. On the one hand, externalization is considered to refer to the management and control of migration flows, the activities of adopting agreements, programmes, action plans and measures to encourage third states to monitor their own borders and migration flows in order to control, restrict or impede physical access to the territory of the EU states, accepting the placement in their territory, or the rejection, of refugees and migrants from other states. It does not involve the presence of or direct exercise of control activities by public officials of the EU Member States. In fact, outside European territory it is highly debatable that states are strictly performing border control functions, as it is an area that may more accurately fall within the more generic field of migration flow control linked to migration policy and European external action. On the other hand, extraterritorialization is understood to entail the performance of border control functions by states themselves outside their own territory. This case should involve the presence of or exercise by Member State public officials of some (effective) border control activities or functions in areas without state jurisdiction or in the territory of third states, with their consent. We are witnessing a change in the very concept of border in this post-globalization era, in which certain functions are offshored and systematically placed outside a state's territory and checkpoints. However, territorial and extraterritorial actions must be differentiated from those occurring as part of external actions in or with third states for the purposes of migration policy and the control of migration flows. The reality is that a new border space south and east of the Mediterranean has been configured for migratory flows, which needs a new policy of external borders for these areas. Therefore, we must reflect on new frontier spaces, with new concepts and approaches to the border that provide other parameters of action towards migratory flows and external controls. Today, the Union needs new instruments and concepts for these new realities, especially so as not to lose sight of the fact that, when it comes to tackling crises such as those related to migration and the rights of foreigners approaching or entering its territory and jurisdiction, Europe is a rational construct entailing a project for civilizational progress. As such, it must permanently incorporate its values and respect for human rights in all its policies, regulatory measures and actions with foreigners and third states, both on its own external borders and beyond them. This is essential for the identity and objectives of the European integration, and for the projection of the EU security, solidarity and values in accordance with the International and European Human Rights Law. KEYWORDS: European Union, immigration, refugees, asylum, European values, border controls, immigration controls, migration policy, borders, internal borders, external borders, Frontex, maritime immigration, externalization, extraterritoriality, deterritoriality, human rights ; Crisis de refugiados y migraciones en las puertas de Europa: Deterritorialidad, extraterritorialidad y externalización de controles fronterizos RESUMEN: La crisis de los refugiados ha conformado en Europa una nueva percepción de la realidad migratoria. Las ramificaciones de sus impactos en la construcción europea son visibles y duraderas. La reacción de la UE ha tenido cierta perspectiva estratégica, aunque lastrada por un exceso de eurocentrismo y de percepción securitaria, que no tiene en cuenta equilibradamente los intereses de los países terceros. El gran esfuerzo económico que se está realizando sostiene una estrategia de largo alcance que sólo ahora empieza a esbozarse, para fomentar el desarrollo económico en los países de origen y tránsito de la emigración. Por otra parte, cuestiones como las de vigilancia del respeto de derechos humanos de los inmigrantes aún están por perfilarse adecuadamente de manera global en esta estrategia. Aunque podemos hacer diferentes valoraciones del comportamiento y capacidad de reacción de la UE y sus Estados, lo cierto es que el debate migratorio ha decantado decididamente un bloque de países abiertamente reacios a la solidaridad intraeuropea, y a asumir las nuevas realidades y cargas que suponen los refugiados presentes y por venir a Europa. Esta perspectiva es muy negativa a medio y largo plazo, ya que, como hemos visto, la crisis también revela la permanencia de las corrientes y flujos migratorios, y la consolidación de los vías o Puertas de entrada a Europa. Hemos considerado en el trabajo la vulnerabilidad de las fronteras europeas diseñadas y en funcionamiento en el Área Schengen. Las fronteras interiores fueron las más impactadas al comienzo de la crisis migratoria, y probablemente van a quedar marcadas por los cambios normativos en curso, que tienden a admitir la excepcionalidad como hecho relativamente común en el