Abstract UPT Aneka Industri dan Kerajinan Surabaya is the Technical Services Unit are carrying out Development and Small and Medium Industries Development and Human Resources through Technical Training in the field of Management, Technology, Production Process, Standards, Environment and Information. In improving the performance of the employees in that agency with the necessary changes in work procedures to improve leadership. There are so many ways to improve performance by way of leadership, from the nature of good leadership through effective leadership style so that employees can change their way of working. Because this company is a government company is bona fide and generates revenue from all areas of the required procedures for working very well ordered. Improve the ability and quality of work that the company will then be developed. Manage, serve and process are all ways good leadership to improve employee performance. Keyword:Employee,Leader, Introduction Nowadays, many people decide to become a leader. They do competition to find new innovation for their leadership and they want to be different with other leadership that had already started first. In the work of world every leader must be ready to get complain from their employees. Leadership itself is a person who has the skills or strengths, in particular skill or ability in a field that he is able to influence other to jointly undertake specific activities for the achievement of one or more goalsIntensive competition requires that manufacturers to be competitive with other manufacturers worldwide. Each company must be able to be effectively and efficiently to build an effective performance in order to achieve goals and success, then various components contained in a company should be run according with the objectives to be achieved. One component that has role very important is human resources, which is the leader/supervisor and employee/subordinates. Leadership is an organization or business. The leader of the organization must be able to use its authority in changing the attitudes and behavior of employees that want to work hard and wish to achieve optimal results. Leadership style leaders used can effect thoughts, feeling, attitudes and behavior members of the organization/subordinate (Nawawi, 2003). The sense of satisfaction in the work then the individual will display good personal organization, positive performance satisfactory companies and raised a willingness to undertake the level of labor productivity high for the organization and for improving achievement goals. The few things that can be identified from the dissatisfaction is absenteeism at work, lazy, malingering, absent from work, events strike, the use of time is not efficient and an even worse quit his job. Leadership can good or bad influence organizational climate, which in turn will direct impact on the effectiveness of the work of his subordinate. This leads to leaders must be able to create a conducive organizational climate that achieve job satisfaction, which in turn have an impact on the achievement of objectives organizational. Symptoms employee dissatisfaction can be seen from the absence of harmonious relation between the parties led to the employee, which is the leader less attention to the rights of the employees. For that leader has a very important role in improving job satisfaction employees. Based on the above, the study of the relationship style leadership and employee job satisfaction is very important to do. Definition of Leadership Leadership is one of the function of management human resources that make other people resolve work, maintaining morale and motivate subordinates (Dessler, 1997). From time to time the leadership of an attention to human, human being because of the leadership needed the limitation and advantages of certain human. On the one hand, man limited his ability to lead in other hand there are people who have excess capacity to lead. Here is the emergence of the need for leaders and leadership. Leadership the art of influencing other to directing the will, ability and effort in achieving goal leader. Leadership as an art show that activities affect others are individual, it is not the same way people or pattern between the leaders with one other. Therefore, an effective leader must be able to make purpose as the purpose of the organization, or otherwise make organizational goals into objectives and the ability of leaders lead it should result in all members of the organization felt that the purpose of the organization as a common goal. Mc Gregore in Agus Dharma (1992) says that scouting realize organizational goals and effectiveness when purpose of the organization is supported by all parties in the organization. Leadership is the power to move people and yourself toward a goal or vision particular, as well as power to transform the mobile community. Leadership the power to move people toward a goal or certain dreams. Obviously, there is someone who can move people toward a goal without it should be a true leader, but only a provocateur, even manipulator. Therefore, in addition to causing the motion, a leader is also a person who is able to produce a change or transformation in those he leads, he themselves and the system or community to which they belong. Thus, we recognize a true leader or not of the presence of motion and changes factors (A movement and Transformation Leader) as a prerequisite. Leadership is more detailed in Yulk (1998) is a process of influence, that influence the interpretation about events for followers, the choice of targets for group or organization, organization of work activities to achieves these objectives, the motivation of the followers to achieving goals, maintaining cooperation and team work, and obtaining the support and cooperation of the people who are outside the group or organization. According to Chandra (2005) a leader is a can create a situation in which his followers to step by step move towards their agreed upon with voluntary. Under this view, it is clear that a follow the leader because of his vision, mission formulation or target work. They believe in the leadership because what you want to accomplish along with his followers is a good a clear. They chose to follow because of the leaders are able to explore what has been unconsciously their dreams. This is a major factor determining success of a leader. According Arep and Cape (2002) leadership is properties that should be possessed by a leader, who in it is application to the person of consequences leaders are as follows: must take their own decision explicitly and precisely (decision making), must have the courage to accept this risk themselves, should dare to accept it is own responsibility (the principle of absolute of responsibility). Leadership Effectiveness Understanding of the effectiveness by John Ivancevich Nawawi (2003) is an assessment made in relation to achievement of individuals, groups and organization. The closer the achievement achieved with the expected performance, the more effective assessment of individuals, groups and organizations. By Drucker in Nawawi (2003), the effectiveness is to implement the right (doing the right), an achievement, effectiveness often described as "doing something right" means an activity or work that helps an organization reach the target. The effectiveness of leadership based on the theory of leadership situational (Contingency Theory). In practice, this view assume that no one leader is consistently using particular leadership style regardless of the situation it facts. This is, person's leadership effectiveness depend on its ability to "read" the situation faces and adjust his style to the situation such a way that it effectively perform these function leadership (Siagian, 2003). The success of a leader is that if he can adjust your leadership style to the situation at hand. Situational leadership as well as taking into account factors conditions, time and space play role in a determining the choice of appropriate leadership style. So the effectiveness of leadership a person is determined by the ability to recognize to appropriate nature of the conditions it faces, whether the condition contained in organization and conditions that are outside the organization but have an impact on the course of the organization (Siagian, 2003). In other words, situational leadership theory assumes no single behavioral or leadership style that can affect human behavior or members of the organization to act, to do or work in all situations. Effective leaders have the behavior or leadership style that is flexible able to diagnose situation and use behaviors or styles leadership according to the circumstances they face (Nawawi, 2003). Nature and Characteristics of Leadership According to A.Dale Timpe (1991) there are eight (8) properties improve their productivity:The ability to concentrate, The emphasis on the value of a simple, Always hang out with people, Avoid artificial professionalism, Managing change, Select the people, Avoid doing all by yourself, Dialing with failure. According to Kantz in Nawawi (2003) three characteristic effective leaders are: 1) Have the technical skills such as the ability to apply specialized knowledge in the form of skills in the art. 2) Having the human skills that include the ability work together, understand and be able to motivate others, both of individual or groups. 3) Conceptual skills such as the ability of mental or intellectual to analyze and diagnose complex situation, in particular the time to take a decision. Similarly, according to Browers and Seashore (2003) suggest three characteristic of effective leaders, consisting of: a) Support the behavior of leaders who demonstrate to ability to enhance self-esteem and feeling that are considered important by others especially that people they lead. b) Ease of interaction of leader behaviors that stimulate, member organizations to develop relationship intimate and mutually satisfying. c) Ease of work that is a leader in helping behavior members carry out the work achieve the goals, through activity of job scheduling, coordination, planning, provision of resources such as equipment, labor, material or ingredients work and technical knowledge in the work. Terms and Character of the Leader According Arep and Cape (2002), an outline of a leader should ideally have three general categories, namely: 1) The ability to analyze and draw appropriate conclusions. He must be able to analyze something of a problem, situation or particular set of circumstances and draw conclusions appropriate. 2) The ability to develop an organization and can selecting, and placing the right people to fill position in the organization. 3) The ability to create such a way that the organization concerned running smoothly towards goals, ideals and the decision of higher level to the subordinates, that the goals and the decisions that are acceptable properly. Leadership Strategy Efforts to streamline the organization's leadership must performed by using a strategy that guarantees the highest ability to achieve organizational goals. Strategy such leadership requires the ability to implement leadership functions effectively and efficiently in order to get support, without losing the respect, awe and obedience of all the members of the organization. The main strategy will only be realized if leaders in the running of social interaction with members of the group, showing the ability to understand, concerned and involved in the issues, and organization and its members. Leadership functions according to Nawawi (2003) are: Decision making function, functions of instruction, consultative function, delegates participatory function. a) Decision function Organization will only move dynamically if the leader have the power or ability to perform authority as decision-makers who will or should carried out by members of the organization. For that decision require courage because any definite decision at risk, especially if the process or mechanism is not meet the demands of the decision-making strategy implementation leadership, to be more accurate in leadership for streamline the organization, a leader must include members of the organization, according to the position and responsibilities. Inclusion can be done by provides an opportunity to provide input, such as creativity, initiatives, suggestion, opinions and feedback. Function instruction is order from a leader to realize the organization effect must be clear, both on the content terms and language that should be adjusted to the level skills or education of members who receive orders. Effective leaders don't need to be emotionally error in executing command members. Leaders must be willing to look for the causes of errors, both in execution of the order on him as well as possible caused by a lack of clear leadership in providing orders. In giving the order should be followed as well to give an explanation to members of the organization will carry on the impact or consequences that would occurs when in command is done in correctly. Thus, it can be expected to be more careful execution of the command caution and careful, because a warrant maybe quite difficult for the implementing organization members. Consultative function is streamline the organization every leader must be prepared and willing to provide opportunity for member organization to consult in resolving the issues related to work and it is not impossible to consult on issues related to personal directly or indirectly to the job. Consultative function can also mean members of the organization were opportunity convey criticism, advice, information and opinions related to the job and the organization. This function is useful for improvement leadership, especially for new decision making, thus can improve leadership in effecting organization. Participatory function is the ability of leaders to include members of the organization according to position and authority in order to participate actively in relevant activities, can be realized through work in teams to reduce individual. Willingness shoot leaders and leaders below for participate in helping member organization carry work or resolve the problem faced by provide guidance, direction, discuss, resolve urgent work together. Delegatife function is every leaders need and has power or authority and responsibility should be implemented properly, appropriately and correctly, the leader must be able to divide the work and delegation of authority, and responsibilities in timely execution of the work and fair, as well as in decision making in accordance limit the power and responsibility that has been delegated. Control in Leadership Control in leadership do to keep that effect in the activities of members of the organization has always focused on mutually agreed goals. Control also significantly members of the organization to prevent and avoid activities that deviate from the goals of the organization. If to achieve a purpose, leaders have set up a way, but in implementation found a new, more effective and possible goals can be achieved more quickly, as well as risks low, then the leader must make decisions specify the use of the new method. Control activities in leadership must start the clarity of the objectives to be achieved by the organization, either leader and members of the organization. Organizational goals perceived as a common goal can be used intensively activities affect thought, feeling, attitudes and behaviors, through the direction of the members of the organization. Activity organizing the control is carried out by dividing duty or authority and responsibility into practice. The division of task is followed by its implementation by every member of organizations that have been implemented should be decided continue to perform the role of the controlled trough coordination, monitoring and redirection. So leader effective for activities that have been implemented should be decided continue to perform the role of the controllers so that the activities do not deviated from it is original purpose. Research Methodology Data can be a company's working hours for employees. This data then needs to be processed and converted into information. If the hours worked per employee is then multiplied by the value per-hour, it will produce a certain value. If the picture of each employee's earnings and then added together, will result in recapitulation salary to be paid by the company. Payroll is the information for the owner of the company. Information is the result of a process of existing data, or data that can be interpreted as having meaning. Information will unlock everything that is unknown. Basically, this research is categorized as qualitative research, since the data are in the form of words or sentences which are separated according to each category in order to get the conclusion (Arikunto, 1996:243). In this study, entitled "Leadership in Improving Employees' Performance in UPT Aneka Industri dan Kerajinan Surabaya". Based on the question "How does the leader role in improving the employees' performance?" and "How the employees' performance can be improved through the leader role?" Qualitative data is data in the form of words or in the form of verbal statements, not the robin figures. The qualitative data obtained through a variety of data collection techniques such as interviews, document analysis, focus group discussions, or observations that have been set forth in the court record (transcript). Another form of qualitative data was obtained through shooting images or video footage. Qualitative data include: 1. Inductive, which is based on one or a number of specific data to derive a conclusion by way of generalization, or analogy or causal relationship 2. Deductive, which is a process of thinking which is based on an existing propositions to acquire new proposition as the conclusion to the syllogism, the argument consisting of three propositions (the major premise, minor premise and conclusion or conclusions) 3. Comparative namely by outlining the similarities and differences between the two data objects under study. Subjects in this study were all employees. Researchers from the source there are 43 employees working in various industries and Crafts UPT Aneka Industri dan Kerajinan Surabaya. On the subject of this study, researchers led to all employees in order to improve their performance with the leadership role that will be applied. Leadership effectiveness is influenced by many diverse and varied, several factors related to leadership effectiveness, among other: task structure, leadership awareness of employees, skills and leadership skills, leadership traits superior and subordinate relationships, management support and human resources, a position of power, subordinate effort, behavior management and external coordination, of those factors when analyzed can be made a set of factors is smaller than the initial factors, namely: leadership factors, factors boss and subordinates and environmental factors. Based on these factors can be seen how the relationship with the leadership of subordinates in decision making and problem solving. Leadership style reflect the relationship in this study is how the leader relates to subordinates in order to improve the performance of the good and positive in an institution. Effective leadership that is able to run by leaders. Will be able to streamline the organization and increase employee productivity. With the respect to this benchmark in studying leadership in effective institutions can be seen from: achieving the institution itself, employee satisfaction and development of the company itself. So, if the factors of leadership effectiveness can be carried out well and the leadership is able to apply his leadership style according to the situation and condition is going to reach benchmark of effective leadership, it has been demonstrate effective leadership and employee productivity indirectly itself will increase. Data and information collection is a process of obtaining data and preparing useful to describe that result of data collected to be use as information, for example as part of a process improvement or similar project. The purpose of data collection is to obtain information to keep on way, to make decisions about the important issues, and also to give information on the others in specific topic. In general the data collection is to answer the problems that will be discussed as well as provide information about the problem and issues. In this study the data of things that can be applied by employees is the attitude of leadership, responsibility and attitude performance. All that can be applied when the employee aware of the importance of improved performance in an institution. The effect of the attitude of a leader can also affect how the performance of its employees whether they are good or bad. Therefore, a good attitude and decisive leadership is needed in the soul of a leader so that the performance of employees and leaders to get maximum results. By applying the managerial role of the leader in the employee's performance is expected to improve the performance of employees in a company or institution. Employees can apply the leadership that has been adopted by leaders in the office working on a task or attitude in the office everyday. Given such, will appear sustainable attitude among employees and leaders that will create a good performance. The research instrument is any equipment that is used to acquire, manage, and interpretation information from the respondents who performed the same measurement pattern. Research instrument designed for one purpose and cannot be used in another study. Peculiarities of every object of research led to a researcher must design their own instrument used. Arrangement for each research instrument is not always the same as the other studies. This is because the purpose and mechanism of action in any research techniques also vary. Several types of instruments in the study were as follows: 1) Test The test is a series of questions or exercises or other tools used to measure the skills, measurement, intelligence, ability or talent possessed by individuals or groups. 2) Questionnaire or questionnaires Questionnaires are a number of written questions used to obtain information from respondents in terms of their personal statements, or the things that he knew. 3) Interview (interview) Interview is used by researchers to assess the state of a person, for example to find data on student background variables, the elderly, education, attention, attitude towards something. 4) Observation In the sense that observational studies are conducted direct observations, observations can be done with the test, questionnaire, range images, and sound recordings. Observation contains a list of the types of activities that may arise and will be observed. 5) Graduated scale (ratings) Rating or a graduated scale is a measure of the scale, subjective made. Although this produces a graduated scale data rude, but enough to give specific information about the program or person. This instrument can easily provide an overview of performance, especially in the performance of duty, which shows the frequency of appearance of the properties. In preparing the scale, which needs to be considered is how to define a variable scale. What is in question should be what can be observed respondent. 6) Documentation Documentation, from the origin of the document, which means that the written stuff. In exercising methods of documentation, research investigating the written objects such as books, magazines, documents, regulations, minutes of meetings, and so on. Register questionnaire is a series of questions posed to the respondents in order to collect information from respondents about the object being studied, either in the form of opinions, responses, or himself. As a research instrument, then these questions should not deviate from the direction that will be achieved by the proposed project, which is reflected in the formulation of hypotheses. Thus the list of questions that must be filed with the tactical and strategy so as to filter out the information required by the respondent. Questions raised by the respondent should be clear formula, so researchers will receive the right information from the respondents. Because the respondent and the interviewer can interpret the meaning of a sentence different from the intent of researchers, so that the contents of the question cannot be answered precisely. Besides, it should also be noted that where the direction is achieved, given no clear direction may not be able to formulate a list of questions adequately. Compile a draft list of questions is actually a collective work across research team members. Involvement of all members of the research team will contribute research instrument construction completion. Steps in compiling a list of questions are determination of the required information, determination of the data collection process, preparation of the research instrument, testing instrument research. Result and Discussion Basically a company or institution can run smoothly when it has a strong foundation. And foundation here in question is a leader. When a leader has a dominant role in the company or institution, then the employees will follow the rules and will get good results in the form of improved performance. Therefore, there is no doubt that the role of leadership can improve employee performance. The Leader Role in Improving Employees' Performance The role of leadership is crucial in a job. Who first determined is to choose a leader who can truly lead a company or institution. When we get a leader who deserves to lead the leader must have a vision and mission for the welfare of its employees by way of improving the performance of employees. A leader does not have to give orders to his subordinates or employees to do something, but by way of an example, the employee will follow what their leaders are doing as long as it's true. The employees' performance can be improved through leader role Leadership is one of the issues in the management which is still interesting enough to be discussed until today. Mass media, both electronic and print, often featuring opinion and conversation discuss about leadership. Leadership role and strategic importance to the achievement of the mission, vision and goals of an organization, is one of the motives that drive people to always investigate the intricacies associated with leadership. Quality of leadership is often regarded as the most important factor in the success or failure of the organization as well as the success or failure of a business-oriented organizations in both the public and, generally perceived as a success or a failure of leadership. Once the importance of the issue of the role of the leader so that the leader be the focus of interest to researchers in the field of organizational behavior. Organizations that succeed in achieving its objectives and be able to fulfill its social responsibility will depend on the leadership. When the leader is able to perform well, it is possible that the organization will achieve its goal. An organization needs an effective leader, who has the ability to influence the behavior of its members or subordinates. Leadership style is a way used by a leader in influencing the behavior of others. Leadership style is the norm of behavior that is used by a person when the person is trying to influence the behavior of others. Each style has advantages and disadvantages. A leader will use the appropriate leadership style and personality skills. Every leader in providing care to foster, promote and direct all potential employees in the environment have different patterns with each other. The difference is caused by different leadership styles also vary from each leader. Correspondence between leadership styles, norms and organizational culture is seen as a key prerequisite for the successful achievement of organizational goals. Leader etymologically derived from the word "pimpin" (lead) means guided or guided, so in which there are two parties that led (the people) and the lead (priest). Having added the prefix "pe" to "leader" (leader) means those who influence others through the process of communication so that the authority of the act is something other people achieve specific goals. Is a leader who has the ability to influence individuals and groups can work together to achieve the intended purpose. Hendry in Kartini Kartono Pratt Fairchild (2006:38-39) argues that leaders in the broad sense is a person who leads by way of initiating social behavior by regulating, indicating, organize or control efforts / attempts of others or through prestige, power or position. Anagora (1992) in Harbani (2008:5) argues, that leadership is the ability to influence others, through communication either directly or indirectly, with the intention to drive people to the understanding, awareness and happy to follow the will of the leadership of the leadership is defined as the process of influencing and directing a variety of tasks related to the activities of the group members. Leadership is also defined as the ability to affect a variety of strategies and objectives, the ability to influence the commitment and devotion to duty in order to achieve common goals and capabilities affect the group in order to identify, nurture and develop organizational culture (Stogdill in Stoner and Freeman 1989: 459-460). Elements of leadership according to Stogdill is he involvement of members of the organization as a follower, distribution of power among the leaders of member organizations, legitimacy granted to followers, leaders influence followers through a variety of ways. Leadership is an activity to influence the behavior of others so that they would be directed to achieve certain goals. Leadership is defined as the ability to move or motivate some people to simultaneously perform the same activities and focused on achieving the goal. From the above, it is basically a leader who has the ability to move others and be able to influence that person to do something in accordance with the goals to be achieved. Conclusion Leadership is one of the function of management human resources that make other people resolve work, maintaining morale and motivate subordinates (Dessler, 1997). From time to time the leadership of an attention to human, human being because of the leadership needed the limitation and advantages of certain human. On the one hand, man limited his ability to lead in other hand there are people who have excess capacity to lead. Here is the emergence of the need for leaders and leadership. The success of a leader is that if he can adjust your leadership style to the situation at hand. Situational leadership as well as taking into account factors conditions, time and space play role in a determining the choice of appropriate leadership style. So the effectiveness of leadership a person is determined by the ability to recognize to appropriate nature of the conditions it faces, whether the condition contained in organization and conditions that are outside the organization but have an impact on the course of the organization (Siagian, 2003). In other words, situational leadership theory assumes no single behavioral or leadership style that can affect human behavior or members of the organization to act, to do or work in all situations. Effective leaders have the behavior or leadership style that is flexible able to diagnose situation and use behaviors or styles leadership according to the circumstances they face (Nawawi, 2003). In this study the data as the information needed to give an overview of the research. Data is something that does not have any meaning for the recipient and is still in need of a treatment. In this case, the data can be regarded as an object and a subject of the information is useful for the recipient. Information can also be caled as a result of processing or data processing. Quality of leadership is often regarded as the most important factor in the success or failure of the organization as well as the success or failure of a business-oriented organizations in both the public and, generally perceived as a success or a failure of leadership. Once the importance of the issue of the role of the leader so that the leader be the focus of interest to researchers in the field of organizational behavior. Organizations that succeed in achieving its objectives and be able to fulfill its social responsibility will depend on the leadership. When the leader is able to perform well, it is possible that the organization will achieve its goal. An organization needs an effective leader, who has the ability to influence the behavior of its members or subordinates. Thus, a leader or head of an organization will be recognized as a leader if he can have an influence and capable of directing his subordinates towards the achievement of organizational goals. Suggestion Expectations of the employees are in the presence of a wise leader and able to adjust the structure of the company or institution can work to change the existing errors in the body corporate. In the end, that the existence of a leadership role within a company or institution can improve and enhance the performance of employees and can form a good partnership between employees and management. REFERENCE Peraturan Gubernur Jawa Timur, 2008, Organisasi dan Tata Kerja Unit Pelaksanaan Teknis Dinas Perindustrian dan Perdagangan Provinsi Jawa Timur, Surabaya. Prayoga, Sondra, 2011, The Role of Exhibition to Increase Foreign and Domestic Market Activity TIU (Technical Implementation Units) REPTC (Regional Export Training and Promotion Center) of East Java. http://id.wikipedia.org/wiki http://id.wikipedia.org/wiki/DEKRANASDA www.google.com www.blogspot.com