espacio 'federal' de libre circulación europeo. Pese a todo, la capacidad de resiliencia de este sistema de ausencia de controles fronterizos interiores en el espacio 'federal' de libre circulación, es incontestable. El impacto en las fronteras europeas exteriores ha sido aún mayor, ya que se ha puesto de relieve en nuestra opinión definitivamente que, más que frágiles o vulnerables, ciertos controles fronterizos como los marítimos son impracticables, en particular los de las fronteras marítimas meridionales europeas. Precisamente esta inviabilidad del control fronterizo en espacios marítimos es lo que lleva en nuestra opinión a acentuar ciertas tendencias en las fronteras exteriores europeas, como las de externalización de controles migratorios. Los nuevos desarrollos normativos y de planificación estratégica confirman esta tendencia, así como la preocupación actual por desplegar un sistema integrado de gestión de fronteras exteriores. Respecto al fenómeno conocido como de 'Externalización' de controles migratorios, la doctrina ha venido considerándolo como actuaciones de la UE que buscan reducir, ordenar y controlar los flujos migratorios en anuencia con Estados terceros, en relaciones por definición asimétricas. En nuestro trabajo hemos abordado las diferentes situaciones que se plantean, poniendo de relieve la conveniencia de diferenciar entre Externalizar las políticas migratorias, por una parte, de la actuación Extraterritorial de control migratorio, por otra parte. Buscando una mayor precisión conceptual, preferimos utilizar el termino Desterritorialidad, que es más neutro que los referidos, al evocar la idea de ubicar fuera del territorio determinadas funciones de control fronterizo y de políticas migratorias, a desarrollar por otros Estados o por el propio Estado. Al tratarse de situaciones y actuaciones vinculadas a las migraciones y a los controles fronterizos, debemos conceptualmente situarnos fuera del territorio; por lo que esta opción de Desterritorialidad, permite hipotéticamente abarcar las dos situaciones de Externalización y de Extraterritorialidad de las funciones de control fronterizo respecto a las migraciones. Para ello nos centramos en las diferentes nociones y actividades que podrían debatirse respecto a la 'Externalización', 'Extraterritorialidad' de controles migratorios y funciones fronterizas, expresiones que, en suma, hacen referencia a actividades de gestión y control migratorio fuera del territorio, llevados a cabo por agentes públicos de los Estados UE, o por terceros Estados. Por una parte, consideramos constituyen Externalización de la gestión y control de flujos migratorios, las actividades de adopción de Acuerdos, Programa, Planes y medidas que pretenden que Estados terceros vigilen sus propias fronteras y flujos migratorios, para controlar, restringir o impedir el acceso físico al territorio de los Estados UE, asumiendo la localización en su territorio, o el rechazo, de refugiados e inmigrantes de otros Estados. Esto no implicaría presencia ni ejercicio directo de actividades de control por agentes públicos de los Estados Miembros de la UE. En realidad, fuera del territorio europeo es muy discutible que los Estados estén realizando estrictamente funciones de control fronterizo, ya que se trata de un ámbito que se encuentra tal vez en el más genérico terreno del control de flujos migratorios y vinculado a la política migratoria y a la acción exterior europea. Por otra parte, entendemos que la actuación Extraterritorialidad supone llevar a cabo funciones de control fronterizo por los Estados fuera de su territorio. Aquí debe existir en nuestra opinión presencia o ejercicio por agentes públicos de los Estados miembros de ciertas actividades o funciones de control (efectivo) fronterizo, en espacios sin jurisdicción estatal, o en el territorio de Estados terceros, con su acuerdo. Estamos ante un cambio en la concepción misma de la frontera en esta era pos-globalización, donde determinadas funciones se deslocalizan y se sitúan sistemáticamente fuera del territorio y los puestos fronterizos de los Estados. Sin embargo, las actuaciones territoriales y extraterritoriales deben diferenciarse de las que se producen en actividades de acción exterior en o con terceros Estados a fines de política de inmigración y control de flujos migratorios. La realidad es que se ha configurado para los flujos migratorios un nuevo espacio fronterizo al sur y este del mediterráneo, que necesita una nueva política de fronteras exteriores para este área. Por ello debemos reflexionar sobre nuevos espacios e imaginarios fronterizos, con nuevos conceptos y enfoques de la frontera que aporten otros parámetros de actuación hacia los flujos migratorios y los controles exteriores. La Unión necesita hoy instrumentos y conceptos nuevos para estas nuevas realidades, y sobre todo para no perder de vista que, a la hora de afrontar crisis como las migratorias y de derechos de los extranjeros que se acercan o entran en nuestro territorio y jurisdicción, Europa es una construcción racional que supone un Proyecto de progreso civilizatorio, y que como tal debe incorporar permanentemente sus valores y el respeto de derechos humanos en todas sus políticas, medidas normativas y actuaciones con extranjeros y Estados terceros, en sus propias fronteras exteriores y más allá de las mismas. Esto es esencial para la identidad y objetivos de la integración, y para la proyección de la seguridad, solidaridad y valores de la UE conforme al Derecho internacional y europeo de los Derechos Humanos. PALABRAS CLAVE: Unión Europea, inmigración, refugiados, asilo, valores de Europa, controles fronterizos, controles migratorios, política migratoria, fronteras, fronteras interiores, fronteras exteriores, Frontex, inmigración marítima, externalización, extraterritorialidad, desterritorialidad, derechos humanos ; Crise des réfugiés et migrations aux portes de l'Europe: déterritorialité, extraterritorialité et externalisation des contrôles des frontières RÉSUMÉ: La crise des réfugiés a forgé une nouvelle perception de la réalité de la migration en Europe. Les conséquences de ses impacts sur la construction européenne sont visibles et durables. La réaction de l'UE a eu une certaine perspective stratégique, bien que pénalisée par un excès de perception de l'eurocentrisme et de la sécurité, qui ne tienne pas compte des intérêts des pays tiers. Le grand effort économique en cours appuie une stratégie à long terme qui commence seulement à être esquissée pour promouvoir le développement économique dans les pays d'origine et de transit de l'émigration. D'autre part, des questions telles que la surveillance du respect des droits humains des immigrés doivent encore être correctement établies de manière globale dans cette stratégie. Bien que nous puissions évaluer différemment le comportement et la capacité de réaction de l'UE et de ses États, le débat sur l'immigration a décidément décliné en bloc un groupe de pays ouvertement réticents à la solidarité intra-européenne et à assumer les nouvelles réalités et les responsabilités que posent les réfugiés. Cette perspective est très négative à moyen et long terme car, comme on l'a vu, la crise révèle également la permanence des courants et des flux migratoires, ainsi que la consolidation des routes ou portes d'entrée en Europe. Nous avons examiné à l'œuvre la vulnérabilité des frontières européennes en fonctionnement dans l'espace Schengen. Les frontières intérieures ont été les plus touchées au début de la crise migratoire et devraient être modifiées par les propositions réglementaires en cours, qui tendent à admettre que l'exceptionnalité est un phénomène relativement courant dans l'espace «fédéral» de la libre circulation européenne. Malgré tout, la résilience de ce système d'absence de contrôle aux frontières intérieures dans l'espace «fédéral» de libre circulation est incontestable. L'impact sur les frontières extérieures de l'Europe a été encore plus grand, car il a été clairement souligné à notre avis que, plutôt que fragiles ou vulnérables, certains contrôles frontaliers tels que les contrôles maritimes sont irréalisables, notamment ceux des frontières maritimes du sud de l'Europe. C'est précisément cette impossibilité de contrôler les frontières dans les espaces maritimes qui conduit, à notre avis, à accentuer certaines tendances aux frontières extérieures européennes, telles que celles de l'externalisation des contrôles migratoires. Les nouveaux développements réglementaires et stratégiques en matière de planification confirment cette tendance, ainsi que la détermination actuelle de déployer un système intégré de gestion des frontières extérieures. En ce qui concerne le phénomène appelé «externalisation» des contrôles de l'immigration, la doctrine l'a considéré comme une action de l'UE visant à réduire, ordonner et contrôler les flux migratoires en accord avec les États tiers, dans des relations asymétriques par définition. Dans notre travail, nous avons abordé les différentes situations qui se présentent, en soulignant l'opportunité de différencier les politiques migratoires d'externalisation, d'une part, de l'action extraterritoriale de contrôle de l'immigration, d'autre part. À la recherche d'une plus grande précision conceptuelle, nous préférons utiliser le terme Disterritorialité, qui est plus neutre que ceux auxquels il est fait référence, lorsqu'il évoque l'idée de localiser certaines fonctions de contrôle des frontières et certaines politiques de migration en dehors du territoire, à développer par d'autres États ou par l'État lui-même. Lorsque nous traitons des situations et des actions liées à la migration et aux contrôles aux frontières, nous devons nous placer conceptuellement en dehors du territoire; par conséquent, cette option de déterritorialité permet, de manière hypothétique, de couvrir les deux situations d'externalisation et d'extraterritorialité des fonctions de contrôle des frontières en matière