Issue 15.1 of the Review for Religious, 1956. ; A. M. D. G. Review for Religious JANUARY 15, 19 5 6 Sisters' Re÷rea÷s~i .".'- . Thomas Dubay Novice Master and Secrecy .John R. Post Forbidden Readlncj . John J. Lynch Book Reviews Questions and Answers VOLUME XV , NUMBER 1 R ViI::W FOR Ri LIGIOUS VOLUME XV JANUARY, 1956 NUMBER 1 CONTENTS SISTERS' RETREATS--I--Thomas Dubay, S.M . 3 OUR CONTRIBUTORS . l0 SOME RECENT PAMPHLETS . 10 NOVICE MASTER'S OBLIGATIONS TO SECRECY-~John R. Post, S.'J. 1 l QUESTIONS AND ANSWERS-- 1. Difficulty in Submitting to Superior's Will . 2. Permission to Offer One's Life to God . 22 3. Occasional Confessor of Religious Women .22 4. Permission for Private Penances . 23 5. Indulgences for Little Office of B.V.M . 24 6. Name of a Religious Institute . 24 7. Lowering Veil for Holy Communion . 25 8. Ordo to Follow in Convent Masses . 25 FORBIDDEN READING--'John 3. Lynch, S.J . 27 FOR YOUR INFORMATION . 46 BOOK REVIEWS AND ANNOUNCEMENTS-- Editor: Bernard A. Hausmann, West Baden College West Baden Springs, Indiana . 48 REVIEW FOR RELIGIOUS, 'january, 1956. Vol. XV, No. I. Published bi-monthly: ,January, March, May, 'july, September, and November, at the College Press, 606 Harrison Street, Topeka, Kansas, by St. Mary's College, St. Marys, Kansas, with ecclesiastical approbation. Entered as second class matter, ,January 15, 1942, at the Post Office, Topeka, Kansas, under the act of March 3, 1879. Editorial Board: Augustine G. Ellard, S.'J., Gerald Kelly, S.3., Henry Willmering, S.J. Literary Editor: Edwin F. Falteisek, S.J. Copyright, 1956, by Review for Religious. Permission is hereby granted for quo-tations of reasonable length, provided due credit be given this review and the author. Subscription price: 3 dollars a year: 50 cents a copy. Printed in U. S. A. Before writing to us, please co~nsult notice on inside back cover. Review for Religious Volume XV January--December, 1956 Published at THE COLLEGE PRESS Topeka, Kansas Edited by THE JESUIT FATHERS ST. MARY'S COLLEGE St. Marys, Kansas REVIEW FOR RELIGIOUS is indexed in ÷he CATHOLIC PERIODICAL INDEX Sisters' Retreats l Thomas Dubay, S.M. INTRODUCTION THIS article and the others that will follow it1 deal with the results of an experimental study of retreats for religious wo-men. A summary of the purpose of the study can perhaps be given in no better way. than by reproducing the note addressed to each sister participating in th3 survey. Dear Sister : The purpose of this study is to help you to make more profitable retreats. If you will be so kind as to join hundreds of other sisters in answering this question-naire, you will be make a noteworthy contribution to this end, for it is hoped that through publication the results of this study may be made available to retreat masters. Because mere statistics are not .of themsel;ces too reliable, space is provided after the questions for your further comment. And the more comment you offer, the more you will help this study. If the space provided is not sufficient, you are urged to add pages of your own. Sittce it is your individual opinion that is so valuable, Sister~ I would suggest that you consult with no one. Further, you may be assured that your opinions will remain secret. Your Mother Superior has agreed to return all questionnaires without anybody's reading of them. And certainly I will not know you. None of your answers will be interpreted as, negatively critical and so you should feel perfectly free to state your full and frank views . May God bless your kindness! Of approximately 1300 questionnaire forms distributed to a large number of different communitiesz located in all parts of the United States, 701 were returned with answers. These 701 returns seem to represent a reasonably good cross section of the American sisterhood in age distribution, type of order, and kind of work. In respect to the 'number of years of professed religious life the respondents are distributed in the manner indicated in Table I. TABLEI: PROFESSION AGE OF PARTICIPATINGSISTERS 1-5 years . 108 6-10 years . 97 11-20 years . 173 21-30 years . 156 31-40 years. . 97 over 40 years . 66 ~Editors' Note: There will be five more articles. 2A rough estimate would place the number of distinct congregations between 30 and 50. 3 THOMAS DUBAY Review /:or Religious 2~ wide variety of occupations is likewise represented. Table II shows the kinds of work done by the sisters. TABLE II: OCCUPATIONS OF PARTICIPATING SISTERS Teaching in grade school . 230 Teaching in high school . 187 Hospital and nursing education: . . 86 Teaching in college . 79 - Domestic . 55 . Social work . 13 Home for aged . 10 Represented by numbers under ten are the following occupations: orphanages, office work, postulant or novice mistresses, public health nursing, cloistered life, and several miscellaneous offices. Nine sis-ters did not reveal their occupations. That many sisters are vitally interested in the retreat problem is evidenced both by the care with which 701 filled out a nuisance of a questionnaire and by the many appreciative messages that ac-companied their answers. These kind observations we will pass by here and commend to God for reward. Even a brief reading of the returned survey forms can leave no doubt that the sisters have been frank--sometimes bluntly frank-- both in their praise and in their blame. The excerpts that follow are statements characteristic of the sincerity, care, and goodwill with "which the replies are replete. I have tried to answer seriously and thoughtfully the various questions, and hope there is no inconsistency in my answers, or any misleading statements, dust thinking along these lines in order to answer the questions has been, in a sense, a meditation and an inspiration. Hope I haven't been too far out in left field on these answers-~but it was a good opportunity I couldn't afford to miss !--even though I just made it late to class! Father, you must be smiling or laughing at my preachy manner. But no . . . I don't presume to be saying (rather writing) authoritatively. ,Just presenting my observations, since better retreats and better retreat masters for sisters was for a number of years a special object of ~y poor prayers. In the whole course of this study, it has seemed wise to place considerable stress on the sisters' written comments for the reason that a mere statistical presentation viewed alone can be misleading. When explained by the living observation, statistics can be most enlightening and helpful. Manifestly only a fraction of all the sisters' comments can be January,. 1956 SISTERS' RETREATS--l[ included in these articles, but the excerpts ~he writer has chosen are repregentative. There were so many striking statements, so many shrewd observations, so many sincere analyses Of retreat problem~, '~o. many grace-inspired kindly remarks, that, when pressed to choose "~mong them, he felt like a little boy give~n free reign in a well, Stocked candy shop. Only he had no free reign, for lack of space.:has mercilessly curtailed the number of sisters' comments reproduced in "these articles. Perhaps some future detailed stu.dy can exploit the untapped riches of their observations. Views of extreme minorities (i.e., .of one or two sisters only) are usually not represented in the written observations; for their comments, if placed next to an excerpt representing ten or fifteen sisters, would produce an imbalance in favor'of the former. These extreme views are not neglected, however, for they appear in the numerical summaries. It need not be stressed that the views of the sisters are not necessarily those of the present writer. One ~eason is that he is here interested in presenting the sisters' opinions, not his own. A second--and this one is metaphysical--is that what one sister af-firms another sometimes denies. In this connection, however, we should remember that the c6ntradiction is often merely apparent; for rarely are the sisters speaking about the same retreat master or exactly the same idea. SOURCE OF PRIESTS We sh,ll first consider the question, as to whether 'sisters prefer their retreaq masters to come from the same or different orders of men year after year. This item in the questionnaire wfiiworded as follows : As a source of re~reat masters would you prefer p~iests __always from the same order from different orders ~it makes little difference to me Further comment: (space provided) While we will give first of all in one summary a picture of the views of all of the sisters on this question, it would be a mistake to "rest content with that picture alone. There are on this point three types of situations among congregations of religious women, Some are attached to orders of men; others are not so attached' but do obtain their retreat masters from one order of men alone; and still others are not attached and do not restrict the source of retreat. m~isters to one order of men. A priori we might expect different THOMAS DUBAY Reoieu~ [or Religious reactions in the three groups to the question under discussion here. This expectation is borne out to some extent by the answers to the survey question. ]Due to the fact that no sister participating in this study was asked to identify either herself or her congregation, it was impossibl~ to distinguish in most cases into which of the three categories a given reply fell. However, a considerable number of sisters did distinguish their congregation in this general way and so some basis for a com-parison is possible. We will first give a cumulative picture of all the replies relative to this question. TABLE III: PREFERENCE FOR SOURCE OF PRIESTS--ALL SISTERS Always from the same order . 148 (21.8%) From different orders . 353 (52.0%) It makes little difference to me . 178 (26.2%) As already indicated, not much can be proved from this overall picture; and so we will proceed to our breakdown. TABLE IV: PREFERENCE FOR SOURCE OF PRIESTS SISTERS ATTACHED TO AN ORDER OF MEN Always f, rom the same order . 60 (62.5 %) From different orders . 18 (18.75%) It makes little difference to me . 18~ (18.75%) Here we notice a considerable deviation from the overall pic-ture. Most sisters attached to an order of men wish to receive their retreat masters from that order alone. In the~e congregations, bow-ever, there appear to be two rather strong minorities of another mind. TABLE V: PREFERENCE FOR SOURCE OF PRIESTS SISTERS UNATTACHED TO ANY ORDER OF MEBNUT RECEIVING RETREAT MASTERS FROM ONE ORDER ALONE Always from the same order . 10 (11.3 %) From different orders .65 (73.0%) : It makes little difference to me . 14 (15.7 % ) Here also a noteworthy deviation from the overall picture can be seen, and that in a direction opposite to the deviation found in. the immediately preceding table. Because the two groups of sisters included in Tables IV and V almost perfectly balance each other off, the position of unattached sisters receiving retreat masters from several orders of men is fairly well "refledted in Table III, once due allowances are made. As he went through the. returned replies, .January, 1956 SISTERS' RETREATS--I the present writer received the impression that this third group of sisters is for the most part Well pleased with its custom, i.e., re-ceiving priests from different orders. We may turn now to the reasons the. sisters give for their various preferences. The number of excerpts given in each group is approximately proportionate to the number of preferences regis-tered in that category. Those who prefer, the same order: I prefer priests from the same order as my own because I feel that they understand my obligations better and are thus able to help me more. Our community always have the same religious for retreat masters, and there seems to be a definite continuity of purpose represented in their retreats--which is fine. I think that it is ideal to have a priest of one's own order, as he knows and has the same spirit and can lead one in one's own spirituality. A religious usually comes to appreciate what is traditional in her congregation. We always have . We have priests where I come from, and believe you me, Padre, they're "tops" ! If there are two branches of the same order--one for men, one for women--then the sisters profit greatly by having retreat masters of the same order. The retreat master then understands best the way of life through which the sisters are to reach heaven. For any sisters it would be hard to have different ways of spiritu-ality presented and urged on them by priests of various orders. Sisters preferring priests from different orders: I think they should be selected for personal ability. Many'sisters I know get tired of having the same order, as we generally do. Each order has something special, something beautiful that they follow. Knowl-edge of the various orders will not only broaden our intellectual and spiritual outlook but also make for a deeper understanding and cooperation between the orders. I prefer priests from different orders as it would give variety to the types of medi-tations given. The for instance are fine but you always know what their meditations are going to be based upon. I like to be surprised once in a while. I would not consider the order if I had a choice but would find men who were' holy and knew how to inspire others to holiness. However, when one order is always chosen, some souls will grow weary because they like change. It is possible that continued use of the same order would exhaust their supply of the "best." I like the return of the good retreat master. I have made retreats given by the same one five times and am ready for another five more. Where I was in-clined to think the order produced the individuals, I've grown older and wiser and am sure that life, life-work, and production is all an individual job. There are two orders that I like best, but because in their members I have met real sanctity. We are in spirit and have made the effort to get priests, but this is not a hard and fast rule. We have had others and they have also been excellent. THOMA'S' DUBA'Y ¯ Review ~or ~V'e would become more broadminded if we had different orders. We hav~ the same order always, but many sisters have expressed the wish for men from different orders. Some orders of retreat masters adhere to one form of presentation more or less. ¯ . . I hate to say this but sometimes the meditation becomes boresome before he really starts. ~ iCrom different orders--However,'a priest of any order should not try to instill the particular virtues, customs or religious devotions of his order. He should not adopt an attitude that his order is superior to all others. This is boring. Sometimes a change of method is good. I like it when I do not know what the next conference is about. Wl£en the retreat masters come from different orders, they have a different approach and p~attern. This is good. I believe each order has its particular talents to offer, and being human, variations ofeven the most fundamental topics are appreciated.' I have made several retreats and having had' the same order of priests conducting them, I was able to tell almost exactly what incidents Father was about to discuss and in almost the same words he used. Sisters to whom the source of priests makes little difference: I have,made retreats under priests of several orders and I find the order doesn't make much difference--it is the personal sanctity, earnestness, and understanding that counts¯ It is not the order; rather it is the personal holiness of the priest which would be an inspiration to follow. As far as particular retreat masters are concerned, it really matters little who he is, where he is from, or what religious congreg, he represents. The important thing is that he himself is a truly spiritual man, well prepared td give the retreat, en-thusiastic for the cause--the cause of Christ and the interests of His consecrated Spouses. Can love them all! and respond to all. However, I think a religious priest would understand better community problems and regulations than secular priests. The habit does not make the retreat master; it's his union with the Divine Master that makes the difference in the retreat. I believe they should be chosen for their individual capabilities, not confined to orders at all. It might be a good idea if some center could be designated "~here one could send in names to be recommended and likewise receive such information. FAI~IfLIARITY WITH CONSTITUTIONS The. next item of inquiry offered results charac.terized by a greater degree of agreement than the preceding. Dealing with the retreat master"s, familiarity with the congregation's consfitutions, the quest.ion was framed in the fo!lowi.ng words: " Do you like the retreat master to be. familiar with the Constitutions of you~ ,. congregation and refer to them in his talk~? .-~, .yes ___no ___it makes little difference Further comment: danuaCg, 1956 SISTERS' RETREATS--][ The vast, majority of sisters, 616 (89.0%), desire the retreat master to be well acquainted with their particular constitution.s, while an exceedingly small° numl~er, 5 (.7 %), register an opposing vote. A small minority, 71 (10.3%), do not see that a knowledge of the constitutions makes very much difference. The latter group offered the following comments on their answers: I should like the retreat master to be f~miliar with the Rule but not necessarily the specifications given in Constitutions. Retreat should be a time of spiritual deep-ening. Intei'pretation of Constitutions belongs to the religious superior. I think it is more important that he know the spirit of the congregation than the actual constitutions, for every sister can read "these latter at any time herself. If he gives me the spiritual fundamentals, I can apply thXem to my own life. ,I know the practical details of my Rule and its spirit, better than he does. Often retreat masters interpret our rules in terms of the spirit of theic institutes. The sisters holding the majority opinion have a wide variet)~ of somewhat related reasons for their view: Very definitely. You prefer someone whose foundation is sound. It doesn't help you to gain the spirit of someone else's order. If your Constitution states specific virtues, it is more helpfhl to discuss these. Every sister knows that her Rule is her way of life and she has more confidence in you if you are willing to take the time to study God's plan for her. If he isn't familiar with the Rules and practices of tl~e community, it is the better part of wisdom not to assume that this community is exactly like that community'. It loses some of the rapport when a retreat master, for example, keeps referring to. "when you say the office; now in the recitation of the office, etc." when it so happens that your community, does not say the office. Knowing that the retreat master is familiar with the Constitutions makes it easier to discuss problems in confession. It is of no encouragement to have the confessor ask one: Do you have to do that? When I ask for guidance or enlightenment, I presume the confessor to know what I have to do and tell me frankly." If he is familiar with our Constitution he will know. Interpretation by someone outside the community sometimes brings a greater ap-preciation of the rule. The retreat is more practical, and you fed as though he is interested in your com-munity and the advancement of its members in the spiritual life. That is our custom and we prefer it. 'However, retreat masters must be prudent and careful, never permitting themselves the liberty of direct or indirect criticism of an approved rule. We had that ~xperience once and the sisters resented it. This is essential, I think, if a, pplications and illustrations are to be meaningful. As members of a religious congregation our sanctification will be attained by doing God's will according to the spirit and customs of our particular congregation. What better thing could be done during retreat than to .get more deeply acquainted with them? THOMAS DUBAY .It makes us feel he takes more interest and thus gives us more confidence. Customs and traditions are important and a talk on visits home to sisters who are not permit'ted to visit home is wasted. Very definitely. I have gone through whole retreats in which the talks were geared to teaching sisters, and our whole congregation is engaged in nursing. Besides the spirit of each community is different, also the practice of particular virtues, appli- .cation of rules, etc. I think the retreat master should discuss the Constitutions beforehand with some superior or the provincial in order to be sure he applies it as intended. We may conclude from these observations that ordinarily the retreat master will do well to read over a copy of the sisters' con-stitutions before he begins to prepare his retreat. Because it is in the nature of the written word to need a living interpreter, he can also with profit seek comments and observations on community customs 'and interpretations from some one of the older sisters. 'She will ordinarily be a superior. OUR CONTRIBUTORS THOMAS DUBAY, author of The Seminary Rule, is now at the Marist Col-lege, Washington, D. C. JOHN R. POST is master of novices at Shadowbrook, Lenox, Mass. JOHN 3. LYNCH is a professor of moral theology at Weston College, Weston, Mass. SOME RECENT PAMPHI'ETS GRAIL PUBLICATIONS, St. Meinrad, Indiana The Mass: Homage to God. By Paul R. Milde, O.S.B. Pp. 28. 15 cents. dog Is Your Heritage. By John M. Scott, S.J. Pp. 45. 15cents. The Holy Man of Ars. Saint dohn Baptist Vianneg. By Dom Ernest Graf, O.S.B. Pp. 40. 25 cents. Saint Luke Paints a Picture. Our Lady of Perpetual Help. By Sister M. Julian Baird, R.S.M. Pp. 8. 5 cents. FROM OTHER PUBLISHERS Spiritual Direction. A Current Bibliography. Department of Religion, University of Notre Dame, Notre Dame, Indiana. Pp. 11. Padre Magin Catala. By Aloysius S. Stern, S.J. University of San Francisco, San Francisco 17, California. Pp. 20. Free on request. So You're Going to Teach Religion. By Richard R. Baker, Ph.D. George A. Pflaum, Inc., Dayton 2, Ohio. 10 cents. Time Out to Think. By Gene J. Jakubek, S.J. San-Del Printing Co., 602 :Gratiot Street, St. Louis, Missouri. Pp. 22. 15 cents. 10 Novice Masl:er's Obliga!:ions Secrecy John R. Post, S.J. A master of novices by reason of his office is made the custodian of many secrets. His young charges in asking for direction confide in him their faults and spiritual difficulties, and in so doing they lay on him the obligation of concealing these faults from others. To reveal or even t-o use this knowledge outside the limits laid down for the entrusted secret would, of course, be sinful. Yet, a master is often obliged by canon 563 to give a report to higher superiors on the conduct of his novices; and, in order to protect the order from unsuitable members, he may even desire to dismiss a novice on the basis of knowledge learned only in confidence. Can he reveal or use such knowledge with a good conscience? This ap-parent clash of obligations poses a few moral problems which the following pages will attempt to solve. It will help at the beginning if we clarify in general the position of the novice master with regard to his novices. There is more to his job than the rejection of the unfit. He must also act as spiritual director. His work, then, is not exactly the same as the doctor's who examines candidates before entrance. The doctor's work is primarily for the benefit of the order and is known as such by the candidates. Father Vermeersch remarks that a doctor who examines applicants for their physical fitness is thereby excused from the obligation of keeping his entrusted secret as far as revealing his findings to the superior is concerned. The reason given is that the boy understands this to be the purpose of the examination and implicitly gives his ~onsent beforehand to the doctor's revelation. But, if a .novice master wants to carry on as a spiritual director, such a consent on the part of his novices cannot be presumed. Human nature being what it is, he could not expect young men to confide in him their faults and failings while they know that he is free to use this knowledge for their dismissal. So, 'to maintain the confidence of his charges, he must in his many interviews with them consider himself bound by the various secrets, except in the rare cases where the commo,n good allows revelation, trusting that divine providence and his own powers of persuasion will rid the order of undesirable members. GENERAL DOCTRINE ON SECRETS A secret is some hidden knowledge belongjng.to.a person by 11 JOHN R. POST Reoiew for Religious strict right, ,which cannot be sought after, used, or revealed by an-other con.treaty to the reasonable will of the owner. Thus the ob-ligation of keeping a secret usually derives from the virtues of both justice and charity. For example, to learn from reading the incoming mail that a novice's brother is thinking of becomi~3g a priest and to reveal it before the matter has b~come public might be displeasing to the novice and hence against charity. The act would also violate justice, first, because the information belongs only to the novice and his brother by strict right, and secondly, the act breaks an im-' plicit contract with the novice to keep secret the matter of his letters. Of the four different kinds of secrets-~confessionaI, entrusted, promised, and natural--only three have a definite place in the work of a novice master. The con~:essional secret concerns the knowl-edge communicate~d to a priest in the sacrament of penance.1 The entrusted secret is one that is confided to another under a con-tract that he will not use the information without the consent and according to the good pleasure of the giver. This contract is im-plied when one goes to consult with doctors, lawyers, or priests acting in their professional capacity. The natural secret concerns something one happens upon in the life of another and which the nature of human society demands should be kept secret. All three of these secrets bind under grave sin if their revelation' would be seriously harmful. On the other hand, moralists agree that there is.no secret-~ex~ cept the confessional--which does not have its limits. The reason is that no obligation to keep a human secret is so strong that a stronger obligation to reveal it cannot present itself. In other words, when an obligation to conceal interferes with a higher good, ~t shbuld cease. This principle, however diffic[dt in practice, is gen-erally recognized in theory. The Church overrides the obligation to keep a natural secret when she asks her children, to testify to im-pediments found in future spouses and priests. Doctors, too, are sometimes obliged to report bullet wounds to the police in accord-ance with the principle that the common good at times demands exceptions even to the entrusted secret. It is certain doctrine, there-fore, that the revelation of a human secret is justified when it i~ necessary to prevent preponderant h~arm to the community, to the owner of a secret, to its recipient, or to a third party. Sometimes, too, revelation can be justified if the consent of the owner'can be 1Though canon 891 forbids the master to hear novices' confessions generally, it does allow it in certain cases. , 12 January, 1956 OBLIGATIONS TO SECRECY reasonably presumed. THE CONFESSIONAL SECRET The. obligation of keeping secret whatever is known from a sacramental confession is the weightiest there is--stemming as it does from the divine law and protecting one of the most precious means of salvation. Every priest, therefore, is forbidden not only to reveal confessional knowledg,e, but even to use it in a way that would render this consoling sacrament odious or more burdensome to penitents. A novice master, for example, who knew only from confession that one novice had an aversion for another could not, without the permission of l~is penitent, use this information in making out the bands, or groups, for recreation, even though he knew it would be for the penitent's good. The reason why such use of confessional knowledge is forbidden is not merely that it might work a hardship on the individual penitent, but also that the very fact that if such use of confessional knowledge were permitted, it would be a-bur-den for penitents in general and would make confession more diffi-cult. Hence, even in a case in which the individual penitent might be pleased (e.g., because he was removed from the company of someone he found disagreeable), the novice master could not use the knowledge without express permission. One might think that the novice's permission for such changes as these could readily be presumed, but it is" the universal teaching of theologians today