de migration. Pour cela, nous nous concentrons sur les différentes notions et activités pouvant être discutées concernant "l'externalisation", "l'extraterritorialité" des contrôles migratoires et des fonctions des frontières, expressions qui, en bref, désignent des activités de gestion et de contrôle des migrations hors du territoire prises par des agents publics des États de l'UE ou par des États tiers. D'une part, nous considérons que l'externalisation de la gestion et du contrôle des flux migratoires constitue une activité d'adoption d'accords, de programmes, de plans et de mesures visant à garantir que les États tiers surveillent leurs propres frontières et flux migratoires, afin de contrôler, restreindre ou empêcher l'accès physique sur le territoire des États membres de l'UE, en supposant que le réfugié et l'immigré en provenance d'autres États sont situés sur leur territoire. Cela n'impliquerait pas la présence ou l'exercice direct d'activités de contrôle par des agents publics des États membres de l'UE. En fait, hors du territoire européen, il est très discutable que les États exercent strictement des fonctions de contrôle des frontières, car il s'agit peut-être d'un domaine qui est peut-être le domaine le plus générique du contrôle des flux migratoires, plutôt lié à la politique migratoire et à l'action exterieure européenne. D'autre part, nous comprenons que l'action Extraterritorialité implique que les États situés à l'extérieur de leur territoire exercent des fonctions de contrôle des frontières. À notre avis, il doit exister une présence ou un exercice par des agents publics des États membres de certaines activités ou fonctions de contrôle des frontières dans les espaces en dehors de la juridiction de l'État ou sur le territoire d'États tiers, avec l'accord de ces derniers. Nous sommes confrontés à un changement dans la conception même de la frontière en cette ère de post-globalisation, où certaines fonctions sont délocalisées et systématiquement situées en dehors du territoire et des postes frontières des États. Toutefois, les actions territoriales et extraterritoriales doivent être distinguées de celles qui se produisent lors d'activités d'action extérieure dans ou avec des États tiers à des fins de politique d'immigration et de contrôle des flux migratoires. La réalité est qu'un nouvel espace-frontière au sud et à l'est de la Méditerranée a été configuré pour les flux migratoires, ce qui nécessite une nouvelle politique de frontières extérieures pour cette zone. Par conséquent, nous devons réfléchir sur de nouveaux espaces frontières, avec de nouveaux concepts et approches de la frontière qui fournissent d'autres paramètres d'action en matière de flux migratoires et de contrôles externes. Aujourd'hui, l'Union a besoin de nouveaux instruments et concepts pour ces nouvelles réalités, et, surtout, pour ne pas perdre de vue le fait que face aux crises telles que les migrations et les droits des étrangers qui s'approchent de notre territoire ou y entrent, l'Europe est une construction rationnelle qui implique un projet de progrès civilisationnel. En tant que tel, l'Europe doit intégrer de manière permanente ses valeurs et le respect des droits de l'homme dans toutes ses politiques, mesures réglementaires et actions auprès des étrangers et des États tiers, à ses frontières extérieures et au-delà. Cela est essentiel pour l'identité et les objectifs de l'intégration, ainsi que pour la projection de la sécurité, de la solidarité et des valeurs de l'UE conformément au droit international et européen des droits de l'homme. MOTS-CLÉ: Union européenne, immigration, réfugiés, asile, valeurs européennes, contrôles aux frontières, contrôles migratoires, politique d'immigration, frontières, frontières intérieures, frontières extérieures, Frontex, immigration maritime, externalisation, extraterritorialité, déterritorialité, droits de l'homme
This guide accompanies the following article: The Animal Rights Movement in Theory and Practice: A Review of the Sociological Literature, Compass 6/2 (2012): pp. 166–181, 10.1111/j.1751‐9020.2011.00440.xAuthor's introductionThe animal rights movement has been described as one of the most neglected and misunderstood social movements of our era. However, social movement scholars are beginning to realise the political and moral significance of the world wide animal protection movement at a time when nature itself has been included in the specialist field of environmental sociology. Just as people are beginning to see that nature matters and is not separate from society, nonhuman animals (hereafter animals) too are increasingly perceived as worthy of our respect and consideration. The long‐running animal protection movement which began in England in the 18th century is today better known as the animal rights movement. It is the men and women of this movement who, atypically for a social movement, are campaigning for a species that is not their own. The movement's theories and practices are important for what they do for animals and also because of what the animal rights controversy reveals about human beings.Author recommendsGarner, Robert. 1998. Political Animals: Animal Protection Policies in Britain and the United States. London: Macmillan Press Ltd.The book describes the progress made by the animal protection movement in the two countries where animal rights protests have been most prominent. The author presents a comprehensive examination of animal welfare policies in Britain and the US thus providing an informative comparative study of the movement's relationship with the state in these two countries. Garner's focus on policy networks corresponds to the sociologist's concept of social movement organizations. More than fifty such organizations balanced evenly between animal protectionists and animal‐user industries are discussed in the book. Political Animals provides an excellent introduction to the politics of animal rights, although missing in the accounts are the voices of the animal activists and their opponents. In the final analysis, it is the meaning activists attribute to their cause that drives the movement, a fact which Garner tacitly acknowledges.Imhoff, Daniel (ed) 2010. The CAFO Reader: The Tragedy of Industrial Animal Factories. Published by the Foundation for Deep Ecology with Watershed Media, Berkeley, LA: University of California Press.The Reader's subject – concentrated animal feeding operations (CAFO) – covers most of the topics relevant to factory farmed animals and is divided into seven parts: (1) The pathological mindset of the CAFO; (2) Myths of the CAFO; (3) Inside the CAFO; (4) The loss of diversity; (5) Hidden costs of CAFO; (6) Technological takeover; (7) Putting the CAFO out to pasture. The acronym CAFO suggests a bland, mundane practice and is therefore a name which the editor believes should be replaced by the more accurate label "animal concentration camps". The chapter titles indicate what is in store for the reader but the content is perhaps less confronting than the book's companion photo‐format volume of the same name. The reader is a very comprehensive survey of how living creatures are subjected to inhumane practices for their body parts by "corporate food purveyors" and is essential reading for anyone who cares about the future survival of all of the earth's species.Kean, Hilda. 1998. Animal Rights: Political and Social Change in Britain since 1800. London: Reaktion Books Ltd.In this attractive book, the historian Hilda Kean provides one of the most comprehensive and interesting surveys of the early animal protection movement in England, the birthplace of animal rights. Kean tells a compelling story of how and why people's attitudes and practices involving animals changed over the past two centuries. She attributes these changes largely to the seemingly simple idea of "sight", or how people were influenced by seeing for themselves how animals such as horses and dogs were ill treated in public spaces such as in streets and markets. Animals "out of sight" in vivisection laboratories and in abattoirs also came to the attention of the early animal protectionists, most of whom were women. The sight and spectacle of animal abuse turned hearts and stomachs once a light was shone on these everyday cruelties by the pioneers of animal rights in England. Kean's book is nicely illustrated in keeping with the theme of seeing animals in their various relationships with humans.Munro, Lyle. 2005. Confronting Cruelty: Moral Orthodoxy and the Challenge of the Animal Rights Movement. Leiden & Boston: Brill.For most people animal cruelty is understood as unspeakable acts perpetrated by warped individuals mostly against dogs, cats, birds and sometimes horses. The animal rights movement seeks to broaden the issue of animal cruelty to include the vast numbers of animals that suffer and die in "the animal industrial complex" of intensive farming, recreational hunting and animal research and experimentation. The book draws on social movement theory to explain how and why an increasing number of people in the UK, US and Australia have taken up the cause of animals in campaigning against the exploitative practices of the animal‐user industries. Essentially, the thesis is that animal abuse is constructed by the animal rights movement as a social problem (speciesism) on a par with sexism and racism. This is the first book in the Human and Animal Studies Series which currently lists about a dozen monographs published by Brill under the editorship of Kenneth Shapiro of the Society & Animals Institute in the US.Noske, Barbara. 