that permission may never be presumed for the use of confessional knowledge. The reason is again the same: if permission could sometimes be presumed, this would diminish the security the confessional is supposed to offer and thus make con-fession more difficult. During confession, of course, the master is free to advise, per-suade, and guide the penitent out of his difficulties and even to bring up m.,atter from previous confessions. But outside of confession, if be wishes to speak to the novice about confessional matters he should have permission. Such permiss!on would be implied if the novice himself took the first step by referring to matters he had confessed. Tt~tE ENTRUSTED SECRET It would seem that most of the novice master's knowledge of his charges will come under the heading of entrusted or committed secret. Because he is designated by the order as the spiritual father 13 JOHN R. POST~, . ~ . ; ~ Revieu~ for Religious 6f '.the .novices, ~there~is set up. between him and th~'m the mutual understanding that ,whatever is: confided to him will be kept hidden and~never used in any way that will jeopardize their interests. This promise or pledge.is inherent in his office; and, since the'common good not only of the novitiate, but of every community in which his novices w.ill _live depends' so much upon the confidence which they have in superiors, it is largely his duty to build up this con~ fidence in them from the very beginning. Some of the entrusted secrets are stricter than others, depending upon the channels through which they come to him, so we propose to treat them according to these several channels--secrets of mani-festation and spiritual direction, paternal denunciation and chapter -of faults, and inspection of mail. MANIFESTATION OF CONSCIENCE AND SPIRITUAL DIRECTION Next in strictness to the seal of confession is the secrecy which surrounds the rhanifestation of conscience. The reason for this is that'the manifestation, like the sacrament, has for its primary pur-' pose the spiritual Progress of the one making it, and to achieve this purpose some disclosure of conscience is necessary. Slnce, then, it comes so close in its matter and purpose to the sacrament of pen-ance, this .secret, of all the entrusted secrets, should be 'held the most sacred. Nev.ertheless, except in the case where the manifestation is made ~ander the seal of confession, more latitude is allowed the master in the use of what' he hears, always safeguarding, however, the rights and ~eeliflgs of the one who makes it, and always avoid-ing anything that 'would diminish confidence in. his office. The authors'who comment on this subject say that the novice aster '}nay not reveal anything heard in manifestation, even to higher superiors, without the consent of the novice. Thus, if a master were asked by his provincial or canonical visitor whether he had n.oticed an impediment in a certain novice, and the master knew of this impediment only through manifestation, he would be obliged to answer with a polite, "I do not know," or something similar. Wl~at then, if the impediment were an invalidating impediment --for. example, the novice had once apostatized from the Catholic Church~ and joined a non-Cath01ic sect--and the novice could not be persuade.d.to.d0 anything about it? The master may not reveal the. impe.dim.ent.o He may and should instruct the novice of his se~iou.syobligation to have the impediment removed before going L4" lanuat~, 1956 OBLIGATIONS TO SECRECY on; but, if the novice still refused, the mastei could neither reveal the impediment nor use. his knowledge for such things as dismiss-ing him, °or refusing to recommend him for vows, or even delaying his profession if the novice were acceptable on every other count. In matters such as-the foregoing, the secret of ~manifestation is, for all practical purposes, like the confessional secret. But when there is question merely of the spiritual good Of the novice, greater latitude would be allowed for the use of knowledge because, in some cases at least, permission to use manifestation knowledge may be presumed. The reasons for this are, first, that there is no absolute prohibition of presumed permission as there is in matter of con-fession, and. secondly, all n~vices understand that the novitiate is a time of probation where hard things will be asked of them-. More-over, in some orders novices are ins'tructed beforehand that-one of the purposes of the manifestation is to provide superiors with knowl-edge that will .help them to govern paternally, assign subjects to proper offices, guard them from temptations, etc. In strict right, then, the novice master can, unless the novice expressly forbids it. use manifestation knowledge to change his occupation, living quar-ters, companions, etc., provided that there is no danger of revela-tion and the best interests of both novice and the order are served. .But presumptions must yield to facts; so sometimes prudence may require that, before using this knowledge in a way displeasing to a novice, the master sound him out beforehand. Outside a novice's manifestation, of course, the master may speak to him irl private about sins mentioned, not in confession, but in manifestation in order to warn him or to exhort him to do better, provided that everything is kept under the same seal of secr.ecy; for these private interviews of spiritual direction partake of the nature of a manifestation. PATERNAL DENUNCIATION AND CHAPTER OF FAULTS According to Suarez, the denunciation of another's faults to .a superior as to a father is only a method of-fulfilling the, injunction of fraternal correction imposed on all Christians b) our Lo~d ih Matthew 18:15. Going on occasions to the st~perior first, instead of directly to the culprit, though a departure from the order estab-lished by our Lord, does, nevertheless, fulfill the gospel injunction substantially; for the superior, acting solely .as the instrument ,of the inforrfiant, is obliged to use this knowledge within the limits "of the informant's "ih~ention. 'Pr~siaming, then, that the-informant's JOHN R. POST Review for Religious intention is exclusively one of charity for a fellow novice, the master is obliged to act towards the delinquent as a lather, who desires ,only the correction and improvement of his son, not as a judge who, looking first to the common good, may for that end punish severely and even dismiss from the order. This being so, suppose a novice master learns from one boy that another has been speaking against the institute. Could he dis-miss the culprit or hold up his vows or give him a public penance on the strength of this denunciation alone? No, for this would be acting judiciall~l and contrary to the intention of the informant, whose only intention presumably was that the delinquent be ad-monished privately and Watched over for his own good. $o, in paternal denunciations the master is obliged to restrict his use of the denunciation to what is nicessary for the private correction of the delinquent. Can a superior reveal the matter of the denunciation to others? Not any more than is required to attain the end of the denunciation. But, if. it is necessary to tell the provincial, for example, in order to change the delinquent from one office to another, the master must warn him that this knowledge is in the paternal forum2 and cann6t be used judicially. If others have to be consulted, the same warning must be given to them and the name of the delinquent withheld. But, if it is impossible to get their advice without revealing the name, they must be bound to strict secrecy also. With regard to the use of such knowledge, the master may do whatever he judges necessary for the spiritual good o~ the delinquent short of notable injury to reputation and expulsion. Hence, he may admonish him privately, reprehend sharply, change his occupation, even though these may be repugnant to the novice. In all of this the novice master is bound under a double, secret to the informant. The first is an obligation not to use the knowl-edge contrary to his intention; the second not to reveal the name of the informant and to protect him against any harm that might be-fall him as a result of his act of charity. Both of these ard entrusted secrets. Obviously, if the fault is more serious and the intention of the informant is primarily to protect the community from an unworthy 2For a more complete explanation of the difference between the paternal forum and the judicial forum, the reader is referred to the article "Paternal Government and Filial Confidence in Superiors," by John C. Ford, S.J., REVIEW FOR RELIGIOUS, II (1943), 146-55. 16 Januar~j, 1956"'" OBLIGATIONS ~: :to SECRECY member, then, this would not be a paternal but a judicial' denunci-ation; and the master would ~be free to proceed to dismissal if he judged it wise. When it is not clear, however, what kind of denunci-ation is being made, the master must question the informant about his intention; for he would be violating an entrusted secret if he began proceedings in the judicial forum without the consent of the informant. And this consent the latter is obliged to give as often as dismissal by. moral estimate is the only way to prevent grave injury to a third party or to the community. The chapter of faults, like the paternal denunciation, is another form of paternal correction. Here a novice in the presence of the master is admonished of his exterior faults by each of his fellow novices in turn. This should be done of course out of the sincerest charity, the only motive being to improve the individual spiritually. The master's use of information learned in chapter, therefore, is governed by the same principles that were laid down for the paternal denunciation, except that, since all present have already learned of the fault, he has more freedom as far as the reputation of the sub-ject is concerned. About this exercise Father John Ford, S.J., writes, "It is not proper to use judicially material revealed therein. The fact that all novices participate in this exercise does not change the principle. But the fact that all are present is the reason why only lesser ex-ternal faults are fit subject matter for revelation in the chapter, and why it would be improper for anyone to reveal anything serious enough to warrant the dismissal of a novice. If an imprudent novice. were to reveal such a fault, all present would be bound by the secret and the master of novices would be obliged to presume that the revelation was intended as part of the exercise of fraternal cor-rection, and therefore, not to be used judicially,, for example, by dismissing the novice." THE INsPEcTION OF MAIL , The last of the secrets entrusted to a novice master are those which be learns from the inspection of mail. Since this right of in-spectioh is given to him only to help in the paternal governm, ent of souls and to protect their interior lives from harm, he may never use this knowledge for any other purpose. As Father Genicot says, "He cannot make a wider use of it, unless he, can presume the con-sent of the writer or receiver, which cannot be presumed, of course, if it would cause hardship to either one.''3 Although the subject 3Tbeologia Moralis, 3rd ed., I, p, 395. 17 ~JOHN R. POST Review [or Religious matter of letters is not usually as confidential as that in the patelnal denunciation, still both are in the paterna! forum; and their use and revelation should follow the same principles. Canon 611 denies to all superiors the right to open letters of subjects to or from higher superiors. To do so, therefore, would be to invade the natural right of the subject; and, if a letter of this kind were opened by mistake, the knowledge so acquired could not be used without injustice. SOME IMPROBABLE CASES OF ENTRUSTED SECRETS Thus far we have taken for granted that revelation of an entrusted secret was not necessary to prevent serious harm to the community or to some third party. Now, let us consider some occasions when the preponderant harm done to others by concealment might seem to.justify the revelation of such a secret, or at least its use in dis-missing a novice. First, suppose a novice master discovered in man(festation that a novice had a habit of impurity that made him unfit for the re-ligious life and that might bring great harm to the community. Could the master reveal this knowledge to the provincial with a view to the novice's dismissal, if after exhortation the novice re-fused to go? Or, could the master himself use the knowledge to dismiss the novice without revealing the cause? It might seem at first that a master of'novices could reveal such knowledge to the provincial. And he could if it were only a ques-tion of choosing between the. harm to the individual novice and that threatening the community. But a third element enters into the case in favor of concealment, and that is the element of general confidence in the institution of manifestation as such. The moral harm done to a community by a loss of confidence in its spiritual directors is so great that moralists are inclined to say that no ex-ception to the secrecy of spiritual direction should be allowed.4 And, if we consider, as we have done, how close the manifestation comes to the sacrament of confession in its matter' and its purpose, we should not wonder that, more than all the other entrusted secrets, it should share somewhat in the inviolability of that sacrament. ~A principal difficulty against this solution seems to come from an, analogy, with other entrusted secrets. Most theologians, for in~- :(Cf. Francis J. Connell, C.SS.R., American Ecclesiastical Review, March, 1953, pp. 200-201; John C: Ford, S.J., "and Gerald Kelly, S.J., ,'Theological StudieL March, 1954, pp. 83-84. 18 ~ ]anuarg, 1956 OBLIGATIONS To'SECREC~ stance, will allow a doctor, to warn a prospective bride qf he finds that her fianc~ has a contagious disease which would threaten her health and future happiness. Here is an entrusted secret which can. be revealed to protect a third party, why cannot the same be done~ '~ove? Because, though both are entrusted secrets, still the s.ecret. of manifestation is on a higher level than that of the medical secret; for the confidence which men have in their spiritual directors is both more important for the common good and also more fragile than. the confidence they have ifi their doctor.s, though both are important. For all practical purposes, therefore, the secret of manifestation should be kept almost as inviolable as that of confession. Can the novice master in the~ case above use the manifestation knowledge to dismiss the novice without revealing the secret to any-one.? Even if he had the power from the provincial, it would seem that he should forego the bare use of it for purposes of dismissal. Father Ren~ Brouillard says that, although in strict right a superior could, to avert a preponderant harm to th~ community, use mani-festation knowledge against an individual, still it would be prefer-able for reasons of prudence and discretion not to use it euen in extreme cases because this kind" of secret approaches the nature of the confessional secret; and a betrayal might easily mean the loss of confidence by'the whole community,5 Next, take a case involving a secret' learned only in paternal denunciation. One novice reports to the master that another has been the aggressor in a mutual sin of unchastity: and, when ques-tioned by the master, the culprit admits it, but says that it is the only time he has ever sinned that way and he is really con- "trite. Moreover, the master cannot persuade him to go willingly. When the master questions the informant about his intention i.n making the denunciation, he finds that it was ~nly to help the. culprit to amend. Hence, if the informant is unwilling to let the master act judicially, the master's hands are tied. The reason is that the threat to the moral health of the community or third ¯ party does not seem to be great enough to excuse from the entrusted secret, especially since other means such as exhortation and separ-. ation of the two novices can still be tried to avert the danger. But," if it were clear that the delinquent were confirmed .in a habit of unchastity with others, then the master, after using all other means,. could resort to dismissal even without, the consent of the informant; fbr the d~iinquent wou'ld in this c~se ,constitute a proportionately gRevue des comrnunautes religieuses, III (1927), 104. 19 JOHN R. POST Review for Religious grave threat to the virtue and reputation of the community. Lastly, suppose the master of novices learns through the inspec-tion of mail that one of his charges just before vows has a debt of $10,000 hanging over his head. His creditor, knowing the situa-tion, writes in his letter that he. intends to "bleed" the order for the sum after vows. The master knows of thi~ debt only through this letter and is unable to persuade the novice to leave. What he to do? In this case to protect'the order from serious harm, the master could dismiss the novice, despite his pbjections; and, if it were necessary to forestall distrust, he might even make public the reason for dismissal. Such cases, thank God, are very rare among novices, due largely to the careful examinations they go through before entrance and also to the fact that, when there is just reason for dismissal, they can usually be made to see it. But, when a case like the above does arise, the master must remember that in choosing between two evils charity always obliges him to choose the less; the two evils here being the harm to be done to the community or to a third party by his concealment, and the harm to the culprit and the institution of fraternal correction, or manifestation, c;r inspection of mail by his revelation. NATURAL SECRETS When the ordinary religious observes an otherwise hidden fault of a fellow religious, he is bound in justice and charity not to re-veal it any more than is necessary, in this matter the novice master is not like an ordinary religious. As regards his novices, he is not only a spiritual director, but also a superior. If he should find a novice engaged in some prank, he would certainly not violate justice by giving him a public penance--though he might violate charity if a private admonition were sufficient for the correction of the cul-prit and for the preservation of religious discipline. Moreover, if the fault were sufficiently serious, he could proceed to the dismissal of the novice. Novices recognize from the beginning that the master ha~ this right, for they know that they are undergoing an exam-ination by the order. A~.d just as in a scholastic examination the results can be used by the teacher to dismiss a boy from school, without any violation of a natural secret, so too in the use of this knowledge which he. acquired from personal observation the master of novices has the widest scope in which to exercise his administrative powers. 2O January/, 19~6 QUESTIONS AND ANSWERS As regards externs, the novice master has the same basic duty as others to preserve the natural secret. Suppose, for instance, that he had dismissed a novice for some fault that he had observed, and later were asked by a school or a business firm for the cause of the boy:s dismissal. He would be violating a natural secret were he to reveal this fault if it would not unfit the boy for business or a stu-dent's career." The case, however, 'would be some'what different if be were asked to give testimonial letters concerning an ex-novice of his who wanted to enter another religious order, for here canon 545,n.4, makes it clear that merely natural secrets must give way to the needs of the Church. By the same token he is bound to re-veal the natural secrets of his novices when ordered to do so by his own higher superiors; and, if they are significant enough, he may include them in his regular report (can. 563). CONCLUSION To sum up, then, the master of novices must try to balance as best he can the interests of both the order and the individual soul; and, when any one of his obligations to secrecy seems to tie his hands~ let him take consolation from the words of the divine master, "Let them both grow until the harvest . . . lest while you gather up the cockle, you root up the wheat also together with it." ( ues ons ncl Answers I In my striving for perfection I find if difficult to submit to God's will by acceptlncj my superior as she. is. Her inconsistencies induce murmur-ing; her injustice provokes scandal; her partiality seems at times unbear-able. What can I do about it? Sister might do well to cultivate the habit, by reading, reflection, prayer, exercise, experience, etc., of seeing the whole matter through God's eyes, as it were, and then of feeling about it as that vision suggests. God sees the superior's imperfections, but also the good consequences that sooner or later He can draw out of them. He does not like her inconsistencies either; but He does not expect human beings to be completely qonsistent, and He will make those deviations conduce to greater good eventually. Similarly He views 21 :QUi~'~IONS"AND ANSWERS Review [oF Religio~s "her injustice and,partiality and disapproves of them; ~but they also ¯ ~re tolerated in His infinitely, wise a'nd holy' and potent designs. He '.knows that if sister shouldobey an imperfect superior perfectly, hei? ¯ obedience would be all the more excellent, and more to His glory, ,and especially to her own pleasure and gain and sanctity in" the end. She would also be more Christlike, with all the advantages ' that this likeness implies; Christ's obedience would haste been rela- ¯ tively commonplace had the powers, in His time been just what :they should have been. The malice and unreasonableness of His persecutors were His opportunity. : May. a religious, without seekln9 permission from his superior, offer his life to God, that is, volunteer to let God take his life for some special pur-pose? Whatever good there is in such an act is contained in loving God with all one's forces, or in trying to accomplish the will of God "on earth as in heaven," or in being perfect as one's heavenly Father is perfect; and very obviously no permission is required for such practices. Superiors do,not have authority in the matter of directly terminating life. Even if. they did, it would seem that one could go over their heads to the Supreme Superior of all superiors. --AUGUSTINE G. ELLARD, S.J. I am a sister and a supervisor on a hospital hall. I wanted to cjo to confession. A priest of one of the ~:ify parishes had finished visiting a patient, and I asked him to hear my confession in a vacant room on the hall and also told him that I could not !eave the hall becauseof a patient. who was in a critical condition and r.equired constant attention. He kept hesltatincj and asklncj me questions. Finally he said he could~not hear my .confession outside of the confessional in the chapel. Why couldn't he? This priest, since he had jurisdiction for the confessions of .other women in the diocese but did not antecedently possess special .jurisdiction over you/ a religious woman, is. termed the occasional confessor of religious women. He could hear your confession validly .only in the legitimate place. This is the only case in which place is required .for the t~alidity of a confession. The confessions of women, including religious women, may not be heard licitly ohtside of the .confessiorial except in a case of sickness or for other reasons of about ~the same or greater import than sickness (c.,910,' § 1). If such a :reason existed, he could have heard your .confes~i0fi bdth validly danuary, 1956 ' QUESTION'S AND ANSWERS and licitly outside the confes.sional, e.g., in the room you mentioned, Examples of such sufficient reasons are those of a sister'confined~ to her room by a sickness that is not serious, deafness, a sister who wishes to go to confession but cannot leave a patient, the probable danger of, a sacrilegious confession or Communion, the probable danger ofserious infamy or scandal, of gossip in the community, or shame or fear with regard to going to the confessional. The prudent and at least probable judgment of the confessor of the sufficiency of the reason for hearing the confession outside the confessional is all that is required. Regatillo gives what appears to me to be a very sound practical norm of action for a confessor when he is requested to hear the confession of a religious woman outside the confessional and the sufficiency of the reason is not immediately clear to him. The confessor is to indicate the prohibition of hearing a confession in this manner except for a sufficient reason; but, if the religious woman insists, he may hear the confession outside the confessional Any .precautions prescribed by the local ordinary on the confessions of women outside the confessional are to be observed. A sufficient reason existed in this case, and the confession could therefore have been heard both validly and licitly outside the confessional. Cf. Regatillo, Institutiones Iuris Canonici I, 355; De Carlo, De Religiosis, n. 172, 5 ; Genicot-Salsmans, Theoloqia Moralis, II, Ed. 17, n. 319. Our constitutions read: "In ~he practice of ordinary private corporal mortifications and penances, the sisters are to be directed by the judcj-ment of the confe'ssor alone; for external and public acts they must have also the permiss~ion of the local superior." I am a mother provincial, and I have a sister who is practicin9 private penance with the consent of her confessor in a way that is injurious to both her physical and mental health. Are her local superior and I simply powerless to do anything? This article of the constitutions is to be interpreted according to the practice of the Holy See in approving constitutions. Accord-ing to this practice, the permission of a confessgr or spiritual director suffices for private acts of mortification and penance. A superior may" also grant this permission. It is more prudent tb consult one,of these, especially for habitual acts; but permission is not o~ obliga-tion unless this obligationqs stated in the laws or customs of the institute. For public acts, i.e., those dbne in the presence of at least a good part of the community, such as the community penanc~'s ~ir~ the refectory, the permission of the superior is necessary, rail su- QUESTIONS AND ANSWERS Reoiew [or Religious periors also have the right of vigilance, over private acts and may moderate or forbid such acts, even if permitted by a confessor or spiritual director, when they create a danger to health, religious discipline, or the work of' the institute. All such matters of their very nature fall under the government of superiors, e.g., the care of the health of subjects is not only a right but also an obligation of superiors. --S-- In our community we have always recited the Little Office of the B.V. M. in English. Do we cjain ÷he indulcjences granted for the recitation of this office? The indulgences are listed in the Raccolta, n. 318. Can. 934, § 2, enacts that the indulgences attached to prayers may be acquired by .reciting the prayers in any language, provided the translation is approved. The Little Office of the B. V. M. is an exception to this norm, since the Holy See has declared that for the gaining of its indulgences this office must be recited in Latin when the reci-tation is public but may be recited in the-vernacular when the recitation is private. The Holy See has also defined private recita-tion in this matter. "The recitation of the Little Office of the B. V. M. is still to be held as private although done in common within the confines of the religious house and even when done behind closed doors in a church or public oratory attached to the house." (Acta Sanctae Sedis, 40 [1907], 187-88.) The common or choral reci-tation of the office by sisters is within the confines of the religious house, since it is done in the semipublic oratories of convents. If exceptionally a community Should recite this office in a church or public oratory attached to the house, the doors are considered open only when the public is admitted generally or indiscriminately, not when a few determined persons are allowed to enter. There-fore, not only the individual but also the choral recitation of this office in the houses of religious is to be considered~ private and, if done in the vernacular, sufficient for the indulgences in either case. Cf. Beringer-Steinen-Maz0yer, Les Indulgences, I, nn. 206, 756; De Angelis, De Indulgentiis, n. 92; Heylen, De Indulgentiis, 67; Battandier, Guide Canonique, n. 272. Is ÷here any law of the Church on the name or title of a religious insfi-÷ufe? This legislation is found in can. 492, § 3, which prescribes that 24 danuar~l, 1956 QUESTIONS AND ANSWERS new.congregations may not assufiae the name of any religious in-stitute already established. It is sufficient that the flame be somewhat different, e.g., Sisters of St. 3oseph of Cluny, Sisters of St. doseph of Newark. The title or name of the congregation may be taken from the attributes of God, the mysteries of our holy faith, some feast of our Lord or the Blessed Virgin, the saints, or the special purpose of the congregation. The name should not be artificial nor should it express or imply any form of devotion that is not ap-proved by the Holy See. If I may presume to add anything to this law and practice of the Holy See, I would suggest that the name should not be unduly long; and I would emphasize this suggestion even more for the names of provinces and especially of houses. --7-- Is it a fact that the Holy See stated that sisters are not to lower their veil before or after receiving Holy Communion.7 Some communities have stopped doing so; others still do it. I have no knowledge of a published statement of the Holy See directly on this practice. The S. Congregation of the Sacraments did say: "When Holy Communion is being received, all those things are to be avoided which create greater difficulty for a young person who wishes to abstain from Holy Communion, but in such a way that his abstinence will not be noticed" (Bouscaren: Canon Lau; Di- _ gest, II, 214). It can also be held that the same principle is implicit throughout this instruction, which treats of daily Communion and the precautions to be taken against abuse. It would be more in the spirit of this instruction to eliminate the practice. Even prescinding from the instruction, I see no good reason for the retention of the practice. It is also the cause at least of wonderment to small children when done in church. The same lack of reasonableness is to be predicated of an unna.turally slow pace in approaching the altar rail or in returning to one's place in the chapel or church. Like the rubrics of the Church, other practices should express reverence in a natural manner. --8-- I am a religious priest and,regularly say the community Mass in a con-vent. May I never say the Masses of my own institute? Convent chapels are semipublic oratories? The principal semi-public oratory is tba~ used for the religious exercises, especially for the hearing of Mass; other chapels of the house are secondary semi- 25 QUESTIONS AND ANSWERS Review [or Religiou's public oratories.~ The generhl principle is that the place of celebra-tion determines'the ordo (calendar) to be followed for Mass. Tl~erefore: 1. In the principal semipublic oratory, every priest, diocesan or .re!igious, must say Mass according to the ordo of such an oratory, whether the ordo is diocesan or proper to the religious, e.g., "Fran-ciscan,~ Dominican. a. The priest does not follow the special rites or ceremonies of religious orders or churches, e.g., a diocesan priest does not me, ntion the founder of a religiotis order in the Cont~iteor. b. The. priest may celebrate votive or requiem Masses permitted by the ordo of such an oratory, even though not permitted by his own ordo. ' c. When the ordo of such an oratory permits private votive Masses, the priest may say the Mass of the office of the day for such a place or a votive or requiem Mass, and in all of these he follows the ordo of the oratory in every respect. Or he may say the Mass that cor-responds to his own ordo, even if only that of a blessed. If he does so, he is to say the Mass in the festal, not votive,' manner, i.e., he says the Mass exactly as he would in his own church or oratory. d. The norm for a principal semipublic oratory applies also to a church "and a public oratory. 2. In the secondary semipublic oratories, a priest may.but is not obliged to follow the ordo of the place of celebration. He may and ,prefer.ably should follow his own ordo, because of the general prin-ciple that the Mass should as far as possible be in conformity with the office. 'This norm also applies to Mass in a private oratory and outside a sacred place. ~ 3. The ordo of the oratories of lay religious is the diocesan i~rdo except in the case of religious who have a proper ordo. In practice a proper ordo will be found only iia the second'order of nuns or third orders of c0ngreg.ation~s of sisters. These have the right of following the ordo of the first order of religious men to which they are affili-ated, e.g., Franciscan sisters have the right of following the ordo of the first order.of Franciscan men to which they are affiliated. An in-stitute subject to the diocesan ordo may also have some special Masses granted by the Holy See. 4.~. Cardinais and bishops have the privilege of following' tl~eir own ordo wherever they celebrate. Cf. J'. O'Connell, The Celebra-tion of Mass, 58-61.'---JOSEPH F. GALLEN, S.J. 26 I:'orbidden;,. Re ding John J. Lynch~ S.J. | T-is 'rather cor~mon knowledge among Catholics that ~l~e Church | forbids her subjects to read certain publications which she~judges would be a threat to faith or morals. Beyond ~hat g~neric"facL however, common knowledge does not proceed very far--partiall~r, perhaps, because more detailed information is not a practical ne-cessitj" for the many who prefer to restrict their reading either 'to professedly Catholic publications or to literature which di3es not verge ori religious or moral matters. But it' is also unfortunately true that more detailed information on this law is not abundantly available except.in technical manuals of moral theology and canon law. Hence even those who desire or need enlightenment find them-selves under a certain handicap for want of informationa.l sources. It is primarily for that latter reason that the subject appears, ap-propriate to REVIEW FOR RELIGIOUS. Even though limitations of spac? forbid an exhaustive treatment here, it may be possible to in-dicate the basic principles involved and to recommend for more de-tailed explanation other authors' whose writings in the vernacular are conveniently available. THE CHURCH'S RIGHT TO CONTROL RI~ADING The point of departi~re for any intelligent discussion of this question is the established fact that the Church is divinely instituted, vested with full right to teach authoritatively and to rule in matters religious, and charged byr Christ Himself with the responsibility .~f safeguarding Catholic faith and morals. In these matters the voice of the Church is the voice of God and commands the same unques- [ioning obedience which is due the word of God Himself. Further-more-- a psychological fact which any rational individual must ad-mit- the printed word Can and does exert on the human intellect .and will a most powerful influence for both good and evil and is, consequently, a mighty factor in the preservation or destruction of personal faith and morals. Hence in all reasonableness we must concede the right and duty of the Church, if she deems .it necessary, to exercise a measure of control over the literature we read anal to establish norms and regulations whereby the faith and morals" of her subjects will be protected from what we might call "subversive influences," Neither her authority in that sphere, nor her essential 'wisdom in the exercise of that authority, Can be yalidly que~tioned :2,7 JOHN J. LYNCH Reoieto for Religious once we face the fact of her institution by God as official and ~iuthori-tative custodian of faith and morals. THE FACT OF LEGISLATIVE CONTROL In wl~at specific form has the Church de facto expressed her pro-hibition against certain publications? For practical purp6ses we need consider but two documents, one of which restricts itself to the presentation of generic norms which proscribe certain type~ of lit-erature, while the other provides an enumeration of individual works and authors condemned specifically by name. This latter chtalogue is commonly referred to as the Index of Forbidden Books; the more generic legislation is derived from Book III of the Code of Canon Law. They are not mutually independent and unrelated documents, as we shall see. And while the Index is probably more fa~iliar to most people as a term of reference, it is the Code upon which we lean more heavily when decision must be made regarding our freedom to read certain literature. Occasionally, too, local bishops will exercise their rightful .author-ity in this regard and forbid their respective subjects to read ~pecified publications. But since legislation of that kind is invariably brought to the immediate attention of the faithful from the puligit and through the diocesan press, there is no need here to delay; on that species of prohibition. I. THE CODE OF CANON LAW: CANON 1399 Canon 1399 lists eleven different categories of writing:which, regardless of title or specific author, are automatically classified as forbidden reading for Catholics. It is in no sense of the Word an arbitrary catalogue. Divine natural law obliges us to avoid;'if p?s-sible, reading anything which may imperil our faith or mortal recti.- tude. The Church in her wisdom and from the wealth of her ex-perience has merely specified that fundamental obligation of natural law by indicating in this canon various classes of literature, which are most likely to pose such a threat to the average individual. Since her norm of judgment is the ~iverage Catholic, and because We must concede the existence of Catholics who are above average in knowl-edge. of their faith and in unswerving adherence to its priniiples, a word about the pectiliar nature of this law is necessary for° an ap-preciation of its obliging force~ Law Foundbd on Presumption The law enunciated in cani3n 1399 is of the type which is said 28 danuar~t; 1956 FORBIDDEN READING to be: ;"founded on presumption." In other words, the legislator of such .a statute first, with good reason, pre.sumes something to be uhiversally true, and then on the basis of that presumption formu-lates a~ law. Presumption of Fact What is presumed as true may be a fact of some sort, on the assumed universality of which legislation is thereupon enacted. If, however, the fact presumed can be disproVen as non-existent in a given:instance, the law based thereon collapses in a sense, i.e., does not oblige in that individual case. Such laws are said to be "founded on a l/resumption of fact"; and it is the intention of the legislator that his law shall not bind in isolated instances where by way of excepiion the presumed fact is not verified. Perhaps an example will further clarify this notion of presump-tion of fact. Civil law, for instance, holds a husband legally re-sponsible for the support of all children born to his wife during their marriage. The fact on which that legislation is founded is the presumption, valid in the .great majority of cases, that a husband is the~natural father of his wife's children. If, however, contrary fact can be proven in an individual case, the law yields to that fact and dbes not apply in that particular instance. Presumption of Universal Danger Another presumption upon which legislation is sometimes based is that. of universal danger, i.e., danger to the common welfare. In this case a certain act is reasonably presumed to be usuaIl~t dangerous to the.individual and as alu~a~s a threat to the common good if not contr'o]led by law in each individual case. Hence the presumption, .or basis for the law, is twofold and directly regards not only the welfare of individual subjects but also and primarily the good of the commhnity as a whole. For this latter reason such a law does not cease t}o oblige the individual even if it should be apparerlt that the act in question threatens no danger to him personally; for there remains the further presumption that to allow individuals to make that d_ecislon for themselves will inevitably pose a threat to the common good. Thus, for example, in time of severe drought some communities 'have" f6rbidden all outdoor fires unless in each case a permit be first obtalne~t from local civil authority. Such a prohibition is founded on the'presumption tbat'danger to the community cannot be effec-tively ~iverted.if private citizens are allowed to decide for themselves ,JOHN J. LYNCH Review for Religious what precautions are adequate against ,uncontrolled conflagration. Hence civil authority reserves that decision to itself; and despite the acttial efficacy of .the precautions he may take, the individual will be held liable if he lights a fire without the permission of proper officials. For the primary presumption still obtains, viz., that it is dangerous to the common good to permit individuals to make such decisions for themselves without supervision. Presumption of Canon 1399 It is on this latter presumption of universal danger that the Church bases her law prohibiting certain types of literature. She recognizes th'e fact that the general faith will be imperiled if in-dividuals are allowed to judge for themselves in these cases the presence or absence of personal danger. Consequently this law is intended to oblige even those who have every reason to believe that the reading of° certain forbidden matter will not in the least affect their personal faith or morals. In the interests of the common good, the .right to pass judgment on that question is legitimately reserved by the Church to herself. Hence this positive law of the Church is designedly more strict than is natural .law on the same point. Natural law demands only that one avoid reading what is dangerous to oneself; positive Church law requires that we refrain also from reading whatever ecclesiastical~ authority }~as judged to be a threat to the faith and morals of the average individual. Natural law obliges us to consult only our own consciences when choosing matter for reading: ecclesiastical" law en-joins the further obligation of consulting designated superiors be-fore we can consider ourselves free to read certain publications. Extent of Canon 1399 Before summarizing the content of canon 1399, a brief word about the extent of the prohibition which this law expresses: 1. With the ~xception of cardinals, bishops, and several other .high ecclesiastics, all Catholics--clergy and religious as well as the laity--are subject to the Church's law of forbidden reading. It .goes without saying, of course, that no exemption from this positive law can ever imply freedom from natural law. Regardless of dig-nity or rank, no individual can escape the obligation of avoiding as far as possible any reading which may de facto constitute for him personally a threat to faith or morals., It is only within that area where positive precept is more stringent than naturhl law that cer-tain Church dignitaries are declared immune from obligation, on ,]anuarg. 1956 FORBIDDEN READING the legitimate presumption th~at the same exceptional qualities which merit them their rank will likewise guarantee their immunity from the harmful effects of the literature condemned by ecclesiastical law. 2. We are forbidden not only to read certain literature, but also to publish it, retain it in our possession, translate it into other lan-guages, and to sell or in any other way make it available to others. 3.' Although the Code speaks primarily of books, it also ex-plicitly states that, unless the contrary is evident in a particular con-text, the law applies equally to all manner of publications, whether booklets, pamphlets, magazine or newspaper articles, if these are substantially concerned with forbidden matter. 4. The prohibitions of this canon, although binding gravely in conscience, are not absolute in the sense of removing certain pub-lications irrevocably beyond the reach of Catholic readers. As will be seen later,in more detail, permission ~o read such matter can and will be granted v~hen reasonable request is made of proper authority. With these preliminary notions in mind, a glar)ce at the stipu-lations of canon 1399 will provide at least .a bird's-eye view of the literary area proscribed by ecclesiastical law. To cope with all the legal ramifications of this complex statute would require that genius and skill peculiar to professional canonists, and for that reason the following survey is purposely restricted to the larger aspects of the law. _As a possibl~ aid to memory,, the exact order of the canon itself has been abandoned in an effort to gather its finer and more elusive details within several broader categories. The four divisions actually employed here are still not completely distinct from one another; but they may serve to fix more firmly in the reader's memory the various types of literature which the Church considers most likely to exert a malign influence on the faithful. A. SCRIPTURAl. WORKS Since the Bible is the word Of God Himself and one of the au-thentic sources whence we derive the revealed truths of our Catholic faith, the Church has always exercised extreme vigilance over the exact letter and substance of Holy Scripture. As the constituted guardian of divine revelation, she insists therefore upon her exclusive right to pass judgment on any publication which attempts to repro-duce or to interpret the Bible either in whole or in part. Scientific scholarship, if exercised competently, objectively, and without bias, will never contradict the scriptural teaching of the Church. But there always remains the possibility 'that unscientific methods, re- 31 JOHN J. LYNCH Re~ieu~ /:or Religious ligious prejudice, or misdirected piety will adulterate the conclu-sions of biblical scholars; and for that reason the Church has re-stricted our right to read two classes of scriptural writings: 1. All editions of Hol~l Scripture which are compiled or pub-fished bq non-Catholics, whether these editions be presented in the language in which they were originally written or in ancient or modern translation--in other words, any non-Catholic edition of the Bible or parts of the Bible. The example which comes immediately to mind is the King James version so commonly used by English-speaking non-Catholics. But those who have engaged in biblical studies may also recognize such standard works as Rudolph Kittel's Biblia Hebraica, Psalterium duxta Hebraeos Hieronqmi by J. M. Harder, Nestle's Novum Testa-mentum, and Chicago Bible, an English translation of old and new testament compiled by a group of scholars under the auspices of the University of Chicago. All of these, as well as numerous others, are automatically ban'ned for most Catholics. By way of excep-tion, however, the Code allows anyone who is engaged in the study of either theology or scripture to make use of such works, provided that they are known to be faithful and integral reproductions of the original and to contain nothing by way of annotation or com-mentary which impugns Catholic dogma. Under the same. proviso, this privilege also applies to vernacular translations by Catholics when the reason for their prohibition (as explained immediately below) is failure to obtain proper ecclesiastical approbation. 2. Scriptural publications of Catholic authors who have failed to observe ecclesiastical law regarding prior censorship. (One infallible sign of proper compliance with this requirement is the "Imprimatur" usually found at the beginning of religious books published by Catholics.) Hence (a) Catholic editions of the Bible text, either in the original language or in translation, 0s well as (b) annotations'and commentaries on Sacred Scripture, are prohibited reading if they are published even by Catholics without proper ecclesiastical examination and approval. B. WRITINGS DESTRUCTIVE OF FAITH Faith can be understood here in a rather broad sense so as to include firm intellectual a~sent not only to those dogmas solemnly defined or traditionally taught by the Church as having been re-. vealed by God, but also to what may be termed the rational pre-rqquisites of faith in that strict, sense and the corollaries which 32 danuarg, 1956 FORBIDDEN READING logically follow from revealed truth. In order to protect effectively the hard core of revelation, the Church must also guard that peri-phery of truths and principles which, although not divinely revealed or solemnly defined, are inextricably linked to the deposit of faith. It is with this realization that canon 1399 goes into some detail-- repetitiously perhaps in spots--as to the various species of writing forbidden as pernicious to Catholic faith. 1. Writings which attack or ridicule Catholic dogma, or which impugn religion in general, or attempt in ang wag to destro~t the fun~aments of religion; publicatiohs which defend heresy, schism. or other errors condemned by the Holy See. This synthesis of several sections of canon 1399 comprises two generic methods of discrediting the Catholic faith: the direct attack whereby the positive teaching of the Church is allegedly refuted and claimed to-be false: and the more indirect approach whereby, even perhaps without explicit reference to Catholicism, certain false doctrines are defended as ostensibl~ true. The threat in. either case is reductively the same: either to wean the reader away from the true faith through disparagement or specious argu-ments or to attract him intellectually or emotionally to beliefs which a're opposed to Catholicism. When the Code speaks of attacking theological truth or of de-fending doctrinal error, it implies a deliberate, methodical, concen-trated attempt to prove or disprove by means of formal argumen-tation. Isolated and gratuitous assertions, incidental to some other predominant and harmless theme, would not suffice to verify this notion. So too of ridicule, calumny, skepticism, and the like. If such aspersions be persistent and an integral part of an author's manifest thesis they can go a long way towards creating doubt about re-ligious truth and can be sufficient to classify a work as condemned, under this heading. Heresy in theological terminology is th~ pertinacious denial or doubt of any truth which has been infallibly declared by the Church to be part of divine revelation. It is the rejection therefore of dogma, which signifies any doctrine so taught by the Church. By schism is meant the refusal of one already baptized to submit to the 're-ligious authority of the pope or to live in communion with the members of the Church who do acknowledge his authority. Over and above these more blatant defiances of ecclesiastical teaching authority, there-are other doctrines which may not di, rec~ly contradict the above-mentioned truths but which are at 33 JOHN J. LYNCH Reuieto /:or- Rel~'gious variance with certain other theological pri~nciples or conclusions which the Church defends as certainly true even though not con-tained perhaps in the direct revelation of Christ. Denial of these truths is condemned by the Church not as heretical but as false or erroneous. The :undaments o: religion are natural or supernatural order, on ness of our faith. Among these last and immortality of the human soul, bility and fact of divine revelation, all those truths, whether of the which depends the reasonable-' would be classified the existence freedom of the will, the possi-the possibility of miracles, 'etc. Many of these "fundaments" have also been explicitly taught by the Church, and hence would qualify also under one or another of the preceding paragraphs. With regard to the writings of the ver~f early heretics, theologians generally admit that they are not at the present time forbidden ab-solutely, at least to those who are well versed in the faith. The reason they alleg~e i~ that the errors defended in these ancient works have long since been universally recognized as false and no longer pose a common threat of perversion. Hence such collections as those of Labbe or Migne may be kept intact and their contents read~ even though they do include some of the heretical writings of ¯ Tertullian, Eusebius, Origen, and others. The same exception, however, cannot be made for the works of Luther, Calvi;a, Jansenius, and their like, whose errors are still extant and still dangerous. There is no need, however, to return to the Reformation era to find examples of literature which explicitly attacks theologidal truth or defends theological error. Unfortunately such writing is all too plentiful even in our own day. Christ and Catholicism, for instance, by Frederick A. Johnson .(New York: .Vintage Press,. 1954) openly attacks Catholicism both by specious argument and by ridicule, defends heresy, and propounds lesser theological errors. Its subtitle, "A Provocative and Trenchant Analysis of the Real Re-lationship Between Christianity and the Roman Catholic Church," is an accurate portents°of "its theme insofar as the real relationship alleged is one of substantial incompatibility rather than that of identity. Teachings explicitly attacked in one way'or another in-clude the apostolic origin and succession of popes, the indefecti-bility of Church doctrine, devotion to our Lady, the divine insti-tution of the Mass and the dogma of transubstantiation, the effi-cacy of indulgences and sacramentals, and th~ divine origin of all the sacraments except baptism and the Eucharist. (It is significant, 34' FORBIDDEN READING incidentally,, to note on the dust jacket that rMr. Johnson's education ?and background are technblogical, his occupation that of engineeri'ng, his "interest" philosophy, and his hobbies travel, music, and photo-l~ raphy.) Less crude in its presentation, and motivated perhaps by the best of misdirected intentions, is Giovanni Papini's The Devil (New York: E. P. Dutton ~ Co., 1954), originally published in Italian as II Diabolo. The heretical thesis which the author strives to estab-lish is that God's love and mercy are incompatible with an eternal hell and that we may therefore hope that eventually even Satan may achieve salvation and hell cease to exist. 2. Writings which disparage divine worship, which seek to undermine ecclesiastical discipline, or which deliber'ately and per-slstently hold up to opprobrium the ecclesiastical hie?arch~l or the, clerical or religious state. Although literature of this kind is not aimed so directly against the content of Catholic doctrine, it is not difficult to appreciate the pernicious effect it could have on the practical, faith of individuals. Divine worship in this context is not restricted to the Catholic liturgy, but includes any act by which man~ honors God in Him-self or in His saints. As in the previous category, it is not a ques-tion here of occasional disparaging remarks which may be made in passing by an author, but rather of the calculated development at some notable length of an opprobrious theme. Nor is it sufficien.t that individual clerics, religious, or members of the hierarchy be the, target of such abuse. In order to classify as prohibited reading, attack of this kind must ordinarily be leveled against those states of llfe as ecclesiastical institutions. Christ and Catholicism, mentioned just previously in another context, also amply exemplifies almost every" detail of this category of writing. The chapters on the Mass, the priesthood, the sacra-ments-- to cite only the more blatant--are intent upon establishing our liturgy as farcical pantomime and our priesthood .and hierarchy as sacrilegious usurpations of divine power and authority. 3. Those writings of non-Catholics which treat formally" of religion, unless, it be clear that they contain nothing contrary to Catholic faith. There is every good reason to ,hold suspect the religious writings of. non-Catholics,'wl~ose very segregation from the Church is ~itse.lf religious error and creates strong presumption against, the "cukacy' of ahy religious doctrine they would hold' 6r fea~h. Heh~e 3'5 JOHN J. LYNCH Reoieto t:or Religious the Church forbids us to read such literature until we have ascer-tained through some reliable source that it contains no substantial theological error. Religion must here be understood in" its widest sense as includ-ing whatever pertains to the relation of man to God. Every branch of theology, therefore, is included--dogma,, morals,~ ascetics, scrip-ture, litu'rgy, Church history, canon law, etc. Even many philosophi-cal works would fall into this category insofar as they deal either with God as an absolute entity or with rational creatures in their relationship to God, or treat of those truths and principles which constitute the rational foundations of religion. By "formal" treatment (the Code uses the term ex professo) is meant something substantially more than religious obiter dicta. Either the entire work, or a notable section of it, must .designedly express religious beliefs substantiated by logical evidence, real or alleged. The author must, in other words, be intent upon discussing a religious topic at sufficient length to establish the particular pro-position or thesis which he has in mind. Confronted with such a publication, a Catholic is forbidden to read it unless he is certain that it contains nothing of any import-ance contrary to Catholic faith. That assurance should ordinarily be sought from someone who is competent to judge such matters and who is familiar with the content of the work in question. If it should, for instance, be recommended in established Catholic papers or periodicals, one may safely assume that the permissive clause of the canon has been verified. To cite but one possible example of this type of literature, C. S. Lewis, an Anglican, has written both The Screwtape ,Letters and Beyond Personality. Both unquestionably deal formally with matters religious, and hence qualify immediately as suspect under this pro-vision of the law. (3ust a little reflection will suffice to make one realize how comprehensive this phase of the law is.) Since Catholic scholars seem to have found nothing substantially erroneous in the former, it may legitimately be read. But several theologians have pointed 6ut dangerous theological errors in Beyond Personalit~ , and hence this book may not be read ,without permission from proper authority. C. WRITINGS CONTRARY TO MORALS It should be noted at the very beginning that immorality is a term. which is not properly restricted to violations of the Sixth 36 Januar~l, 1956 FORBIDDEN READING Commandment. Impurity is but one species of immorality, a word which is intended to include also whatever else is contrary to the law of God. Therefore, when canon 1399 proscribes writings which of set purpose attack good morals, it is stating a universal prohibition against publications which would tend to weaken us in any virtue or to attract us to any vice. Later on in the same canon explicit mention is made of several species of immoral themes. But since that comparatively brief catalogue does not pretend to be ex-haustive, it is the universal principle which constitutes the ultimate norm in every case. As was true in matters of faith, so too on this question of moral-ity the prohibition is intended to affect publications which make a calculated and determined effort to discredit virtue or to justify or commend what is objectively evil. Whethe~ directly by means of formal argumentation, or indirectly by recourse to derisive tactics, this impugning of virtue or commendation of vice which is pro-scribed must be something substantially more than passing reference. To be included under this automatic prohibition, it must Constitute at least a notable part of the author's intention and literary~'effort. One such book which would seem certainly to fulfill those requirements would be Joseph F. Fletcher's Morals and Medicine (Princeton University Press, 1954), devoted almost entirely to a defense of contraception, artificial insemination, sterilization, and° euthanasia, and to an attempted refutation of Church teaching in that regard. Much of the literature of the Planned Parenthood As-sociation would likewise fall under this ban, since its avowed pur-pose is to counsel birth control as a means of limiting the size of families. Judging merely from pre-publication announcements, ad-vertisements, and reviews, The Stor~/ of Margaret Sanger by Law-rence Lader (New York: Doubleday, 1955) is likely to qualify as forbidden reading under this beading since apparently it is laudatory of the morality which she advocates. Among the immoralities which are more commonly defended or recommended in writing, and which the Code therefore sees fit to mention specifically by name, are (a) (~arious forms of super-stition such as fortunetelling, divination, black magic, spiritism, and the like; (b) dueling, suicide, and divorce; (c) Freemasonry and similar societies, if they are represented as beneficial organizations harmless to Church and state; and finally (d) obscenity, which may be defined as the deliberate presentation of sexually-exciting matter in a manner calculated to be attractive and to stimulate the sexual 37 JOHN,~J., LYNCH Review for, Religiou, s passions. It should be noted that. in every one of the ab6ve cases, and especially in the last, it is not the subject matter which merits condemnation, but the manner in which the subject is treated. '!t is the impugning of virtue and the approval of vice which consti-tute, the threat to individual, good morals. D. PUBLICATIONS LACKING ECCLESIASTICAL .APPROVAL a) Absolutd Prohibitions Canon i385 6f the Code enumerates various classes of litera-ture which Catholic authors-~even laymen--are obliged to submit for diocesan cen.s.orship and approval prior to publication. The list is quite comprehensive, but may be summed up briefly in the con-cluding words of the canon itself as including "all writings which contain anything having a notable bearing on religion or morals." Should it happen that an author fail to comply with this law and publish without approbation a type of work specified therein, it does not.necessarily follow in every case that the publication is forbidden reading for .Catholics. But there are some such works whose very lack of approval does alone suffice to forbid their being read. One such category has already been mentioned, above under "Script~ural Works" (A, 2). The remain~der comprise books and PamPhlets u;bich relate neu; apparitions, revelations, visions, prophe-cies, or miracles, or u~hich introduce novel devotions. The Church by no means denies the possibility of the miraculous even in our own day, nor is her attitude towards them one of skep-ticism~ But she knows from experience the wisdom of extreme cau-tion in these matters because of the dangers to genuine faith involved. in the excess which is credulity. Many, too,.are easily led astray by the novel and the bizarre in the matter o.f devotions. Hence the Church rightfully reserves to herself the prerogative of examining for theological flaw any innovations in this regard and is unwilling that the faithful be exposed to ~heir influence until her own scrutiny has proven them sound. The lack of an Imprimatur on books and pamphlets of this kind is an indication that they are forbidden reading. Regardless of their actual conformity or disconformity with historical and theological fact, they inay not be read unless officially approved. b) Conditioned Prohibitions This final category includes three' classes of publications which likewise ,call for ecclesiastical approval, but which, if published in 38 danuaG/, 1956 FORBIDDEN READING neglect of that requirement, are proscribed only in the e, vent that their content is at variance with Church teaching on the subject. Strictly speaking, much of this type of forbidden literature is al-r~ eady included implicitly under the prohibition of works which are dangerous to faith. But because the Code sees fit to specify, s6 too shall we. 1) . Editions of approved liturgical books in which ang alter-ations have been made. in such a wag that theft no longer agree with the authentic editions approved b~t the Hol~l See. Our liturgical books include the Roman Missal and. Breviary, with both of which the Roman Martyrology and the Roman Calendar or Ordo are closely relatedi the Roman Ritual and the Memoriale Rituum which contain the prayers and ceremonies used in the administration of the Sacra-ments and in other liturgical functions; the Roman Pontifical and the Ceremonial of Bishops, both concerned with episcopal functions only; and the Roman Ceremonial which contains exclusively pap_~l ceremonies. All new editions,of these books must conform exactly tO the authentic texts published by the Holy See, else they are pro~ hibited. 