1989. Humans and Other Animals: Beyond the Boundaries of Anthropology. London: Pluto Press.As an anthropologist, Noske brings a different perspective to our relationship with nature, especially in the long process of animal domestication. Her chapter on "the animal industrial complex" shows how both human and nonhuman animals suffer within this structure of domination; for example, slaughterhouse work takes a heavy toll on the meat workers while the animals experience atrocious pain and misery on the assembly line of mass execution. Noske's book is valuable for its broad treatment of animal‐human relations in which she describes cultural, historical, structural and sociological aspects of these relations particularly in America and Australia.Wilkie, Rhoda and Inglis David (eds.) 2007. The Social Scientific Study of Nonhuman Animals: A Five‐volume Collection–Animals and Society: Critical Concepts in the Social Sciences. (Vols 1–5), London: Routledge.This is a collection of 90 previously published articles and book chapters in approximately 2,000 pages on the social‐scientific study of animals. The papers range from the earliest in 1928 on "the culture of canines" to the latest in 2006 on "religion and animals." Three quarters of the papers were published in the last two decades and are derived from anthropology, sociology, psychology, geography, philosophy and feminist studies.Because Animals and Society is based mostly on work derived from more than 12 different specialist journals, it has a claim to comprehensiveness; however, the editors mention topics that are not covered in the collection: Ethical issues; Animal welfare; The characteristics of animal protectionists; "Wilderness"; The role of animals in the lives of children; and The animal rights movement. The main topics included in the collection provide a hint of its value to researchers:Vol I. Representing the animal (Introduction and critical concepts in the social sciences)Vol II. Social science perspectives on human‐animal interactions (I): Anthropology. Geography. Feminist studies. Vol III. Social science perspectives on human‐animal interactions (II): Sociology. Psychology. Vol IV. Forms of human‐animal relations and animal death – the dynamics of domestication: Human‐pet relationships. Human‐livestock relations. Animal abuse and animal death. Vol V. Boundaries and quandaries in human‐animal relations: Border troubles: are humans unique and what is an animal? The legal, ethical and moral status of animals. "The Frankenstein syndrome": animals, genetic engineering, and ethical dilemmas. NB. The above is a shorter version of my review in Society & Animals, 16. 91–93, 2008. I thank the journal for publishing the original review and for permission to include the above version in Sociology Compass.Online materialshttp://www.abc.net.au/7.30/content/2007/s2159904.htmThis is the story of a protest against the live animal export trade from Australia to the Middle East. The 7.30 Report of 11 February 2008, was one of several media stories on the cruelty involved in the transport and slaughter of cattle, goats and sheep which outraged thousands of Australians when they witnessed footage shot by animal activists. The four minute video recording provides commentary and images that explain why the live animal export trade is a "hot cognition" issue in Australia and the UK. More recently, in June 2012, the callous treatment of cattle in a number of Indonesian abattoirs became a major media story that prompted public outrage and calls for an immediate and permanent ban on the trade.http://www.sharkwater.com/For many people, sharks are the most feared of all creatures and also the most misunderstood. They have been called "the mother of otherness" and as a result when they are hunted and killed there is very little concern for their welfare. This groundbreaking film explains the importance of sharks to the ocean and seeks to dispel the main stereotype of the shark as the creature from hell. The film is the work of Rob Stewart whose lifelong fascination with sharks was the catalyst for his mission to save the great predator from extinction.http://www.wspa‐international.org/Regular internet users will probably have come across the advertisements from the World Society for the Protection of Animals (WSPA), particularly its campaign against the cruelty involved in bear dancing. The WSPA, as an international animal welfare organization, is one of a very select few animal and environmental organizations recognized by the United Nations. Another campaign which is featured on their website is "The Red Collar Campaign", the motto for which is "Collars not Cruelty". Viewers are warned that the two and a half minute video clip contains some confronting images of cruelty to dogs suspected of being infected by rabies. WSPA's objective is to end the brutality inflicted unnecessarily on thousands of dogs perceived as a human health and safety risk; its solution to the problem of rabies is simple, cheap and effective.http://www.awionline.orgThe Animal Welfare Institute (AWI) is one of the most effective animal protection societies in the US. Its founder, the late Christine Stevens, worked most of her life as an advocate and lobbyist for animals. The AWI's attractive website provides many useful features such as the AWI Quarterly and details