2) Works which spread a knowledge of indulgences which are spurious or which have been condemned or revoked bg the Holg See. An indulgence is termed spurious if it was never validly granted; condemned, if because of abuses it was proscribed by the Holy See; revoked, if withdrawn or abrogated for some reason after having been once granted. The best way to ascertain the authenticity of indulgences is by reference to the Encbiridion Indulgentiarum: Preces et Pia Opera, which is the official collection of .indulgenced prayers and good works. 3) Pictures, printed in ang manner whaisoever, of our Lord," the Blessed Mother~ the angels, the saints and other servants of God, . if tbeq depart From the s#irit and decrees of the Church. The reason for this precaution was expressed long ago by the Council of Trent when that synod pointed out that many of the faithful acquire and retain knowledge of the faith largely through artistic' representa-tions of its mysteries. Therefore the Council warned explicitly against all images which would be suggestive of false doctrine and occasion theological" error. Thus, for example, we are expres,sly forbidden by the Holy Office to represent our Lady in priestly vest-ments, or the Holy Spirit in human form, either with the Father and Son or separately. This preseht legislation concerns only pictures Which are ira- 39 JOHN J. LYNCH Review for Religious pressed upon paper or other material suitable for publication and does not explicitly refer to medals, statues, paintings, and the like. "Since the Code~ in this section is-cohcerned with;printed publicatio.ns, it.does not legislate here with regard to other sacred images. But by its omission it does not mean to deny that those other representa-tions of religious mysteries can also be at variance with the spirit and letter of Catholic doctrine. A previous canon (1279) covers that more generic question quite thoroughly. Perhaps this outline of Code legislation could best be concluded with a practical suggestion. A good rule to follow when in doubt about a publication of manifestly religious nature is to look for an Imprimatur or some other indication of episcopal approbation. If it is'lacking, and, if one is without permission to read forbidden matter, a prudent conscience will advise inquiry before proceeding further. II. THE INDI~X OF FORBIDDI~N BOOKS It may now be apparent how all-inclusive is canon 1399 in its specification of dangerous reading, and why therefore the Index of Forbidden Books is really of secondary importance as a guiding norm. The Index in substance is merely an alphabetical catalogue-- according to authors where possible, otherwise according to titles-- of those works which Rome has seen fit to proscribe by name. As a rule titles explicitly contained in the Indix are already implicitly condemned by virtue of Code legislation; but only a small fraction of those works to which canon 1399 would apply will be accorded express mention in the Index. It would be manifestly impossible .for the Holy See to know of the existence, to say not.hing of the detailed content, of every potentially dangerous work which is published--and equally impossible to catalogue them in manage-able form even if they could be known. Hence, the Index is reserved for those works which are of special importance, either because of their subject matter or because of circumstances of time, current trends, or ingenious approximation of error to truth. But the very great majority of writings which are correctly classified as forbidden owe their condemnation to the generic provisions of canon law alone. Placing a book on the Index is now usually a matter of underlining an already established fact. Since 1897, when under Leo XIII our modern version was first cdmpiled, the Index has gone through a number of editions, the latest in 1948. Interim condemnations are published periodically in 40 January/, 1956 FORBIDDEN READING Acta Apbstolicae Sedis, and these addenda are eventually incorpor-ated into the next subsequent Index whe.never a new edition seems feasible. Occasionally certain titles are deleted when, for example, a book for one reason or another is judged no longer to represent a serious 'universal danger. It would appear to be the present policy of the Church to restrict to a minimum the number of books explicitly condemned and to depend more and more on the general principles of canon law to guide the faithful in their recognition of forbidden matter. The 1948 Index contains 4126 entries, of which only 255 represent publications of this twentieth century. For the benefit of those who may have occasion t~ consult the Index itself, a brief explanation of some of its terminology and sym-bols may be helpful. Solemn Condemnations. Usually it is the Congregation of the Holy Office which now issues the condemnation of specific publica-tions. In exceptional cases, however, the pope himself may choose to exercise his supreme authority and proscribe a work in even more solemn manner. These papal pronouncements are rare (only 144 books in the current Index are so condemned) and are reserved for writings which are considered to be especially pernicious. In the Index books proscribed by solemn papal decree are designated by the cross or dagger (~'). The practical significance of that symbol is to remind us of the severe penalty of excommunication imposed by the Church on those who would knowingly read or retain such literature without permission. Conditioned Condemnations. The asterisk (*) which precedes other titles in the Index indicates that the work is condemned in its present form until it be corrected ("donec corrigatur"). The im-plication, therefore, is that its errors are not beyond correction and that a revised edition, if submitted to proper ecclesiastical authority, may yet merit approval. The work in its original condemned form, however, remains forbidden reading. "Opera Omnia." Since 1940 the preface of the Index contains this authentic explanation of the phrase opera omnia whereby the complete works ~)f some authors are now prohibited: "According to practice' now in force, when the complete works of a certain writer are condemned by the term topera omnia," each and every work of that author is to be understood as proscribed without exception." If an author has shown himself to be invariably at odds with faith or morals, this sweeping condemnation of all his works is employed is the surest means of protecting the unwary. 41 JOHN J. LYNC~ Review [or Religious "'Omnes Fabulae Amatoriae." This phrase is appended to the names of eleven, of the novelists listed in the Index (Stendhal, George .Sand, 'Balzac, Eugene Sue, Alexandre Dumas, St. and Jr:, Champ-fleury, Faydeau, Henry Murger, Frederic Souli~, and Gabriele O'An-nunzio). In literal English translation the expression dmerges as "all love stories," a concept which is perhaps more accurately ex-pressed by the circumlocution, "all novels which emphasize impure love.'.' In the absence of any authentic interpretation, commentators generally have attached that meaning to the term as employed in the Index. For practical purposes, the expression is intended to ban literally all the novels of the author named but allows for.the pos-sible exception of one or several which may be shown certainly not to offend against canon 1399 and which ha'~e not been forbidden by particular decree. It is, therefore, a somewhat less rigorous con-demnation tba~a is the term .opera omnia which prohibits all an author's works without qualification. Needless to say, however, it ,creates a very strong presumption against any novel which that author may have written and commands extreme caution on the part of any would-be reader. Actually the great majority of titles contained in the Index would be of very little interest to the average modern reader nor does their proscription in any notable way restrict the literary preferences of most. Usually it is only the professional scholars in a specialized field who would have either need or desire to consult them. Another popular misconception of the Church's prohibition of books is that it concerns itself chiefly, if not exclusively, with the risqu~ and the salacious. That impression, too, bespeaks almost total unfamiliarity with both Code .legislation and the Index. As a preferred list of potential best sellers, our ecclesiastical blacklist would be a colossal hoax. III. PERMISSION q~O READ CONDEMNED LITERATURE As has already been mentioned, ecclesiastical legislation against the reading of certain literature is not so absolute as to deny Catho-lics without exception all access to publications condemned by posi-tive law. The Church's prohibition in this regard is basically a pre-cautionary measure intended to restrict such reading to thdse only who in bet judgment can safely survive exposure without con-tamination. Hence she reserves to" herself, in the person' of qualified delegates, the exclusive right to judge each individual case. But she expressly provides for those circumstafices in which neces~sity or genuine utility requires the reading of condemned matter by those 42 ,lanuary, 1956 o FORBIDDEN READING whose ~olidity of faith and morals she recognizes as promising them immunity from harm.' Ordinary Permission ' .Except in the case of exempt clerical institutes, whose members may refer this matter to thei'r major superior, it is one's local ordinary alone who may grant religious, either directly or through a delegate, permission to read literature which" is otherwise forbidden. (It need scarcely be said that the Holy See could likewise grant the same per-mission.) But unless he has acquired special powers beyond tboze which the Code concedes him directly, the ordinary may give that permission only to specified individuals and for specified titles. He would not, for example, allow "all the Sister graduate students to read whatever is prescribed for their course in the history of litera-ture." Those who request permissions under this law will ordinarily find that chancery requires the names of those who want the per-mission, the titles of those works which they wish to read, and the reason which makes that reading necessary. It is usually advisable to channel requests of this nature through someone whose position and personal knowledge make it possible to testify to the reasonable-ness of the petition--a parish priest, chaplain, one's superior, or the dean or head of a department if one is enrblled in a Catholic coll'ege or university. The practice of individual chanceries may vary in this regard and Ioc~aI custom should be as&trained and observed. (A specimen petition may be found on p. 70 of What Is the Index? included ~among the suggested, readings at the end of this article.) Permission to read forbidden matter is granted with the express 'understanding that adequate precautions will be taken to prevent the literature in question from falling into the hands of others un-authorized to read it. And no permission, however broad, can ever release us from the obligation under natural law to protect our-selves from danger. None of us is confirmed in grace simply by complying with the requisites of positive law. It may happen that one's own theological background is not always sufficient to solve every difficulty alleged against our faith and to dispel all doubts which may be lodged against our religious convictions. One's first and urgent obligation in that case is to seek explanation and en-lightenment from some other who is qualified to expo.se the error behind the doubt. And it may sometimes happen that decision to abandon that type of reading will prove a prudent additional course of actioni I 43 JOHN J. LYNCH Reuieto for Reli~t'ous Extraordinary Permission There are some exceptional situations which cannot be pro-vided for adequately or ~xpeditiously with the restricted power granted by the Code to ordinaries in favor of their respective sub-jects. Professional scholars engaged in prolonged research, librarians responsible for the disposition of numerous books, editors and staff members of religious papers and periodicals, college and university professors.-~tbese and others in similar walks of life must often, in order to do their work effectively, have somewhat greater latitude in the matter of probibityd reading. To cope with circumstances such as these, bishops in this country by virtue of their quinquennial faculties, and at least some major religious superiors by virtue of special privilege, may at their prudent discretion allow certain indi-viduals greater liberty. Perhaps the briefest possible way of ex-plaining the limits of this power is to quote from the formula used by the Holy Office itself: "The faculty of granting for not more than three years permission to read or keep, with precautions, how-ever, lest they fall into the hands of other persons, forbidden books and papers, excepting works which professedly advocate heresy or schism, or which attempt to undermine the very foundations of religion, or which are professedly obscene; the permission to be granted to their own subjects individually, and only with dis:rim-ination and for-just and reasonable cause; that is, to such persons only as really need to read the said books and papers, either in order to refute them, or in the exercise of their own lawful func-tions, or in the pursuit, of a lawful course of studies." An official note appended to the above faculty further advises that it "is granted to Bishops to be exercised by them personally; hence not ¯ to be delegated to anyone; and moreover with a grave responsibility in conscience upon the Bishops as regards the real concurrence of all the above-named conditions." It should be clear without further comment that this type of general permission cannot be granted at random or automatically upon request. Admittedly there are times when ecclesiastical restrictions on reading impose a considerable inconvenience, perhaps even handicap, upon Catholic scholars. Unfortunately, that sometimes is an un-avoidable incidental by-product of Church legislation in this regard. But we simply must, recognize and respect the fact that the direct intent of these laws, formulated in obedience to Christ's own man-date to His Church, is the protection of the faithful as a whole ;.n the essentials of faith and morals. If the individual good of acom- ,lanuarg, 1956 " FORBIDDEN. READING parative few must occasionally suffer, it does so out of deference tO the greater good. -~ IV. SUGGESTED READINGS 1. Joseph M. Pernicone, The Ecclesiastical Prohibition Books, Washington, D. C.:, Catholic University of America Press, 1932. Written as a doctorate thesis when the author, presently auxiliary bishop of New York, was in. graduate studies in cation law at Catholic University, this book provides an exhaustive and most competent analysis of those canons of the Code which pertain to forbidden literature. Technical rather than popular in presen-tation, it would nevertheless serve most effectively as an occasional reference book for those who may want more minute explanation of the finer points of the law. \ 2. T.L. Bouscaren, S.J., and A. C. Ellis, S.J., Canon Law: A Text and Commentary, Milwaukee: Bruce, 1951 (ed.2), pp. 778-91. Father Bouscaren is aconsultor to the Congregation for the Propagation of the Faith; Father Ellis is a consultor to the Congregation of Religious. Both were professors of canon law at the Gregorian University, Rome. Although their excellent com-mentary is intended primarily for students of ecclesiastical juris-prudence, )eligious in general would find in the pages devoted to forbidden literature much that would help to a fuller understanding of the intricacies of this law. 3. Redmond A. Burke, C.S.V., What Is the Index?, Mil-waukee: Bruce, 1952. Whereas most literature on the subject is directed to theologians or theological students, this presentation, as interesting as it is informative, is addressed "to intelligent laity, whether Catholic or non-Catholic." The author is at present di-rector of libraries at De Paul University in Chicago. Eminently readable, the book provides in addition to the standard treatment of the subject several convenient and instructive appendixes. Samples: better known authors of forbidden works grouped according to subject matter; a complete list of the books written by the eleven novelists condemned with the term omnes fabulae amatoriae; for-bidden titles from the English literature; applications of tfiis law to the readings recommended by the Great Books Program. Father Burke's book would be a highly useful addition to the library of any religious house. .4. Edwin F. Healy, S.J., Moral Guidance, Chicago: Loyola University Press, 1942; ch. XIII, pp. 276-85. Previously profes.- FOR YOUR INFORMATION Review [or Religious sot of moral theology at West Baden College, Father Healy now lectures on the same subject at the Gregorian University in Rome. His college texts in moral theology, of which this is but one, are familiar to many who.have taken or taught such a course in recent years. The chapter devoted to forbidden books is presented, of course, in textbook style and provides a conveni'ent outline of the law's main content together with the most practical of its applica-tions. The corresponding section in the companion volume, Teacher's Manual For Moral Guidance, gives further insight into the purpose of this legislation and provides telling answers to several objections commonly leveled against the ecclesiastical prohibition of books. 5. Malachi J. Donnelly, S.J., "Church Law and Non-Cath-olic Books" in American Ecclesiastical Review, 114 (1"946), pp. 403-9. Although this article is restricted to but one category of forbidden literature, viz., the religious writings of non-Catholics, its practical value is perhaps thereby enhanced. Religion has become a most popular topic even among non-Catholic authors, and there are numerous books of this kind on the market which win almost universal applause for their sincere and perhaps novel approach to spiritual problems. It may be an fiye-opening experience for some to see how Father Donnelly applies canon 1399 to one such book, Be~/ond Personality/ by C. S. Lewis, and demonstrates the caution we must exercise at times when selecting even our spiritual reading. For Your Int:ormation Concernincj Summer Sessions We are happy to be of service to ~eligious by publishing in our March :and May numbers announcements of summer-session courses that are of special interest or value to religious. We are willing to do this for any summer-session directors who] send us the proper information. But it seems to be asking too much "merely to send us a summer-session bulletin and to leave to us the work of select-ing the courses to be announced. Deans who ~vish us to publish an announcement should compose it themsel'ves. The announcement should contain only brief references to the spedat courses for re-ligious, and all the information should be in one paragraph. The material should be. typed double- or (preferably) triple-spaced. 46 January, 1956 FOR YOUR INFORMATION Moreover, it would be helpful if.~opitalization, punctuation, and other mechanics were in conformity with the rules given in our "Notes for Contributors," as published in REVIEW FOR RELIGIOUS, XIV (March, ,July),- 104 ff., 194 ff. Our Addresses It will help ve.ry much if those who write to us will note the following addresses : 1. Business correspondence should be sefit to: The Coliege Press, 606 Harrison, Topeka, Kansas. 2. Books for review should be sent to: The Book Review Editor, REVIEW FOR RELIGIOUS, West Baden College, West Baden Springs, Indiana. 3. Questions on canon law and liturgy should be addressed to: The Reverend Joseph F. Gallen, S.J., Woodstock College, Wood-stock, Maryland. 4. Other questions and editorial correspondence should be ad-dressed to: The Editors, REVIEW FOR RELIGIOUS, St. Mary's Col-lege, St. Marys, Kansas. New Holy Week Rubrics Of interest to many of our readers is the appearance in the "win-ter issue of Theology Digest (Vol. IV, No. 1) of a concise summary of the new Holy Week order to be observed in the celebration of the sacred ceremonies and the recitation of the Divine Office. Ad-dress: Theology Digest, 1015 Central, Kansas City 5, Missouri. $2.00 per year; foreign, $2.25. Breviary Changes A decree of the Sacred Congregation of Rites, dated March 23, 1955, made some radical changes in the rubrics for celebrating Mass and reciting the Divine Office. A pamphlet entitled Otffcial Changes in the Breviary, by T. Lincoln Bouscaren, S.J., gives the back-ground of the decree, an English translation of the parts that concern the recitation of the'Breviary, and a brief commentary on these parts. The material concernirig the new rubrics for Holy Week, which was contained in the decree of November 15, 1955, i;, not included in the pamphlet. The price of the pamphlet is ten cents. It is pub-lished by The Queen's Work, 3115 South Grand Boulevard, St. Louis 18, Missouri. (Material for this department should be sent to Book Review Editor, REVIEW FOR RELIGIOUS, West Baden College, West Baden Springs, Indiana.) THE HISTORY OF ISRAEL. Vol I and Vol. II, By Giuseppe Ri¢c~otti. "Translated by Clement della Penta, O.P., and Richard A. Murphy, O.P. Pp. 430 and 476. The Bruce Publishing Co., Milwaukee I. 1955. ~ $15.00 the set. For those Who have enjoyed Ricciotti's Life of Christ in Eng-lish, a similar treat awaits them in the new translation of his two-volume History of Israel. Detailing the dramatic story of God's chosen people from the call of Abraham to the final catastrophe at Jerusalem in 130 A.D., the author gives rich background and a vivid i~resentation of the trials and triumphs of Israel. The Do-. minican translator~ have captured Ricciotti's pleasant style, pre'- senting an engaging history which has already seen four Italian editions and four European translations. In his preface Father Murphy points out that the book "fills a lamentable gap in the field of Catholic,scriptural literature in Eng-lish." One plies library shelves in vain to find so adequate a Cath-olic treatment of Israelite history within a single work. With Ricciotti's training in oriental languages, his years lived in the Holy ¯ Land, and his wide acquaintance with non-Catholic literature, his history is more than "just another book." It does not seek merely to' answer non-Catholic objections, but to present a positive, clear exposition of the Catholic approach to complex Biblical questions. Ricciotti's appreciation of recent discoveries of historians and arche-ologists is evident in a lengthy chapter concern_ing late excavations and surveys, evidence from which he faithfully evaluates and as-similates into his work. The translators supplement this section of his book with findings of the past two years at Qumram and Murabba'at, and they have changed some dates to conform better with the new evidence. Ricciotti's explicit intent is to write history. He avoids long discussions of critical theories. Cautious, especially in the face of recent discoveries in Palestine, he presents his readers with facts and leaves to them the formation of personal' judgments. His one thrust at modern criticism is~to point out that "any critical history must take into account the basic outlines of history as they are sketched in the Bible." The Bible is a historical source par excellence. At-tempts to discredit it on arguments drawn from philology an;:l liter- 48 BOOK REVIEWS' ary criticism are based on false philosophic presfippositions.The fundamental supposition of "impossibility" of Israelite tradition' 'by Wellhausen and others is being shaken and weakened by the spade of the archaeologist. Recent discoveries tend to confirm the tradi- 'tional position, both as to events and their chronology. Where the Bible and other sources are mute, as, for instance~ during the period of Greek domination and after the Romafi seizure of Jerusalem in 70 A.D., Ricciotti reconstructs Jewish h~istory and attempts to fill in, the silent pages of Israel's tragic story. In his role of historian he maintains a steady progression. Any pause, such as to explain prophetism or the importance of an archaeological discovery, is only to enrich the reader's background for a deeper ap-preciation of the history at hand. Because references in the original are principally to German and French sources, the editor thought it "unnecessary to burden Eng-lish- speaking readers with a bibliography" in the English edition. Some may regret this lack, even though the footnotes in the text are more than sufficient, to indicate the author's wealth of source material. The scholar will find this History a helpful reference. It presents a readable and engrossing story for those wishing to learn more of Israelite history and serves as excellent background for an intelligent reading of the Bible.--ROBERT C. DRESSMAN, S.J. THE LIFE OF ST. DOMINIC SAVI'O. By Sf. John Bosco. Transla'red by: Paul Aronica, S.D~B. Pp. 112. Salesiana Publishers, Pafferson New Jersey. 1955. $2.75. In 1857, Dominic Savio, after spending two and a half years under the guidance of St. John Bosco at the Oratory of St. Francis of Sales in Turin, died at the age of fifteen. Two years later, Don Bosco wrote an account of the life of this youth whose sanctity he held in high esteem. Short and unpretentious, this biography was published largely with a view to the spiritual profit of youthful readers. Translated from the fifth Italian edition, The Life of St. Dom-inic Savio has been prepared for American boys,, their parents and teachers. Hence the translator has added to the original text some background on the ,biography itself, a biographical sketch df St. John Bosco, and two appendices. After the author's preface and after seventeen of the twenty-six chapters, all of them 'brief, the translato~ has inserted notes gathered' from the latest .Italian edition of ii}he, work. 49 BOOK REVIi~WS Review [or Religious In the opening chapters, Don Bosco sketches Dominic's life prior to his arrival at the Oratory late in" 1854. Abandoning chron-ological order, he then proceeds to treat of Dominic's stay at the Oratory in topical fashion. Thus he sets forth the boy's deter-mination to avoid sin, his constant efforts' to strive for sanctity, his spiritual practices, his attitude toward studies, his friendships and relations with his associates, his special graces. The final chapters resume chronological sequence in telling of Dominic's final sick-ness and death. In many ways this is an admirable little book. In its small compass we are given the picture of a young saint sharply and sym-pathetically drawn by another saint, a much older and more experi-enced man. The boy's high ideals, his cheerfulness, and general likeableness, so much in evidence throughout, constitute a most appealing element. The attractive biographical sketch of Don Bosco himself sets the stage, as it were, for Dominic's days at the Oratory and puts the reader in a better position to grasp the relation of Don Bosco to his subject matter. One, however, may be inclined to question the complete suitability of the book for today's American boy. For at times, the viewpoint of the author, both because of time and mentality, discernibly differs from that calculated to be easily and properly understood by the modern American.boy. The notes occasionally rectify this matter. On the other hand, the notes them-selves do introduce a comment on Dominic's m(~desty which the average American boy might find difficult to grasp (p. 55). Fur-thermore, there are several passages of St. John's text which seem to call for notes to clarify theological implications contained therein. For example, his reflections on the force of a good First Communion' on a person's life appear to be a somewhat sweeping generalization which might be difficult to substantiate and need, at least, to be set against a proper historical background (p. 8). Again, Dominic's remarks on merit require distinctions (p. 78). The language of the book runs along simply and smoothly for the most part. One, however, does encounter an occasional awk-~ wardly turned phrase as well as several lapses of grammar and Eng-lish idiom. In place of the illustrations taken from the fifth Italian edition, more modern drawings would perhaps be more effective in catching the eye of young people. While this book, then, has many good points to recommend it,- it is not without its drawbacks, especially for young readers. ~EDMUND F. MILLER, S.J. 50 ,lanuary, 1956 BOOK REVIEWS DAYS OF JOY. By William S÷ephenson, S.J. Pp. 176. The Newman Press, Westmins÷er,Maryland. 19SS. $2.S0. In his preface the author tells us that it is his purpose "to set forth as fully and plainly as possible the meaning of this [the Easter] message ." This is indeed no small task, and yet he succeeds admirably. A full understanding of the meaning of Easter and 'the cause of our joy in it demands a mature faith and an understanding en-riched and deepened by all that the Church can tell us about it. It is no small merit of this work that the author makes free use of the wealth that Holy Church has found for us in this mystery. A step-by- step account of the sacred history from Easter to Pentecost is ac-companied by explanations of dogmatic truths, prayers from the Mass and hymns from the breviary, quotations from devotional writers and instructions in prayer. Theresult is not a heavy treatise, but a book which is devotional and inspiring with its piety deeply rooted in dogmatic theology and the" liturgy. Each stage of events in the story of the Resurrection is treated in this way. First there is an account of the event, e.g., the meeting of our Lord and Mary Magdalen; then there is a series of reflections on the mystery in,which the author explains the truths it shows and their meaning for us. The reflections are concluded with a col-loquy in which some liturgical prayer, hymn from the breviary, or devotional poem is read prayerfully. Along with the text, some-times in the form of notes, are explanations of liturgical practices, the account of the beginning of a devotion or suggestions on methods of prayer drawn from the Exercises oF St. Ignatius. With justice the book is subtitled Thoughts for All Times, because the author's handling of his subject relates this central truth of our faith to other truths and to our daily needs. The com-bination of the gospel narrative and the light thrown on it by theology and the warmth of the liturgy is a happy one. Finally, the method of prayer woven into this pattern gives these sublime thoughts and truths a personal and particular meaning. Thus, the