of its seminal campaigns which include research animals, companion animals, farm animals, marine animals and wildlife. Since it was established in 1951, the AWI has had access to the US Congress and in gaining the attention of powerbrokers, the organization has succeeded in securing animal welfare improvements that are legislated in law, which owes much to the work of Christine Stevens.http://www.league.org.ukHunting is a controversial issue in England which has developed into what is actually a class war between the aristocratic class and the "great unwashed". Founded in 1924, the League is virtually a household name in England. Its website contains some revealing film clips about the cruelty involved in the hunting of foxes, deer, rabbits and other animals in the English countryside. There is a great deal of information contained in the blogs and its FAQs as well as elsewhere on its website. Mention is also made of one of the latest hunting fads, "trophy hunting" which is apparently gaining popularity in some parts of the USA.Topics for lectures & discussionPart I: introduction and overviewWhat is the animal rights movement? Why do people campaign on behalf of a species that is not their own? How do individuals and social movements make their claims on behalf of nonhuman animals? These are some of the questions that would traditionally be posed in introducing the animal rights movement.ReadingMunro, Lyle. 2012. 'The Animal Rights Movement in Theory and Practice: A Review of the Sociological Literature'. Sociology Compass6(2): 166–81.Waldau's recent book is a good introduction to what the movement is all about:Waldau, Paul. 2011. Animal Rights: What Everyone Needs to Know. Oxford: Oxford University Press.There are three main discourses on animal rights which provide insights into our constructions of "the animal": (1) Animals in this discourse are constructed as social problems (see Irvine, 2003 below for an example); (2) in this second discourse, animal defenders are demonised with labels ranging from "sentimental animal lovers" to "extremists" and even "terrorists" (see Munro, 1999 below for an example); (3) finally, the animal rights movement constructs our cruel treatment of animals as morally wrong and therefore deserving of the strongest condemnation (see Shapiro, 1994 below for an example). How and why people campaign against the exploitation of animals are issues explored in the following papers:Irvine, Leslie. 2003. 'The Problem of Unwanted Pets; A Case Study in How Institutions 'Think' About Clients' Needs'. Social Problems50: 550–66.Munro, Lyle. 1999. 'Contesting Moral Capital in Campaigns Against Animal Liberation'. Society & Animals7: 35–53.Shapiro, Kenneth. 1994. 'The Caring Sleuth: Portrait of an Animal Rights Activist'. Society & Animals2: 145–65.Part II: animal crueltyThis section includes some important contributions to explaining cruelty to animals.Agnew, Robert. 1998. 'The Causes of Animal Abuse: A Social‐psychological Analysis'. Theoretical Criminology2: 177–209.Munro, Lyle. 1997. 'Framing Cruelty: The Construction of Duck‐Shooting as a Social Problem'. Society & Animals5: 137–54.D'Silva, Joyce and John Webster. 2010. The Meat Crisis: Developing More Sustainable Production and Consumption. London and Washington: Earthscan.Merz‐Perez, Linda and Kathleen Heide. 2004. Animal Cruelty: Pathway to Violence Against People. Lanham, Maryland: Rowman & Littlefield Publishers Ltd.Ascione, Frank. 2008. 'Children Who Are Cruel to Animals: A Survey of Research and Implications for Developmental Psychology.' Pp. 171–89 in Social Creatures: A Human‐Animals Studies Reader, edited by Clifton, Flynn. New York: Lantern Books.Winders, Bill and David Nibert. 2009. 'Expanding "Meat" Consumption and Animal Oppression.' Pp. 183–9 in Between the Species: Readings in Human‐Animal Relations, edited by Arnold, Arluke and Clinton Sanders. Boston, MA: Pearson Education Inc.Part III: social movement theory and animalsThere is a large literature on social movement theory with relatively little that refers to nonhuman animals. Some of those which do take up the issue are included below along with the following books that provide a general introduction to the study of social movements.Lowe, Brian and Caryn Ginsberg. 2002. 'Animal Rights as a Post‐Citizenship Movement'. Society & Animals10: 203–15.Jasper, James. 2007. 'The Emotions of Protest: Affective and Reactive Emotions in and around Social Movements.' Volume 4 Pp. 585–612 in Social Movements: Critical Concepts in Sociology Volumes 1–4, edited by Jeff, Goodwin and James Jasper. London and New York: Routledge.Buechler, Steven. 2011. Understanding Social Movements: Theories from the Classical Era to the Present. Boulder and London: Paradigm Publishers.Cochrane, Alasdair. 2010. Chapter 6 'Marxism and Animals.' Pp. 93–114 in An Introduction to Animals and Political Theory, edited by Cochrane's. Basingstoke Hampshire: Palgrave Macmillan.Einwohner, Rachel. 2002. 