Part one of an interview with Settimio "Babe" Pellechia. Part of this interview has been redacted as per Mr. Pellechia's wishes. Topics include: Family history. How his parents came to the United States from Italy and settled in Leominster, MA. His father's work at the Leominster Button Company and then as an ash collector. Babe's memories of growing up in Leominster during the Depression. His father's construction work. The work his siblings did. What it was like for Babe working with his father on construction jobs. How his brothers turned the construction business into a concrete block manufacturing business. The different businesses Babe started and worked in. What the Lincoln Terrace neighborhood was like when Babe was growing up. His mother mainly spoke Italian and knew very little English. Speaking Italian in the home. What his mother was like. The types of food his mother would prepare. Babe's work in the motel business. What life was like when Babe was running an ice cream shop and a motel. His children's education. ; 1 BABE: And [DeMazzio]… [Icelano], and then after would actually be Joseph… Enrico. LINDA: Enrico? BABE: Enrico. LINDA: Enrico. BABE: Uh oh, we got caught. Enrico, and then myself, and then Olga. LINDA: Hi, I'm Linda. SPEAKER 3: Hi nice to meet you. BABE: Now there wasn't -- of course Dave passed four years ago. There was another DeMazzio [unintelligible - 00:00:53] Icelano. LINDA: Oh, there were two others that died? BABE: Well, they died at the age of three and one in the same weekend. LINDA: Okay. BABE: Before the others. That's why they renamed the others. LINDA: They renamed -- so. I'll put that in here there were two others. You want that in there? There was another one DeMazzio that died and they named it the next one DeMazzio. And Icelano was one that died, and they named the next one Icelano. SPEAKER 3: I would like that in there. LINDA: Okay. SPEAKER 3: [Unintelligible - 00:01:21] you should have hired her. LINDA: How are you, Tina? TINA: Oh good. I'm… LINDA: Now, your marriage. BABE: Now, there's a bad part. You had to spoil it. October 5, 1945. I'm sorry, October 6, 1945. LINDA: Uh-oh. SPEAKER 3: I was just waiting. I didn't want to say anything. LINDA: October 6, 1945 and you married Augustina, what? SPEAKER 3: Traini. BABE: T-R-A-I-N-I. 2 LINDA: Augustina Traini. BABE: This comes out of that because [unintelligible - 00:02:01] that's part of the book [unintelligible - 00:02:05]. SPEAKER 3: Babe, you're going to have to do this because -- I'm sorry, I have a class. I'm teaching down the college, so… BABE: What was that last one? LINDA: Your children, the names of your children. BABE: Okay, Linda… LINDA: Another Linda. BABE: And Barry David. LINDA: And Barry David. Residential history. Now, you lived on Grove Avenue. BABE: The different places we lived? Well, we started in Lincoln Terrace where I was born, and Miller Street, [Union] Street. After Union Street we went to Sterling, Westminster, to Grove Avenue, and then over here. LINDA: Norfolk, okay. BABE: I missed one, Litchfield Street. LINDA: Where was that at? BABE: That would before Union. LINDA: Litchfield? BABE: Litchfield. Is it recording now? LINDA: Yes. BABE: Then I can't joke as I go on. LINDA: Oh, you can joke. I just wanted to make sure that… BABE: Had I graduated it would've been the class of '40. LINDA: Okay. Work history. What did you do? Your father? BABE: What did I do? I started with contracting with my father. My father was a contractor, so I fit in that very good. And then I was self-employed in the following businesses: Babe's Ice Cream, Dennison Motel, West [unintelligible - 00:04:06] Motel, and Babe's Miniature Golf, subdivision of the real estate [unintelligible - 00:04:07] houses. LINDA: Subdivision of real estate? For housing? 3 BABE: Mm-hmm. That's all I did. LINDA: What about Blocks? BABE: Yes, true. That was another corporation. These were all my own. Blocks was a corporate… LINDA: That was with your father? SPEAKER 3: At least she remembered. LINDA: Contracting with father, Blocks -- was that the name of it? BABE: Well, Blocks was the name of the four brothers. SPEAKER 3: It's a great thing you guys are doing, you know. I'm so glad you got that older woman, that 100 year old lady, 106. Thank God you got her before she went. LINDA: We got a little bit. You didn't get to see her [unintelligible - 00:05:09]. SPEAKER 3: Not me. It was someone who was working before. BABE: To show that we're not always hiding. That first sheet down there, what's that say? SPEAKER 3: This one? BABE: Yeah. SPEAKER 3: The Joy of Growing Up Italian? BABE: No, no, the one above it. SPEAKER 3: American? BABE: No, what's the next one you have there? SPEAKER 3: This one, the Americans? BABE: Oh, that's what you had. [Unintelligible - 00:05:26] LINDA: Babe, my next question here is St. Anne the Church, and that's St. Anna. You always belonged to St. Anna Church? BABE: Off and on. LINDA: Off and on. SPEAKER 3: Yeah. BABE: And now it's off. SPEAKER 3: I'm just going to say bye. And I'll see you. LINDA: Good luck. Nice meeting you. [Unintelligible - 00:05:58] 4 BABE: It was a pleasure. SPEAKER 3: I got pineapples for my still life. LINDA: You're going to paint still life? SPEAKER 3: No, they're drawing. It's a drawing class that I'm taking [unintelligible - 00:06:05]. BABE: Before -- do you want to shut it for just a minute? SPEAKER 3: Not on there, so… LINDA: Thank you, Ann. I would have checked. Okay, we have to start again. I'm Linda Rosenblum with the Center for Italian Culture. It's Tuesday, October 30th at 1:20 p.m. We're with Babe Pellechia, and Rosa Farrell is with me, and we're at his home at 27 North Fourth Drive in Leominster. Hi, Babe. Thanks for letting us come and interview you. I thought that you could tell me a little bit about your parents first. Are they the ones that came to Leominster? BABE: Yes. My father came to Leominster in 1906, and… how far do you want me to expand on that? What he did? LINDA: Sure. Well, first of all, where did he immigrate from? BABE: From Rome. LINDA: Rome? Did he travel with your mother? BABE: No, she came in 1909. LINDA: Okay. Who did he travel with? BABE: He just came on his own, I believe, at that time or whatever, people were coming. He left from Roma and landed in New York then came to Leominster. LINDA: Do you know why he came to Leominster? BABE: You know, that's one of the questions we never asked him, and I'm still trying to find out why he came to Leominster. It must be because of friends; that's where most of them was. You know, there was quite a colony of the Santa Maria Del Combo, and that's from the section of Italy where they came from. So it could have been from other friends where he… 5 LINDA: What do you call that, Santa Maria? ROSA: Del Campo. Santa Maria Del Campo. BABE: It's an Italian organization. ROSA: The particular region in Italy. LINDA: So, close to Rome? BABE: It's south of Rome. It's actually -- El Vita, and [unintelligible - 00:08:00]… which is part of -- give me a minute. My notes over there, please, these little papers here. It's [unintelligible - 00:08:17] Costa Lata. C-O-S-T-A, L-A-T-A, I believe it is. And that's where most of them came from. LINDA: And I had just read in some of the papers over here that he studied industrial agriculture when he was in Rome? Did you know that? BABE: He was a farmer, whatever that may mean. You know, like I say, [unintelligible - 00:08:41]… authority, and that sometimes these things happen like a good friend of ours that was a garbage collector, and he did wonderful things. The city of New York gave him an award, and they said he is a sanitation engineer. And the guy got up and says I am a garbage collector. So I don't think he did much studying at that age because there was -- things were pretty rough there in Italy. LINDA: Did he ever tell you any stories of Italy? BABE: Oh yes. LINDA: Would you like to share some? BABE: Well, he would say the way they used to work and so forth, and their living conditions, which was pretty rough at that time. That was the reason why they came here. Of course, supposedly our roads were paved with gold, and that's out there. But he was always a very hard worker and always wanted to do more, learn more, do more, which he did do in his life. Like the first thing he did when he came in to Leominster was he headed down to Leominster Button Company, which is near, 305 Whitney Street, and they're called [unintelligible - 00:10:01] now. And he was a rubber of buttons and combs. They used ashes, and it's surprising that 6 they [unintelligible - 00:10:11] health in that year one of the filthiest jobs that -- the men worked, and this is outlined -- let's see, this is put out by the Board of Health of Massachusetts. LINDA: So he was called a rubber? BABE: Mm-hmm. LINDA: Did you remember him explaining what he did? BABE: Well, what it is, you take the buttons or the combs or whatever they're working on [unintelligible - 00:10:37] was turtle, made from turtle then [unintelligible - 00:10:39], and what the ashes and what the wheels going at the RPMs that it does go, and the water, that polishes up, really polish it. But of course if you got water and ashes and a wheel going you know what that does to the person, and that's what he did for a few years. Surprisingly though in 1914 he sold that fine ashes -- this was a business for him. LINDA: So he realized that there was a use for that ash. BABE: Mm-hmm, and they got him out of that filthy working conditions. LINDA: I'm wondering what does an ash dealer mean? What would he do with the ashes? BABE: You go around and pick up the ashes from people's home, 10 cents a barrel, bring them down and screen it through a screen that water won't go through, and that's what they used for rubbing. That's the compound that they used for rubbing these plastic -- not plastic but the horns or hooks or whatever they were doing. LINDA: Did he get that idea from someone else, to go and collect the ash? BABE: Well, he got the idea from being in business. He got some wagons to collect the ashes, which were -- and the rubber district was a good business at the time, and then he felt that he had that, why not screen the ashes and sell it to the industries, which he did. Another byproduct of that too that the -- when you screen the ashes you always get the coal that never burnt, and half of Lincoln Terrace was the Italian Colony. He used to go down and pick up the coal, and it kept a lot of people warm up there 7 at that time, so that they would go down -- it was on Middle Street where they did that. So [unintelligible - 00:12:33] he helped out a lot of people by letting them go and they go through these screenings and pick out all the little black diamond gold that heats the house, and that was it. LINDA: So this 75 Lincoln Terrace, was that where you lived, or … BABE: That's where I was born, and that's where we lived at the time. LINDA: So he actually -- I just want to make sure that we get this on tape, so sorry to keep asking you… BABE: That's all right. LINDA: It's an old art, and it's not easily explainable. So he would go around to people's homes, or… BABE: Yes. Because everybody burnt coal in those days. You'd call up and you'd go there and then take the barrels out where -- which as he said was very, very heavy, because you'd either have to go up the stairs if they didn't have an outside door or to the bulkhead or something like that, and he aggravated at some people to get more ashes in the barrel [unintelligible - 00:13:26]. And so that's more weight, and then you couldn't screen it. Other than that he had the horse and wagons, put them on, bring them down -- the screening plant was on Millet Street, which is just off of Lincoln Terrace, and there he would screen what he picked up from the people's homes and separate it and sell the extra fine screened ashes to industry. And he shipped it to a few places all over the United States at the time. LINDA: Where did he get the money to begin this type of a business? BABE: By what most foreigners other than Puerto Ricans, saved their money [unintelligible - 00:14:09] saved their money and do it that way. LINDA: So at this time was he married? BABE: Probably should strike that out. That isn't too nice to say, but it's already on tape. 8 LINDA: Well, it's going to be edited. BABE: Okay. LINDA: What did I ask -- was he married to your mother by this time? BABE: Oh yes, he married my mother in 19… I'll put my glasses on. It would help, wouldn't it? LINDA: Okay, but we can figure out the dates later. BABE: Hmm? LINDA: We can figure out the dates later. BABE: Okay. LINDA: So we'll figure it out. So can you tell me a little bit about growing up on Lincoln Terrace? BABE: It's a good thing that we didn't know better. We enjoyed ourselves. It was a happy life and so forth, but I just wonder what would happen today if children had to go through what we did. Our fun would be getting in a sandbank and digging holes and whatever we could find, cups and make objects out of it. We'd play baseball. Whoever had the baseball and the bat would be the one that would pick the teams and when we'd play and how we'd play. And it was -- on today's standard it was really very, very rough living at the time. We had no entertainment to speak of. We hardly go to movies only it was only a nickel to go to the Gem Theater; we didn't get there too often. And the main highlight, or one of them, was at Christmastime at the -- one thing my father would do, he did everything for Christmas. You know, for food and things like that. And one of the big games as I remember would be getting the table like this and putting sawdust on it, and he'd hide coins in the sawdust, and you each had a shape to pick out a shape where you'd want hoping to get more coins than your brothers and sisters and so forth. So that was one of the fun things that we did. 9 But myself as I grew up I always had a tendency to follow him and get involved with his work. By that time [unintelligible - 00:16:36] he was in the contracting. He was more doing contracting at that time, became a contractor. So I always followed him around on jobs and things like that. So I learned more. I think even for myself I think I grew up real fast as far as a youngster. LINDA: Is that partly because you were the seventh son? BABE: No, because that's what I wanted to do. LINDA: Explain to me though what your name means again. BABE: Settmio is seven in Italian, and that's what it means. It's just that the Sette is seven, and that's where the name comes from. LINDA: So I forgot now. You're the seventh son or seventh child? BABE: Seventh son in rotation. LINDA: And how many sisters? BABE: Out of eleven. There was three girls in the family. LINDA: So by the time you came around your family already had six boys? BABE: Yes. I was the seventh and the last boy in the family. LINDA: So how were your brothers' lives different than yours? Were they harder? Were they… BABE: Oh yes. Well, my oldest brother was quite active in the business and so forth. He did all that. But then my next brother was a -- he worked very, very hard, and entertainment was out as far as that got. No vacations and things like that. It was strictly, as I remember it, when -- don't forget I'm entering about the time, well, 8 years old and that was the beginning of the Great Depression. I remember that quite well. The families were living on $12 a week, quite a few of them, which is what the welfare would give you. LINDA: So during the Depression your father was working? BABE: Whenever [unintelligible - 00:18:44] work. Yeah, he was doing contracting, whatever work he could get. On one job he was a supervisor for doing some work at city hall, and this is choosy but you have to do it 10 by the WPA program at the time. And to do a [unintelligible - 00:19:02] for city hall you did it at the time but they send them 30 men. You know, other people that were on the WPA, and they were on top of one another so my father had to let them be -- he had them closing doors, open doors and sweeping, everything but working because they were all in one another's way. But he was a supervisor at that time. But he did work like that there and then we plowed snow in the wintertime—there was income from plowing the snow, keeping the truck busy. Then he did odd jobs as they came up, but nothing -- it was a tough time. To backtrack, my father was very, very successful up until 1929. He owned 33 houses, and one by one he lost them all because people didn't have money to pay the rent and the banks wanted their money and they would just keep taking the house. You know, the foreclosing, keep doing that. LINDA: So he owned 33 homes and he lost every single one? BABE: All but the one we were living in. LINDA: Oh. BABE: Yeah. LINDA: How did he afford to buy 33 houses? BABE: Because he got to be a good-sized contractor. Like he built – he had the contract for all the concrete work in the Leominster post office, which was quite a job in those days. In 1926 he built the Main Street garage down on -- he did the fence around St. [Lido's] cemetery, which is quite a sizeable job, and he built numerous homes. In those days the first homes he built, regular homes like on Lincoln Terrace, there's probably eight homes up there that he built and was sold for the big sum of $2,800. LINDA: Wow. BABE: That's what they were at that time. In fact, numerous times, her dad would work for my father on his trade. You know, blocks and bricks, plastering 11 so that he and [unintelligible - 00:21:22], whenever they had a job that required brickwork and plaster and so forth, they were the first two that he called to do the work. So you see we would all get things first class with first-class people. But he couldn't -- the Depression was too much for everybody at that time, not only him. LINDA: Before we go on, let's back up a little bit. He came to this country, he started -- he used ash to rub buttons et cetera, then he opened his own business selling ash. BABE: He started that, yeah. LINDA: Right. So what kind of time frame are we talking about? BABE: I beg your pardon? LINDA: What's the time frame that we're talking about? BABE: [Unintelligible - 00:22:05] LINDA: Where was it, 1914? BABE: Yeah. LINDA: So he was selling ash in 1914, and then he went into the construction business? BABE: I can give you year by year. Let me show you. See, this is the -- you know, all the concrete work on this job there's his -- do you see that there on the box [unintelligible - 00:22:27] and Company? LINDA: Mm-hmm. Oh that's interesting. That's in '29, so this was a bad time. BABE: No, that was the good time; the beginning of the bad started right after that. So that the -- well, he worked the button shop, at Leominster Button… then he -- let's see as we go along here. Okay, now in 1913 he put a grocery store in the house. LINDA: He put a grocery store in your house? BABE: Well, [unintelligible - 00:23:14] to sell groceries, yeah. LINDA: So at 75 Lincoln Terrace? BABE: Yeah, that's still 75 Lincoln Terrace. And then of course he got both here the ashes and the grocery that he did. LINDA: So who's running the grocery store? 12 BABE: My mother. LINDA: Oh, was it your mother? BABE: Yeah. It's just on Lincoln Terrace a small street though, there wasn't -- no store, like you think of stores today. And it keeps on changing. Now right now, then in 1916, he added trucking to that too. LINDA: Trucking? So that's when he's an ash dealer though? BABE: No, he started with regular trucking after that. Sand and gravel and so forth at that time. LINDA: So again, he'd buy the sand and gravel, and then… BABE: No, we had our own pit. LINDA: You had your own pit? BABE: Yeah. He owned the land down on Miller Street, which was back in there. LINDA: So at least we understand the chronological. BABE: Hmm? LINDA: At least we understand it a little bit more, I think. I was going from the ash business right to building. BABE: [Unintelligible - 00:24:43]. LINDA: That makes more sense. We get into trucking, gravel and sand, and then construction. And he would build these buildings himself? BABE: He did all kinds of construction work. He even built the 38 -- he had the contract for the bridge on [unintelligible - 00:25:05] Street in Pittsburgh, which was Route 2A at the time. ROSA: He put the sand and the gravel and the ashes. Didn't he make his own blocks, make blocks for construction? BABE: Started making blocks around 1920. That was part of the… LINDA: So he would use the materials that he was gathering or buying and selling? So who would he sell the blocks to? Or would he use the blocks for his own building? BABE: He would use the blocks or sell them to whoever needed them. LINDA: And how would he make the blocks? 13 BABE: From our own pit, with the sand and gravel we had there on North Smith. He would make the blocks at that time. LINDA: Was it a mold, or did people do them… BABE: It's a machine, the machine that the mold would take care of it. LINDA: What was the name of the construction company? BABE: Pellechia and Company. LINDA: Pellechia? Did they have many people working? BABE: At some times he had quite a few people. LINDA: You don't have to worry so much about those dates, because I can look through that after. I'm just trying to understand how someone comes here from nothing and owns 33 homes. BABE: It was 1925. LINDA: Sand and gravel, ashes and store. So he goes from his buggy to his truck. Now, who's Charles? BABE: That's my oldest brother. LINDA: Your oldest brother. Okay, so your brothers went into business with him? BABE: Yep. LINDA: All six of them? BABE: We all worked for him. We all worked for him. We built a lot of gas stations, too. We had quite a team. Because amongst the team there was my father, who strictly did supervisory work, figured the job and things like that. And then we had Charlie, who was [unintelligible - 00:27:09] equipment as well as piping and so forth; Red was a great laborer; Rico was a carpenter first class; I was a mason, but what I picked -- I went to trade school to be a mason, you know. So when we would get on a job we were pretty much able to do quite a bit of it ourselves. LINDA: Now, who's Red and Rico? Are those brothers? Red and Rico? BABE: Brothers. LINDA: So those are nicknames? BABE: Mm-hmm. LINDA: For who? 14 BABE: Well, DeMazzio and Enrico. LINDA: And where did you get your nickname? BABE: Babe? After 11 kids it's time to call somebody Babe. No, my sister Lena gave it to me as she said when I was a baby at that time. LINDA: So how did your brother Red learn how to build pipe for -- what did you say that he did? BABE: When you run a gas station there's a lot of pipings involved. You know, water and gasoline and so forth. That was how he -- my brother Red was a hard worker and the one that never asked for too much and always -- education-wise Red was very, very limited. In fact, one of the side stories on that is he couldn't learn his general orders in the Army, and as a result of it, on his record, they said he would never be anything other than a private, and he couldn't get any Class A pass. So they went overseas, and he had two companies that he was in that were completely all injured or so forth, and he became the top sergeant of the whole group. So he knew what to do when it was important. He had the smarts for that, but as far as the learning he just didn't have the ability to learn. LINDA: So, how did you all learn and know -- was it, were you apprenticed? Did you have any kind of… BABE: No, no you just learned from one another. That's how [unintelligible - 00:29:19] families just keep going, and it was just, you know, you started off -- and our father knew what was what and we picked it up real fast and just kept going on it. LINDA: Can you tell me or share with me an early experience of working with your father? BABE: Well, I just started, just jumped and started doing it. In fact, I was 15 years old and I built the gas station on the corner of Walnut and Main Street in Leominster. I was supervisor and so forth because they had other jobs, but it all came natural. I just enjoyed it and I just did it. In fact, 15 when I was with the trade school, at the end of the school year I was in the brick mason department, and the instructor told me, "Don't come back; you're wasting your time." LINDA: Wow. And is that why you didn't go back? BABE: Well, I had to go to work. LINDA: Well, bring me back though to a day when you're working with your father. What was it like? Did you all kind of disperse and go to different jobs? BABE: Go to different jobs. He never drove, so one of us had to drive him. One thing about him he was very honest, and he was very thorough. In fact whether we were doing a job contractor or day work he would even tell us, you do the same thing whether it's day work or contract, even if you lose money. So you know, with a bringing up like that, you can't go wrong. So of course when I was very young and we were doing a lawn on Berne Avenue, and we had the big roll that you use to roll with, and I was very young and the roll was banking, and I'll never forget I came close to the bank and I couldn't hold the roll, and it went down and right through a flower garden. That was one of the unpleasant days. [Unintelligible - 00:31:33] let me know that I did wrong. He never hit us or anything like that. But I was worried for a while on that score. But then I'd go figure jobs and then he'd take me with him, because I'm the one that probably liked it the most and did it the most. That was good days. I enjoyed it. I never resented -- I think he taught us an awful lot, so we couldn't lose with that combination. And with a mother that would watch us like we're all just a baby -- whether you're six years old or 40 years old, she wouldn't go to sleep until you were in the house. It was good times under the conditions. As I said though, we didn't know better. If I did that like -- I know that many a times on the job when things 16 were that the -- come time to eat and all we had the money for was probably a cheese sandwich or something like, that you know, just limited, which is -- my son now later on was putting in overhead doors, he had a business he did that, and he was developing by the South Shore there and he came home and he said, "Dad, you know I forgot my money today," he says, "I didn't eat." "What do you mean you didn't have no money at all?" He said "Well, I only had a dollar." I said, "You know, you still could have had a cheese sandwich." He said, "Dad, those days are gone." So that's the difference. LINDA: So, when you'd go with your father to figure jobs you said, did someone call him? Not call him probably, but contact him to build something? BABE: Yeah, people would call from his advertisement. He did advertise, and they'd call him too. You know, a lot of people wanted bids; you have to bid it. So I'd go with him a lot of times and do the bidding and help him do the bidding and so forth. As I grew older. LINDA: So would he write a contract out and then have a company sign it, or…? BABE: Most of the time you just did it with the individual, it was all by -- in those days everything was with a good shake hand, which they meant. Very rarely was there a contract drawn up. Unless it was a big job, and then they'd have that. LINDA: And who was his competitor? BABE: A lot of competitors. There was a lot of competitors. Must have been -- Leominster probably had about 15 to 20 contractors at the time when it got to contracting. LINDA: Were there any other Italians? BABE: Oh yeah. There was probably half a dozen or so I think Italians. LINDA: Did your father apprentice anyone? Did anyone begin working with him and then venture out on their own? BABE: Well, we wouldn't call it apprentice. They just did that, which is the American way to do things. You never met anybody better than 17 themselves, so that -- yeah, we had somebody. I mean, that never bothered him. LINDA: How long did your father do this kind of work? BABE: Until he retired at about age -- he stopped working I think at about age 60. LINDA: And did the company survive? Did the sons take it over? BABE: Well, what happened, we kept the thing going quite a while. Even by that time, the brothers, we went into the manufacturing of concrete blocks on a real production method. We used to manufacture quite a few a day, and that became our sole business then. LINDA: So tell me about that then. BABE: Well, we came back from the Army, and with the -- three of us were veterans, and we got a loan from the government on the G.I. Bill, and we bought this production machinery and put up a whole plant and went into manufacturing of concrete blocks all type on full production. We used to make at that time about 4,000 blocks a day and get out -- plus the building supplies that went with it. And my father first saw [unintelligible - 00:36:15] he gave us the land and he also would watch the building of it when we did that. That was in 1945. In 1946 we started selling the blocks from our new plant. LINDA: And what was the name of the company? BABE: Blocks Incorporated. LINDA: Blocks Incorporated. And you and your three brothers started… BABE: And myself yeah. [Unintelligible - 00:36:42] Well, there were three veterans, but then one wasn't there. One didn't go into the Army and he was part of the corporation. LINDA: So four brothers plus yourself? BABE: No, four brothers. LINDA: Oh, four brothers. Three [unintelligible - 00:36:55]. So you would make these blocks and then sell them to… BABE: To whoever wanted to buy them. LINDA: Do you have advertisement for that company too? 18 BABE: Yeah. LINDA: Good. And how long did you do this? BABE: We did it up until 1979. LINDA: Oh, so what happened to the business? BABE: Well, at the age of all of us at that time it was time to liquidate it, and we did. We just sold off the -- we had an auction for the equipment, we sold the real estate, and by that time we were all -- other than myself all my brothers were ready to retire. Well, one other brother, the one next older to me, he had passed away. So it was just the two oldest brothers, and it was too much at that time to run the business of that, because we built another plant after that. The original plant was at -- our second plant we were doing 8,000 a day, so -- but it's, it was competitive, and getting out to sell them and everything else, it was quite a job. So I decided -- well, what happened was actually while I was out doing all my things at the time, I left. I was still part owner, but I left to do my motels and everything else with it, and they did get in trouble financially. And I went in and helped them straighten it out again, and when we straightened it out. That's when I told them we're selling the business, and so that's what we did. So we sold it in good graces [unintelligible - 00:38:47]. LINDA: So did any of your sons -- well, you have one son, but you must have some nephews. They didn't want to take over the business? BABE: We tried and it didn't work out. My son actually went to college and so forth, so he didn't fit into that. Then my -- there weren't too many boys in the family [unintelligible - 00:39:12], and Red had two boys, and one didn't want nothing to do with it all, and the other tried and he didn't like it. So it really was limited as to who could run it after that. LINDA: Now, did you sell the blocks locally or out of state, too? BABE: Well, out of state, New Hampshire, we sell New Hampshire. And we made a special block that we did one delivery in New York City with a special block, but we also had -- my brother had invented a new face for the blocks, and the -- it was a glazed block, and we did manufacture them, 19 and there are three school in Leominster have them. The Army has it in Leominster, and we sold a school in Gill, Mass. and [unintelligible - 00:40:07] and in Worcester, so that we did do quite well with that glazed block, which did very, very good. But like I say, age probably got that business why we finally sold it. LINDA: So the blocks though were they pretty standard size? BABE: They were all standard. LINDA: And then it only changed when your brother invented the glaze? BABE: Well, they were a standard block; it was just something added to it. LINDA: Added. Did he patent that invention? BABE: We worked on patenting it, but surprisingly when you patent something, there's always something close to it. In other words they did a whole lot of research on it and we didn't think it was patentable at the end, because the concrete goes way back year and years and years, and there's always somebody that did something close to it that you -- it just wasn't patentable. LINDA: So how did he develop the glaze? Do you know? BABE: Just working at it. In other words he just -- that was Joe, and Joe was the one in the family that was probably ahead on thinking of doing things and so forth. He was the one that always experimented, in other words, come up with ideas of doing special things. LINDA: So during the time as you're part owner of this company, you did other things. Can you explain? BABE: Did he do other things? LINDA: Yes. BABE: Yes, I did all those things that you wrote down in the book there. There were a few of them. LINDA: Yeah, I know. But could you explain some of them? BABE: Okay. What do you want me to start off? Which one, the first one, the ice cream place? 20 LINDA: Is that the first one that you started? BABE: Maybe I had a little of father in me that you do different things, you know. I went to an auction, and they had an ice cream machine, a brand new one, at the auction for sale, and I bought it for $1,000. And before I left, the salesman that sold it from the Mills Company came there and he found out that I bought it, and he offered me $1,500 for it. The minute he said that I immediately said if this thing is worth $1,500 to the salesman, I'm going to see what this machine will do. And I built an ice cream place around it. That was the beginning of Babe's Ice Cream at the time. LINDA: And where was that located? BABE: On Route 12. LINDA: Route 12. BABE: [Unintelligible - 00:42:44] started that, which is very interesting. We were going to open up on July 4th, and this was in 1950. On July 2nd it was one of those hot, miserable days, miserable, real miserable, [unintelligible - 00:42:56]. And this busload pulls in. There was 38 people on the bus, and one came out. They were monks from Rhode Island of the Vow of Silence, and one came in and he said could he please have 38 glasses of water. So my wife and I packed up 38 sandwiches, 38 ice creams, 38 cold drinks, and the bus leaves. And as the bus is going out of the circular driveway, there's a bus leaving, people just funneled in. And of course I knew most of them, and they said, "Babe, how can you be so lucky that you aren't even open and you get them by the busload?" not knowing what happened. And I said I hope I don't get too many busloads, I don't want to close before I get -- so that's how we started that there. But it growed real fast after that, just kept on growing and growing and growing. It meant nothing to sell a thousand ice cream cones on a Sunday afternoon. LINDA: So you knew nothing about ice cream? 21 BABE: I knew nothing about ice cream. I knew nothing about motels, and I built a motel and ran that. I bought another motel and ran that. But the -- I didn't know anything about subdivisions, but I did that. I think a lot of my father's in me. In other words, you just keep going. As long as you do what's right, work hard, you accomplish it. In other words I won't take no for an answer when it comes to trying to do business. Because I've had people, when I went into the [unintelligible - 00:44:41] and doing hardware, I didn't mention that one. When we were doing hardware, in other words it was on the wholesale level to sell to contractors. I did that, and that was very, very difficult because they felt that I should have went to school, you know, because you got to know what hardware's proper for certain jobs. You've got to know your fire codes and so forth. And a lot of people in the beginning wouldn't sell me. They said in other words we don't want to sell to you, you do things wrong and it could come back to us. So I made it clear to them if I got to go from here to California I'm going into the business and I'm going to buy the stuff. You're either going to sell it to me or somebody else is going to sell it to me. And what that did, I got them, built up that business, which was real good. So I just did it. I think maybe I was just blind. I just went into some of these things. We got kind of carried away. We're supposed to be talking on the Italian Colony, aren't we? ROSA: This is all part of that. LINDA: This is all part of it. But as far as getting the ice cream machine and maybe the motel, were you just in the right place at the right time? Just kind of… BABE: That's probably the story of my life, yeah. I think that -- I really believe the gift of the seventh son really played a part on me. Because everything always works out. 22 LINDA: So would you like to tell us a little more about Lincoln Terrace? You're the first person I've interviewed, I'm thinking, isn't it true that grew up on Lincoln Terrace? BABE: You read this book? LINDA: I've looked at it. I haven't finished it. BABE: You haven't finished it? LINDA: No. BABE: Our family's mentioned in that quite a few times. But first of all he just about hit it on the way it was, you know. It was close-knit, Lincoln Terrace, and it was different than what today is. If you did something wrong and somebody scolded you and you went back and told your parents that the neighbor or whoever it was did this to you, you would get a call down again from him. It isn't that knock at the door saying what -- like today, you got assault and battery like that. In other words, they all watched one another. It was really a family unit up there. So you couldn't do anything wrong, and if anybody came on the street that wasn't part of the street, everybody knew about it and they watched them. So it was quite a neighborhood, it really was. And like I say, we enjoyed the -- now, the early part of it is I can look the -- they all had gardens the way they all had pigs in the back of the house, and when the fall of the year come they would all slaughter and they'd all help one another. I got that on film by the way, 8 mm. LINDA: What, the slaughtering the pigs? BABE: Yeah. LINDA: Oh, that's interesting. Now, was there a smokehouse? BABE: No. They did things themselves. They take the hams and they make the prosciutto out of those. You know how they do that? LINDA: Nuh-uh. BABE: Actually, they take the hind of the pig, and they really salt it and pepper it, all that it will take, and then they put it in most cases in the cellar up 23 against some beam or another beam, and then with a hydraulic jack or whatever kind of a jack, they keep squeezing it until the ham starts this big until it [unintelligible - 00:48:37] that big, but the salt and the pepper is actually curing it out. You heard of that, did you? No? So they did that. They made the meat, they made the sausages. Very few people used to cook the blood. We never did that, but a few of them did and make the… use that. But the whole pork chops, the whole thing, they saved every bit of it. LINDA: Now, did most people have a pig? BABE: In Lincoln Terrace they did. LINDA: They did. BABE: Yep, in those days. LINDA: So they'd all get together on one day and … BABE: They always worked together. Helped one another do things. LINDA: Was that day called something in particular? BABE: No. LINDA: No. BABE: No, and then like the -- I got a large grapevine. See, the whole hill did [unintelligible - 00:49:37] grape used to make his own wine. Then they all had big gardens. And another thing the Italian women up on Lincoln Terrace, on tomato time they would actually make tomato paste. I don't know if you ever saw that. They would have all these boards of pine nice and clean, they spread all the tomato on it, and then put one of those nets on it that they used to cover babies in a carriage to keep the flies out and so forth. And just by working that they made their own tomato paste. And they'd do all different things like that, you know, which they don't do today. It's easier to go to the store today and buy it. 24 LINDA: So when they slaughtered the pig and they made the prosciutto and et cetera… BABE: [Unintelligible - 00:50:24]. LINDA: When they slaughtered the pig, how did they store the -- how did they store what they had made? BABE: Mostly in the cellar. The meats [unintelligible - 00:50:34] like they'd make the sausage and they'd hang them up to dry. They had them covered and they'd hang them up to dry, and they would dry until they dried out with the [unintelligible - 00:50:45] it was all ice boxes what they had then, you know. But they'd have a place in the cellar which was damp enough or so forth that would last -- none of it wasted; they certainly ate it all before anything got to be wasted. LINDA: Was there any trading between families? BABE: I wouldn't say so, no. They had it all. They would give it to somebody like that, but there wouldn't be any trading. If somebody needed something, they would give it to them. LINDA: For some reason I can't remember what you call this, but when you dig out, let's say, a little hill when you keep food in it, what is that called? BABE: They didn't do that. They had it all in the cellar. ROSA: They just used the cellar cold. They can't do it today -- you can't do it today with the heat in the houses, but in those days the cellars were damp and cold sausages could be strung up in the rafters. And prosciutto. They made their sausages with the tubing, I remember seeing them. LINDA: Was that a long process, making the sausage? BABE: Well you got a 300-pound pig; you got a little work to do. You've got quite a bit of meat there to… ROSA: They'd grind it … LINDA: Now, was that woman's work, men's work? BABE: Oh, they all worked. The women did the cooking. They did a lot of that there, and the women probably -- some of the women would put the 25 [rosin] in the hot water to clean the hair of the animals. Hot water and rosin [unintelligible - 00:52:29] take the hair all off. LINDA: Was the skin used for anything? BABE: Yeah, they cooked that up. ROSA: Salt pork. BABE: Yeah. LINDA: So that's really what salt pork is? BABE: There was no waste. Probably threw the hoof away, didn't use that. ROSA: The head. LINDA: Did they throw the head away, or did they use part of it? BABE: Some people ate the head. Yeah some did. We didn't. ROSA: The ears, too. BABE: They all had chickens. LINDA: [Unintelligible - 00:53:05] throw the head away! BABE: And they all had chickens. In fact, my mother had her own little hobby [unintelligible - 00:53:11] times she had chickens and the eggs, and you know, feed the family, and if there's any eggs over she would sell them to the neighbor. So she would do that. My mother never learned to speak English too well even though she did the answering for my father, but it was -- my father could interpret what she would say even though she was saying it wrong. Like there was a company called Bowen and Fuller in Leominster, and my father always said this to people that they called my mother and have your husband come, we've got some deliveries to make, and she asked what company they said Bowen and Fuller. She said "Damn Fool?" He said no, Bowen and Fuller. She asked two or three times and yes. So my father came home, and she said, "Damn Fool wants you to pick up." So he knew them when he went there. The guy says, [unintelligible - 00:54:09] your message and the guy says yes. But they did understand one another. Of course the guy knew that she wasn't doing it to insult him 26 or anything. She didn't know any different on that. But she never learned the -- very, very little English. My father, working with the French people, he learned to speak French, and he learned the English right away, and of course he had the Italian. LINDA: Well, what about you and your brothers and sisters? Did you speak Italian? BABE: We understood it and so forth. They can speak it, but very [unintelligible - 00:54:50], and I can understand quite a bit what happens. Incidentally the three oldest children went to a French school at that time, and they learned French also. LINDA: What school? St. Cecelia's? BABE: St. Cecelia's, yeah. They went three years and then the French people needed a school for themselves and they transferred to St. [unintelligible - 00:55:14] school. LINDA: Now, I heard some people tell me that they weren't allowed to speak Italian in their homes after they learned English at school. Was that true for your family? BABE: Nope. No, we always spoke it. But my wife now, when she came over -- she came from Italy, and I didn't -- and when she came home with the school -- she's not from here, she's from Pennsylvania. But she refused to learn English until the teachers got -- one friendly teacher, "But why don't you want to learn?" She says, "I won't be able to speak to my mother and father then." She thought she'd lose the English. And after that day she made all kinds of honors in school. So she -- but in our house, now, my children, two of them they didn't speak -- we never spoke in Italian, but -- so we [unintelligible - 00:56:12] secret family thing when you're in front of the children, we'd speak Italian, my wife and I, not to be heard, but that's all done now because my daughter went out and became a professor of Italian history, so that brought us out. We can't even… 27 LINDA: So was it important for your family, your father and mother, for their children to assimilate, to become more American? BABE: We never discussed that. I don't think that ever came a thing -- you do the best you can do. That was about the biggest teaching that my father ever gave. Do the best you can do, stay out of trouble. And the other thing he always was a stickler for was he said you always respect authority. He said if someone does something wrong you respect it, you do it when you come home, you tell me about it, and I will take care of it. Of course it was just [unintelligible - 00:57:06] he never did anything everything after it, but meanwhile he kept peace in the family. LINDA: So he didn't want you to confront an adult; he would. BABE: Nope, and you know, in most cases you don't win with authority. You listen to it, and that's it. LINDA: So tell me about your mother. What was she like? BABE: My mother was strictly a loving for her children. She'd do anything for us. To quote my wife, which we shouldn't put on tape… LINDA: You don't want to? BABE: No, I'll tell you what my wife says about my mother. If it's not on tape. LINDA: If it's not on tape, okay. BABE: One of the things that happened though before [unintelligible - 00:57:56] we got married, my wife would go with my sister shopping and so forth. And in our house everybody -- they're all married now, but everybody would end up at the kitchen table at nighttime after the day's work, and my mother would -- you know, there was just the two of them, my mother and father at home, but there was always two or three pounds of spaghetti made, and we'd all eat there and then go home and say we're not hungry. But there was this one day we're there and my wife and my sister went shopping. They were late when they came in, so my brother-in-law and I said so let's have some fun. So the minute they came in, I says "Tina, where have you been? You know I worked all hard all day. I come home 28 and I want to eat." And so she says, "Well, we shopped." And my mother spoke up, she says, "That's not right. You got to feed your husband when he comes…" Well, then my brother-in-law to my sister says the same thing, you know. And my mother spoke up, and maybe she had something important to do. Same conversation. So -– but she was [unintelligible - 00:59:07] she was sick for a while. She had lost one eye too, and so for a while she was a -- but she could find -- after that she could find things that we couldn't, with that one eye. We would lose something and she would find it, even a pin or something like that, but… LINDA: Did she come from -- she came from Italy but differently than your father? I mean … BABE: Three years later. 1909 she came. LINDA: Did she come directly to Leominster? BABE: Well, she landed in Boston. Now, how she got there from Italy I don't have any information on that. LINDA: Do you know how your parents met each other? BABE: Probably out in the farm someplace, I would guess, because that's all they did; they were farmers. Even the woman worked the farms out there and so forth. So, a lot of them out there worked in [unintelligible - 01:00:03] actually who worked for the people that owned the land. LINDA: Where? BABE: In Italy. LINDA: Oh, they knew each other in Italy? BABE: Oh yeah. LINDA: Oh. 29 BABE: When she came here she -- well, that picture there shows her when she came in 19 -- with her children there, that's the picture when she came in 1909. LINDA: Okay. BABE: One of those. LINDA: Okay, so they knew each other in Italy? BABE: Yeah, they got married in Italy. They got married in Italy. LINDA: Then came here separately. BABE: Yes. LINDA: Not at the same time? BABE: No. LINDA: Okay, I didn't understand that. Did they have children [unintelligible - 01:00:45]? BABE: Yeah, yeah. This one here it was 1910 when she came. There was three of them. There was the three. They would be 1, 2, 3 that she came back with. Of course she came here in 1909, 1910 there was another one added at that time. LINDA: So your father came without the family first and then brought them over? BABE: They all did that. They all boarded. If you will look at the directory, they all, the Italians all boarded someplace. They -- none of them had their own home or anything like that in the beginning, so their wives came over and then they would find a place. LINDA: So growing up and you're working with your father, did you work six days a week? BABE: Sometimes seven. Not too often, but sometimes we'd have things to do and we'd do it. So in other words you have to realize when I got to the working age, I was in the Depression, actually. So you took it as you could get it as far as work is concerned. LINDA: Did you work out during the daylight hours? 30 BABE: Oh yeah. We generally got home [unintelligible - 01:02:06] unless there was an emergency job you stayed later. We'd get home about five, five thirty from a job, start at eight o'clock in the morning. LINDA: And then you would eat dinner with your parents? BABE: Mm-hmm. LINDA: And who made the dinner? BABE: My mother. LINDA: What about your sisters? BABE: They were married by that time. Don't forget, they were completely -- they were much older than I was, so they were -- by the time that I started eating, you know, they were married. LINDA: So tell me what kind of things you ate. The types of things your mother made. BABE: All the good things that I like. LINDA: Which is what? BABE: She made spaghetti, pasta [la jour], even polenta. I know you know what that is. LINDA: Mm-hmm. BABE: In those days that was a poor man's meal. Today you go in restaurants you pay a fancy price for it. LINDA: I should have said no, I don't know what it is so you can explain to us on tape. I'll have to get that sometime. So what's polenta? BABE: Lentils, I like lentils. She used to make that, different soups. I'm sorry, what did you say? LINDA: What's polenta? What is it? BABE: Corn -- mush is what it is, actually. LINDA: How would she serve that? BABE: We'd put it on the board, on the table, you spread it all over a board, and then what we'd do, the fun we'd have is try to decide what we're going to carve, and everybody would just carve whatever shape we wanted. And another thing she'd do too at times would be so we would eat all of it, 31 she'd put meat in the middle, and you had to work your way. If you didn't work your way you wouldn't get to the meat. You know, whether it was a meatball a piece of pork chop something like that. LINDA: So it was kind of polite eating. You eat from the outside in? You don't just dig in. BABE: No, no you have to work your way in, clean the road as you go. But on holidays, surprisingly, my father would do the cooking. I know on Easter especially he would make the ham and fix it all up and put the garlic in it and so forth. He always did that. LINDA: Now, during the Depression, did you eat meat at all, or was that really a luxury? BABE: It was a luxury. LINDA: Were different foods prepared on a Sunday compared to the rest of the week? BABE: Yes, Sunday you would have a bigger meal. And during the height of the Depression, we'd probably get oranges at Christmastime, maybe a banana at Christmastime. The rest of the year you didn't need it, so you didn't get it. LINDA: Do you want to go back to your jobs then? BABE: My jobs? LINDA: Yeah, jobs. BABE: Such as? LINDA: Or your companies or your interests. Like the motels. How did you get involved in the motels? BABE: Well, we went out to get some materials. It was in New Jersey, picking up some pallets for the block plant at that time, and it was next door to a motel, the pallets and so forth, and I started talking to the fellow and so forth. And [unintelligible - 01:05:44] the business, and now I had the ice cream place, I had the tourist stopping, so the brain just clicked in it would be nice to have a motel in Leominster. We had none. That was the first one. So that's what I did. I built a motel. 32 LINDA: Where did you build it? BABE: On Route 12 right next to my ice cream place. So that -- I didn't have any money at that time, so that was a problem. I went to the bank, it was the first bank I went to, told them I wanted $25,000, to borrow $25,000, said what are you going to do and I explained. They said you can't do that for that price. I said oh yes, I can I buy all my materials wholesale, and I do all the work myself. And he said well, in that case you have to give me a list of what it's going to cost you because I can only loan you 80 percent of what you're going to pay. So my answer to him was you really don't want me to build the motel, do you? But I fought it. Like I say, I made up my mind I was going to fight it and I did, so I just kept going and we built it. LINDA: So did you end up borrowing the money from a bank? BABE: Oh yeah, I got money from a bank—not that bank though, another bank. But then I started with eight rooms and built another eight and built another eight, and then four more on that same site, and so that worked out good. That was a good business. LINDA: And you kept the ice cream business in addition? BABE: Yeah. LINDA: So who ran the motel? BABE: Hmm? LINDA: Who ran the motel? BABE: I did. There was nobody else to run it. My wife was busy with the children at that time. LINDA: I thought there were only 24 hours in a day! That's why I'm asking. BABE: Well, I still slept three hours. You get up in the morning at eight o'clock. About eight we'd go have some breakfast and then close about two o'clock. Three nights a week I'd make ice cream until about three or four o'clock in the morning. Then with the motel beside it, you get -- break up during the night, people checking in late, so that was the schedule for a number of years. 33 LINDA: Where were you living at this time? BABE: We built a house in back of the motel and ice cream place. LINDA: Okay. So did you advertise for the motel? BABE: Yeah, we did advertise on that. LINDA: So who was staying in the motel, people visiting? BABE: We had -- mostly it was a commercial motel and we had mostly salesmen, engineers, buyers. It was all very good class of business that we had, and tourists and so forth, but we had quite a reputation that we even had quite a few of the national companies that if they were within 50 miles of our place such as Gates Rubber from Colorado, Singer Sewing Machine, if any of their people were within 50 miles of our motel, we had direct billing with them, they'd stop with us. But we made it very, very comfortable for them, because we learned very early that a salesman or an engineer or anybody that's traveling alone is the most lonesome guy in the world. So the thing that we would do is if a guy comes in and he could be with the plastic industry, he's alone, somebody else we know is in the motel in the plastic business he's alone, we have them meet one another. They'd go out and from then on they'd come back, because they knew that it was always -- they were going to meet somebody there instead of just sitting in a room all night long. And we built up a wonderful business that way. In fact, even -- we had a regular customer of ours once got in an automobile accident, and he couldn't go back home and we were full, and we asked [unintelligible - 01:09:51] two people of other customers that one of our customers was in an accident and can't go home, would you mind packing up and leaving? They did. LINDA: Wow. BABE: You know, which is so unusual. We explained what it was, but even that was a family affair that they would. It was a lot of fun. We had a lot of 34 fun doing that. One of the regulars that came in would we would always be pulling jokes, stuff like -- one time he brought somebody in and my wife was in Florida with her mother at the time, so I don't know what made me do it, but this guy was saying I've got to meet your wife, I hear so much about it from the other guys. So I said, yeah, but you know, when you talk to her she's hard of hearing, so then I pick up my wife and I said this wonderful guy from Chicago is in room 9. Wonderful guy. He was doing management surveys for the [unintelligible - 01:10:58] on Adams Street. So I told Tina he's hard of hearing. So now when they come in, they're all there, because they always -- we had a lawn area that we sit at, and so I said, Tina there's the guy, so, "How are you," and they're hollering like two idiots back and forth, and everybody starts laughing. But it was good for a joke. But they all accepted it as such, and that's it. Now, the one I got to say on the ice cream place now, I'm going to take a [unintelligible - 01:11:30] had his favorite place. I gave ice cream to every church in Leominster but my own. We'll have to continue. LINDA: We were talking about you had a story about churches and giving ice cream. BABE: Yes, I gave ice cream to every church in Leominster but St. Anne's, my church. Because what would happen, even the synagogues, the Jewish would call up and they want ice cream, how much is it. And I'd say $5 a tub. When I'd bring it up I'd give them a receipted bill. My own people, when they'd call, they'd say, "Oh, we can buy it for $4.50," so I never had the opportunity to give it to them, right? LINDA: Really? BABE: That was in six years I think I gave to every church in Leominster but my own. Now, I never told them I was going to give it to them for nothing. They asked me what the price was. The price was $5 a tub. So I guess that's all right. We all still made it. 35 LINDA: How long did you keep the ice cream? BABE: From 1950 to 1958. LINDA: And what about the motel? BABE: Motel, sold that in '64. LINDA: You had two didn't you? BABE: Yep, sold the other one about the same time. The other one I bought. I didn't build the other one. LINDA: And what was that, West… BABE: West [unintelligible - 01:12:59] Motel. LINDA: Is that the one that's across from -- well, it's Sam's now -- I mean, not Sam's, Walmart. Is that the one? BABE: No, it's up further. It's at the junction of 110 and 12. LINDA: All right. So again, give me an idea of what a day was like for you when you owned both the ice cream shop and the motel. BABE: Hectic. Get up in the morning, help out at the place… you know, noon time was busy there and so forth. And then at night start checking in people at the motel, then come back and make the ice cream. Like I said, I did all my building in the wintertime, too. [Unintelligible - 01:13:48] like I built the motel myself, I did that all. And the other thing we did during that time again was one summer, which was really -- my wife got me involved, and we built -- with the people of Leominster now, they're very generous; we built a swimming pool for the Nazareth Home for Boys. So I'm the owner, I'm doing the blocks, and I'm doing all the rebuilding of it. And people always like to have fun, and I had fellows working for me, a police officer mowing my lawn at the motel and stuff. And I know that the day I laid blocks I was just about dead, and I come home and [unintelligible - 01:14:35] is really doing good you hired people to do work for you, you're getting lazy. 36 But that was all, it was a lot of work, just busy, busy. But I enjoyed it. I think someone said one time that work won't kill you, and it didn't. LINDA: It sounds like your wife was supportive. Very supportive. BABE: Yeah, she is. She did. She had to take care of the children, and she also, at the same time, she was taking care of her sister's. She was one of the waitress I had. She had to waitress, she took care of their two children too, then at night she would come up and help with serving customers. Although she was a troublemaker. She's the one that liked to joke with the customers. For example, we used to have -- a new product came out, the ketchup that you squeeze it, the pump it, they called it. On Saturday night we'd get those big gang of dancers come in, dress suits, ties. So this one guy was trying to get the ketchup on and it wouldn't work on a hamburger. We said, "Tina, why don't you throw these away? They don't work." So she says, "You don't mind if I squeeze it at you?" "Go ahead," he says, so of course, ketchup all the way down his face. She never worked on Saturdays, but one Saturday she's working and one of our good customers from Connecticut would come by every Saturday with his wife and family going to New Hampshire camping. I'm outside talking to the guys and he came out and said, "You know, I don't know who that new waitress you got, but you better fire her or you won't have no customers left." I said, "Which one?" I said, "I can't fire her, she owns it!" But it was always funny, and I think that's what kept it going. It wasn't -- we enjoyed it, and that's probably what kept us going. We didn't look at it as a job or as work. We looked at it as something to do, and we were happy while we did it. LINDA: Did you have many employees? 37 BABE: Well, probably on the weekends was the most. It was probably about eight or nine of us on a weekend working. LINDA: Working at the ice cream shop, or… BABE: As far as the motel, it only required -- two girls would work just in the morning. That was separate girls, you know. A few hours they would have the rooms all ready. Then my children, we had the miniature golf. LINDA: Oh, that's right did. You built the miniature golf next to the ice cream shop? BABE: Yeah. LINDA: Now, where did you get that idea? BABE: I saw one, and I thought it would be nice to have, so I built one. LINDA: So, again, would that be the first miniature golf place in Leominster? BABE: No, there had been one for years and years up on North Main Street behind the bowling alleys. The motel was the first one in Leominster. LINDA: Well, then tell me about building the miniature golf. You actually designed it and built it? BABE: No, I didn't design it. The people I bought the equipment from did the designing of it. But I built it, I put it in there. Everything was designed by them, and I bought all the fixtures and so forth from them. LINDA: And then your children worked there? BABE: Yeah. LINDA: So how did you and your wife feel about education for your children? BABE: We felt tops for education. We probably made a couple of mistakes educating our children. To be very honest, I think St. Ann's, my son went there, and I think that was a mistake because there was [unintelligible - 01:18:44] 60 kids in the first grade. And had he went to where I went to school, they had 11 children. It would have been almost like a private tutoring. So what we did with him to pick up, we sent him to Julie Country Day afterwards, which is a private school, and from there he went to Worcester Academy. LINDA: I guess I'm interested to know how something like that happens. 38 BABE: Like what? LINDA: Like that you went to the 9th grade, you said, and your father is an immigrant who came over here to work so hard, and you know, he may not have had much schooling, and then all of a sudden your son is going to Worcester Academy. BABE: Because I wanted him to go there. LINDA: Because you wanted him… BABE: Oh yeah. LINDA: And why did you want him… BABE: In fact, [unintelligible - 01:19:34] when people ask me what I did I say I'm a bum. And of course my son must have heard me two or three times and, I know when he was ready to go to college, he said, "Dad, I don't want to go to college. I want to be a bum." I said, "You're going to be an educated bum." And he went to college, which he did very, very good [unintelligible - 01:19:51]. But no, we felt that the he lacked the basic knowledge at the very beginning. /AT/pa/mlb/es