'Bringing the Outsiders in: Opponents' Claims and the Construction of Animal Rights Activists' Identity'. Mobilization7: 253–68.Part IV: animal advocacy and activism: strategy and tacticsThe above readings reveal to some extent at least why people campaign against animal cruelty. In this section's readings, the focus is on how animal activists run their campaigns in the streets (grassroots activism) and in the suites (organizational advocacy).Carrie Freeman Packwood. 2010. 'Framing Animal Rights in the "Go Veg" Campaigns of US Animal Rights Organizations'. Society & Animals18: 163–82.Paul, Elizabeth. 1995. 'Scientists' and Animal Rights Campaigners' Views of the Animal Experimentation Debate'. Society & Animals3: 1–21.Upton, Andrew. 2010. 'Contingent Communication in a Hybrid Multi‐Media World: Analysing the Campaigning Strategies of SHAC'. New Media & Society13: 96–113.Munro, Lyle. 2001. Compassionate Beasts: The Quest for Animal Rights. Westport, CT: Praeger.Munro, Lyle. 2002. 'The Animal Activism of Henry Spira (1927–1998).'Society & Animals10: 173–91.Munro, Lyle. 2005. 'Strategies, Action Repertoires and DIY Activism in the Animal Rights Movement.'Social Movement Studies4: 75–94.Jasper, James. 1997. The Art of Moral Protest: Culture, Biography and Creativity in Social Movements. Chicago: University of Chicago Press.Singer, Peter. 1998. Ethics into Action: Henry Spira and the Animal Rights Movement. Lanham MD: Rowan & Littlefield Publishers Inc.Part V: academic/activist collaborationShould academic teachers collaborate with activists in their campaigns? Like the church/state relations debate this is a controversial question since there are arguments both for and against academic involvement in political and social movements. Most of the readings in the original Compass article and below tend to see more benefits than costs to collaboration; however, higher education administrators don't like dissent and it is hard to imagine an academic holding down his or her job if they were seen to be working with animal activists on a particularly controversial campaign. It might be seen as acceptable if the collaboration was with the SPCA in the US or the RSPCA in Britain but not if the activists were affiliated with members of a radical animal liberation group. Furthermore, an academic‐animal activist who campaigned say against the practice of animal experimentation at his or her university would surely be dismissed or at least threatened with dismissal unless they cut their ties with outside activists.Burnett, Cathleen. 2003. 'Passion through the Profession: Being Both Activist and Academic.'Social Justice30: 135–50.Kleidman, Robert. 1994. 'Volunteer Activism and Professionalism in Social Movement Organizations.'Social Problems41: 257–76.Focus questions Is the animal rights movement a genuine social movement when nonhuman animals are widely understood not to belong to society as it is generally understood? How would you respond to the claim that cruelty to animals is our worst vice. From your experience of seeing animal rights protests either on television or as the real thing, what do you think are the dominant emotions exhibited by the campaigners and their opponents? From what you've read or heard or seen of social movement protests, do you believe the most effective strategy is non‐violence or violence; and which of these two strategies do you think is more acceptable for the animal protection movement to follow and why? Should academics who lecture on social movements practice what they preach? What are some of the main benefits and problems associated with academic analysts of social movements collaborating with grassroots activists? The animal rights movement has been described as one of the fastest‐growing social movements in the West – and one of the most controversial. What evidence is there for these claims? Seminar/project ideaPlease suggest an exercise to help bring the subject to life, appropriate either for undergraduate or graduate students, e.g. an assessment, a presentation, or other practical assignment.Project idea or presentation Compare and contrast the website of an animal welfare organization and an animal rights group in relation to (a) their objectives; (b) their most important campaign; and (c) their preferred overall strategies and tactics. Which of these organizations has the most potential in attracting new supporters and why? What advice would you give to these two organizations on how they might enhance their communicative effectiveness with the general public? (see Munro's Compass article for some clues). Do an oral presentation on a radical animal liberation group such as the Animal Liberation Front or SHAC in which you describe its stated objectives, its seminal campaigns, its preferred tactics and its communication strategy as indicated by the group's website. Explain how effective the group is in terms of improving the lives of animals and how the activists justify the use of violence in their campaigns.