Consists of thesaurus used in indexing the public papers of Leonor K. Sullivan, housed in the Saint Louis University School of Law Library. ; SAINT LOUIS UNIVERSDY GE JK1323 1952 .S34 1989 c.3 THE HONORABLE Leo nor K. (Mrs. John B.) Sullivan A Guide to the Collection St. Louis University Law Library Saint Louis University Schoo( of Law 3700 Lirufeff B(vd., St. Louis, MO 63108 LEONOR K. SULLIVAN 1902-1988 A Guide to the Collection Researched and prepared by: Joanne C. Vogel Carol L. Moody Loretta Matt LAW LIBRARY ST. LOUIS UNIVERSITY 3700 LINDtLL BLVD. ST. LOUIS, MO 63108 Copyright 1989 Saint Louis University Law Library 00 ' ()) THE HONORABLE LEONOR K. SULLIVAN 1902-1988 TABLE OF CONTENTS I. Portrait of Leonor K. Sullivan II. Biography III. Sullivan Plaques and Awards IV. The Leonor K. Sullivan Collection V. List of Subject Headings LEONOR K. SULLIVAN Leonor K. Sullivan, the first woman from Missouri to serve in the United States House of Representatives, was born Leonor Alice Kretzer, August 21, 1902, in St. Louis. She attended public and private schools in St. Louis, including Washington University. Prior to her marriage, Mrs. Sullivan pursued a business career and eventually became the director of the St. Louis Comptometer School. She married Missouri Congressman John B. Sullivan on December 27, 1941, and served as his administrative assistant and campaign manager until his death in January, 1951. Following her husband's death, Mrs. Sullivan unsuccessfully attempted to win the local Democratic party's nomination to succeed Congressman Sullivan in the special election. The seat was lost to a Republican candidate. In 1952, Leonor K. Sullivan running on her own, without party support, defeated six opponents in the primary election to become the Democratic nominee for the Third Congressional District. In the general election, she defeated her Republican opponent and recaptured the seat once held by her husband. Mrs. Sullivan represented the Third Congressional District until her retirement in 1976. While in Congress, Leonor K. Sullivan was known as a champion of consumer issues and she had a key role in enacting legislation to improve the quality of food. The Poultry Inspection Law and the Food Additives Act are just two of her important triumphs. As chairman of the Subcommittee on Consumer Affairs of the House Committee on Banking and Currency, Mrs. Sullivan was responsible for the Consumer Credit Protection Act of 1968, which included the Truth in Lending Act, and the Fair Credit Reporting Act of 1970. Mrs. Sullivan also authored the original food stamp plan to distribute government surplus food to the needy and she worked to solve the housing problems in our cities. At the time of her retirement, she was the senior member of the House Committee on Banking, Currency, and Housing. She was a member of the National Commission on Food Marketing, 1964-66; the National Commission on Mortgage Interest Rates, 1969; the National Commission on Consumer Finance, 1969-72; and she helped found the Consumer Federation of America in 1966. Mrs. Sullivan served as chairman of the House Committee on Merchant Marine and Fisheries. Her support of the American Merchant Marine earned her the American Maritime Industry's Admiral of the Ocean Seas Award (AOTOS) in 1973. The men and women who served in the Coast Guard and the Merchant Marine continuously honored Mrs. Sullivan for her support, understanding, and dedication. Always active in waterways projects, she fought to allow the 51 year old DELTA QUEEN to continue as an overnight excursion vessel. Mrs. Sullivan's work as chairman of the Subcommittee on Panama was especially important as she became involved with the political, economic, and social challenges of the Canal Zone and the people who lived and worked there. Leonor K. Sullivan worked hard for St. Louis. She sponsored legislation to fund the development of the Jefferson National Expansion Memorial on the St. Louis Riverfront, to keep St. Louis a well managed port city on the Mississippi trade route, and to preserve the buildings so important to the history and heritage of St. Louis. Wharf Street has been renamed Leonor K. Sullivan Boulevard to honor her support of the Gateway Arch project and the Jefferson National Expansion Memorial. Following her retirement, Mrs. Sullivan returned to her river bluff home which overlooked the Mississippi River. She remained active in civic affairs, serving on numerous boards and committees. She became a director of Southwest Bank, chairman of the Consumer Advisory Council to the Board of Governors of the Federal Reserve System, a member of the Board of Directors of Downtown St. Louis, Inc., a member of the Lay Advisory Board of Mount St. Rose Hospital and Rehabilitation Center, and she sponsored a consumer award program through the Better Business Bureau. Mrs. Sullivan was always in demand as a featured speaker at business, educational, and social functions. In 1980, Mrs. Sullivan married Russell L. Archibald, a retired vice president of the American Furnace Company. Mr. Archibald died March 19, 1987. Leonor K. Sullivan died, in St. Louis, on September 1, 1988. SULLIVAN PLAQUES AND AWARDS The Sullivan Collection includes many awards, citations, plaques, letters of recogn1tlon, pictures, and other memorabilia. During her career, Mrs. Sullivan received over 200 awards, some of which are permanently displayed in the Law Library. 1. Missouri State Labor Council, AFL-CIO - a proclamation designating Leonor K. Sullivan as organized labor's First Lady. Presented September 8, 1976. 2. Robert L. Hague Merchant Marine Industries Post #1242 - Distinguished Service Citation for Mrs. Sullivan's work as Chairman of the House Merchant Marine and Fisheries Committee. 3. Oceanographer of the Navy - presented by RADM J. Edward Snyder, Jr., USN, Special Assistant to the Under Secretary or the Navy. 4. Panama Canal Gavel - made from one of the original beams of the Governor's House, the gavel was presented to Mrs. Sullivan by Governor W. E. Potter as a "token of appreciation for demonstrated interest in the Panama Canal and the Canal Zone Government." 5. Consulting Engineers Council of Missouri - expresses appreciation for Mrs. Sullivan's concern and understanding of the role of the consulting engineer. 6. St. Louis Democratic City Central Committee - Special Award recognizes Leonor K. Sullivan's "dedicated service to the people of Missouri, the United States of America, and the Democratic Party . ," presented September, 19, 1976. 7. Consumer Federation of America - CFA Distinguished Public Service Award, June 14, 1972. 8. Reserve Officers' Association, Missouri - President's Award recognizing Mrs. Sullivan's service to the nation during her 24 years in Congress. 9. American Waterway Operators, Inc. - recognizes Mrs. Sullivan's " . Instrumental Role in the Development of the Inland Waterways of the United States." I 0. American Institute of Aeronautics and Astronautics, St. Louis Section - 1976 Civic A ward for Outstanding Contributions to Communities and Nation during 24 years in the House of Representatives, May 11, 1976. 11. Federal Land Banks 50th Anniversary Medal - " . awarded in 1967, to Leon or K. Sullivan for outstanding contributions to American Agriculture." 12. St. Louis Board of Aldermen - Resolution #101 (March 12,1976) honoring Mrs. Sullivan for her 24 years in Congress. 13. Human Development Corporation of Metropolitan St. Louis - Certificate of Recognition, September 29, 1978. 14. Older Adults Special Issues Society (OASIS) - Confers honorary membership upon Leonor K. Sullivan, August 22, 1974. 15. National Health Federation - Humanitarian Award, October 11, 1958 - especially recognizes Mrs. Sullivan's efforts for protective legislation against injurious additives in food and beverages. 16. U.S. Merchant Marine Academy, Kings Point, New York - an award presented to Mrs. Sullivan by the Alumni of Kings Point. 17. American Numismatic Association - a 1972 award presented to Mrs. Sullivan for her generous support. 18. Official Hull Dedication for New Steamboat - replica of the dedication plaque unveiled by Mrs. Sullivan in Jeffersonville, Indiana, November 11, 1972. Hull 2999 was the official designation of the new passenger riverboat being built for the Delta Queen Steamboat Company. The dedication also recognized Leonor K. Sullivan's successful legislative efforts on behalf of the DELTA QUEEN. 19. Jewish War Veterans of the United States, Department of Missouri - 1963 Americanism Award for "her unselfish devotion and untiring efforts on behalf of all Missourians regardless of race or creed." 20. National Marine Engineers' Beneficial Association, AFL-CIO - recognizes Mrs. Sullivan's service and support of the U.S. Merchant Marine, February 26, 1975. 21. Child Day Care Association - 1973 award for sponsoring child welfare legislation. 22. St. Louis Democratic City Central Committee - 1973 Harry S. Truman Award. 23. Seal of the Canal Zone Isthmus of Panama - a wooden copy of the Seal "presented in appreciation to Hon. Leonor K. Sullivan . " Canal Zone; Masters, Mates, and Pilots Association; National Maritime Union; Central Labor Union; Joint Labor Committee, 1969. 24. Atlantic Offshore Fish and Lobster Association - recognizes Leonor K. Sullivan's efforts to preserve and protect the Northwest Atlantic Fishing Industry, June, 1973. 25. Photographic portrait of President and Mrs. Johnson inscribed to Leonor K. Sullivan. 26. Photographic portrait of Lyndon Johnson inscribed to Leonor Sullivan. 27. Photographic portrait of Hubert H. Humphrey inscribed to Congressman (sic) Leonor K. Sullivan 28. H.R. I 0222 - Food Stamp Act of 1964 - first page of the engrossed copy of the bill, signed by John McCormack, Speaker of the House. 29. St. Louis University School of Law - Dedication of the New Law School, October 17-18, 1980 - recognizes Mrs. Sullivan's leadership gift. 30. West Side Baptist Church Meritorious Achievement Award, 1974. 31. Inaugural visit to St. Louis of the MISSISSIPPI QUEEN, July 29, 1978. 32. Gold-framed reproduction of a portrait of Mrs. Sullivan which hangs in the Longworth House Office Building. 33. Flora Place Association, November 4, 1976 - an award recognizing Mrs. Sullivan's 24 years in Congress. 34. St. Louis Police Relief Association, July 24, 1974. 35. St. Louis Argus Distinguished Citizen's Award, 1978. 36. George M. Khoury Memorial Award- "Woman of the Year," February 2, 1974. 37. Distinguished Service to the United States Coast Guard, February, 1976. 38. National Association of Mutual Insurance Agents - Federal Woman of the Year, October 12, 1974. 39. Chief Petty Officers Association, United States Coast Guard - Keynote speaker at Sixth Annual Convention, October 7-12, 1974, in St. Louis, MO. 40. Home Builders Association - Distinguished Service A ward, November 7, 1970. 41. Young Democrats of St. Louis - Distinguished Service Award, 1964. 42. Bicentennial Year Award, 1976 - a Waterford crystal bell and base presented to Mrs. Sullivan during the nation's Bicentennial. 43. Cardinal Newman College - Mrs. Sullivan's Cardinal Newman College Associates membership certificate presented during her tenure as Chairman, Board of Trustees, November 3, 1981. THE LEO NOR K. SULLIVAN COLLECTION Before her retirement, Leonor K. Sullivan made arrangements to donate her congress ional papers, correspondence, and memorabilia to St. Louis University Law Library. Mrs. Sullivan chose St. Louis University Law Library because her husband, Congressman John B. Sullivan (1897 -1951 ), was a graduate of the law school, having received his LL. B. degree in 1922, and his LL. M. degree in 1923. In 1965, Mrs. Sullivan founded a scholarship at St. Louis University for young women interested in studying political science. The collection covers Mrs. Sullivan's 24 years in the U.S. House of Representatives and is arranged according to her own subject headings. In this way, the materials provide insight into the way her office files and correspondence were organized. Mrs. Sullivan was known as one of the hardest working members of Congress and the wealth of materials in her collection attests to this. She had a tremendous concern for the average American family and much of her work dealt with their needs. Mrs. Sullivan often said the · best legislative ideas came from constituents, so she read every letter ever sent to her. Not only did she learn how the voters felt about current issues, but where there were problems which needed to be current issues. Papers from Leonor K. Sullivan's years as a member of the House Merchant Marine Committee and the Banking and Currency Committee provide background information for much of the legislation proposed during the period. Mrs. Sullivan was known as a consumer advocate long before such a position was popular and her efforts to improve the quality of food, drugs, and cosmetics are well documented. Materials are also available on Mrs. Sullivan's struggle for credit protection for the consumer, truth-in-lending, and fair credit reporting. Mrs. Sullivan was a strong supporter of the American Merchant Marine, the U.S. supervision of the Panama Canal, and the development of America's inland waterways. Her collection includes in-depth information on all these areas. Local St. Louis concerns are well represented in Leonor K. Sullivan's papers. She spent untold hours on the development of the Gateway Arch, the Jefferson National Expansion Memorial, and the port of St. Louis. She worked hard to maintain and increase the river traffic which is so important to St. Louis. After her retirement, Mrs. Sullivan continued to receive letters from former constituents and friends. She was active in civic affairs and her opinion on current issues was frequently solicited. The collection includes newspaper clippings, letters, and personal materials from this post-retirement period. Persons interested in using the Leonor K. Sullivan Collection should contact Joanne C. Vogel or Eileen H. Searls at St. Louis University Law Library, (314)658-2755. Written requests for information may be sent to: St. Louis University Law Library Leonor K. Sullivan Collection 3700 Lindell Blvd. St. Louis, MO 63108 Arthritis Research Arts Arts and Humanities see also Grants--National Endowment for the Arts Grants-- National Endowment for the Humanities Assassination of John F . Kennedy see Kennedy, John F. - -Assassination Assassinations--Select Committee to Investigate see Select Committee to Investigate Assassinations Atlantic Convention Atlantic Union Atomic Accelerator Laboratory Atomic Bomb--Fallout Shelter see a/ SO Nuclear Weapons-- Radioactive Fallout Atomic Energy see also Nuclear Energy Nuclear Weapons Auto Inspection Safety Auto Insurance Auto Insurance and Compensation Study Automotive Industry Automotive Transport Research and Development Act Aviation see a/ SO Airlines, Airport and Airway B-1 Program Development Act Airports Civil Aeronautics Board Concorde Supersonic Tra nsport Federal Aviation Administration Banking and Currency Committee Banking and Currency Committee-- Aluminum Penny Bill Banking and Currency Committee--Area Redevelopment Program Banking and Currency Committee Failures see a/so Independent Bankers Association of America Banking and Currency Committee- -Bank Holdings Company Act see a/so Banking and Currency Committee-Citicorp Banking and Currency Committee--Bank Holding Company Issues Banking and Currency Committee--Bank Lobbying Banking and Currency Committee--Bank Mergers 83nking and Currency Committee- -Bank Protection Act of 1968 Banking and Currency Committee- -Bank Safety Regulations Banking and Currency Committee--Bank Security Measures Banking and Currency Committee--Banking Act of 1965 Banking and Currency Committee -- B a nk i11~ Changes Banking and Currency Committee- Bankruptcy B:mking and Currency Committee--Taxation Banking and Currency Committee--Trust Activities Ban king and Currency Committee-- Certificates of Deposit Banking and Currency Committee--Citicorp see also Bank Holding Company Banking and Currency Committee-- Committee Business Banking and Currency Committee-Committee Notices Banking and Currency Committee-- Conferee Banking and Currency Committee-Congressional Record Entries Banking and Currency Committee-Consumer Credit see also National Commission on Consumer Finance Banking and Currency Committee-Correspondence with Boyd Ewing Banking and Currency Committee--Credit Information Ban king and Currency Committee-- Credit Union Financial Institutions Act Banking and Currency Committee--Credit Unions see also General Accounting Office- - Credit Unions Banking and Currency Committee- - Credit Unions--Insurance on Deposits Banking and Currency Committee- - Credit Unions--National Credit Union Bank Bill Banking and Currency Committee--Credit Uses Reporting Act of 1975 Banking and Currency Committee- - Debt Collection Banking and Currency Committee -- Defense Production Act see a[ so Joint Committee on Defense Production Banking and Currency Committee-Democratic Caucus Banking and Currency Committee-Disclosure Act Banking and Currency Committee-- Economic Development Act ee a[ SO Economic Development Banking and Currency Committee-- Economic Stabilization Act --Amendments B3nking and Currency Committee -- Economic Stabilization Act -- Correspondence Banking and Currency Committee-- Economic Stabilization Act--Mark-Up Session Banking and Currency Committee-- Economic Stabilization Subcommittee Banking and Currency Committee-- Emergency Financial Assistance Act see a[ so Banking and Currency Committee- lntergovermental Emergency Assistance Act Banking and Currency Committee--New York City-- Correspondence Banking and Currency Committee--New York City- -Legislation Banking and Currency Committee--Energy Conservation Legislation see also Energy Conservation Banking and Currency Committee--Export Control see a/so Export Administration Act Export Control Act International Trade Commission Banking and Currency--Export/Import Bank Banking and Currency Committee- -FINE Study (Financial Institutions and the Nation's Economy) Banking and Currency Committee- -FINE Study--Hearings Banking and Currency Committee--Farmers Home Administration- Low Interest Loans Banking and Currency Committee-- Financial Reform Act of 1976 Banking and Currency Committee--Gold Backing and Federal Reserve Notes Banking and Currency Committee- -Gold Price Banking and Currency Committee- Insurance see also Insurance Banking and Currency Committee-Interamerican Bank see also Agency for International Development Banking and Currency Committee--Interest Rates see also Interest Rates Banking and Currency Committee--Prime Interest Rate Banking and Currency Committee- -Savings and Loans- - Interest Rates Banking and Currency Committee-- Interest Rates-- Hearings Banking and Currency Committee- Intergovernmental Emergency Assistance Act see a/so Banking and Currency Committee-Emergency Financial Assistance Act Banking and Currency Committee- International Banking Act Banking and Currency Committee-- International Development Association Banking and Currency Committee-- International Monetary Policy see a/ o Banking and Currency Committee- - Monetary Policy Banking and Currency Committee--Laws of the State of Missouri Relating to Banks and Trust Companies Banking and Currency Committee-Lockheed Case Banking and Currency Committee-Monetary Policy see also Banking and Currency Committee-International Monetary Policy Banking and Currency Committee-Subcommittee on Domestic Monetary Policy Banking and Currency Committee-- Mortgage Interest Rates see also Federal National Mortgage Association Banking and Currency Committee-Mortgage Interest Rates--District of Columbia Banking and Currency Committee-Mortgage Interest Rates--Hearings Banking and Currency Committee--Mutual Savings Banks Banking and Currency Committee--National Commission on Productivity and Work Quality Banking and Currency Committee--National Consumer Cooperative Bank Act see also Consumer Interest--Miscellaneous Banking and Currency Committee--National Consumer Cooperative Bank Act see a/so Consumer Interest--Miscellaneous Banking and Currency Committee--New York City-Correspondence see also Banking and Currency Committee- Emergency Financial Assistance Banking and Currency Committee--New York City- - Legislation see also Banking and Currency Committee-Emergency Financial Assistance Banking and Currency Committee--NOW Account Banking and Currency Committee--One Bank Holding Company Bill Banking and Currency Committee--One Bank Holding Company Bill- -Clippings Banking and Currency Committee--One Bank Holding Company Bill- - Committee Information Banking and Currency Committee--One Bank Holding Company Bill--Letters Banking and Currency Committee--One Bank Holding Company Bill--Reports from Interested Groups Banking and Currency Committee--One Dank ll nlclinR c: . np:111y Bill-- Reports from Other Agencies Banking and Currency Committee--Penn Central see a/so Railroad Legislation Banking and Currency Committee--Prime Interest Rates see a/so Interest Rates Banking and Currency Committee--Record Maintenance in Banking Institutions Banking and Currency Committee-- Recurring Monetary and Credit Crisis Banking and Currency Committee-- Reven ue Bonds Banking and Currency Committee--Safe Banking Act Banking and Currency Committee- - St. Louis Banking Banking and Currency Committee-- Savings and Loan Companies see a/so Housing-- Savings and Loans Housing--Savings and Loans Bill Housing--Loans Banking and Currency Committee- -Savings and Loan Companies-Holding Companies Banking and Currency - - Savings and Loan Companies-- Interest Rates see a/so Interest Rates Banking and Currency Committee--Interest Rates Banking and Currency Committee-- Savings and Loan Companies-Investigation Banking and Currency Committee--Silver Banking and Currency Committee--Small Business see a/so Sma ll Business Administration Poverty Program-- St . Louis Small Business Development Center St . Louis--Small Business Administration Banking and Currency Committee- - Steering Committee Banking and Currency Committee-Subcommittee on Domestic Monetary Policy ,,,.,. also Banking and Currency Committee- Monetary Policy Banking and urrt!ncy Committee--Swiss Bank Accounts Uanking and Currency Committee--Taxing of National Banks Banking and Currency Committee- - Variable Interest Rate Mortgage Loans Bankrupt see Banking and Currency Committee -Bankruptcy Barge Lines see also Federal Barge Lines Dccf Research and Information Act n ct•J" Ucllcr Communities Ad see Housing--Better Communities Act Bicentennial Civic Improvement Association see a/ SO American Revolution Bicentennial Bicentennial Civic Improvement Bicentennial Coinage see also Coinage Bicentennial Material Billboards Association-- Clippings see Highways-- Beautification- - Billboards Birth Control see also Family Planning Illegitimacy Population Growth Sex Education Black Lung Act see also Coal Black Militants see Militants Mine Safety Act see also Negroes--Black Militants Bl ackman's Development Center Blind see also Handicapped Blood ::,ee Health -- Blood Banks Blumeyer P roject see Housing-- Blumeyer Project Boating see also Coast Guard Boggs , Hale Bookmobile National Safe Boating Week Recreation see Education --Bookmobile Books Sent to Libraries and Schools see also Lib raries Bowlin Project see Housing -- Bowlin Project for the Elderly Braceros see National Commission on Food Marketing Bracero Study Brazil see Foreign Affairs- - Brazil Bretton Woods Agreement Bride's Packet see Publications --Packets for the Bride Bridges see Martin Luther King Bridge Buchanan, Mrs. Vera Budget see also Management and Budget, Office of Budget and Impoundment Control Act Budget Material Building Sciences Act see Housi ng-- Building Sciences Act Bur"r'u of Standards see Food and Drug Administration--Bureau of Standards Bus Service see also Transi t -- Bi- State Business and Professional Women's Clubs see also Women's Organizations Busing see Education- - Busing Buy American Act Care see Foreign Affairs--Care Cabanne Turnkey Project see Housing--Cabanne Turnkey Project Calley, William L. Cambodia see Foreign Affairs - -Cambodia Campaign Conference for Democratic Women see a/so Women in Politics Campaigns Campus Riots see also Education--Campus Unrest Cancer see a/ SO Medical Insurance for Radiation Treatment Cannon Dam see Conservation--Cannon Dam Capital Punishment Capitol- - United States Carpentry see Housing--Building Sciences Act Catalog of Federal Assistance Programs Cattle see Food and Drug Administration- -Cattle Cemeteries see National Cemeteries Census see also Population Growth Central Intelligence Agency Century Electric Company see National Labor Relations Board-Century Electric Company Chain Stores see National Commission on Food Chamber of Commerce Cha rities Marketing- -Chain Stores Child Abuse and Neglect Child and Family Services Act see a/so Comprehensive Child Development Act Child Care see Poverty Program--Day Care Centers see also Poverty Program--Head Start Centers Poverty Program- -St. Louis Day Care St. Louis Day Care Child Protection Act Children , Youth , Maternal, and Infant Health Care Programs Chile see Foreign Aff:1irs--Chile Chirm sec Foreign Affairs--Red China China's Art Exhibit Cigarette Advertising Cities see Urban Affairs see a/so Housing--Urban Renewal Revenue Sharing Citizenship see Immigration -- Naturalized Citizens City Planning see a/ 0 Urban Affairs Civil Aeronautics Board see a/so Federal Aviation Administration Aviation Civil Air Patrol Civil Defense see also Emergency Preparedness Missouri--Disaster Area Civil Rights- -Clippings see also Integration Militants Negroes--Black Militants Negroes--National Assocation for the Advancement of Colored People Civil Rights- -Discharge Petition Civil Rights-- Equal Employment Opportunity see a/so Equal Employment Opportunity Equal Opportunity Civil Rights- -Equality for Women see a/so Women- -Equal Rights Amendment Civil Rights-- Housing see a/so Housing--Fair Housing Housing--Open Negroes--Housing Civil Rights- -Ireland's Roman Catholics Civil Rights--Legislation Civil Rights--Mississippi Seating Civil Rights --Pro Civil Rights-- Webster Groves Incident Civil Service Health Benefits Civil Service Legislation see also Federal Employees Civil Service Retirement Clara Barton House Clean Air Act see also Air Pollution Pollution Coal see a/ SO Black Lung Act Energy Crisis Mine Safety Act Mineral Resources Coal Mine Surface Area Protection Act see a/ so Mining Coal Slurry Pipeline Act Coal Tar Products see Food and Drug Administration- - Hair Dye Coast Guard see also Boating National Safe Boating Week Coastal Areas see a/so Outer Continental Shelf Lands Coca-Cola Bottling Company Cochran Apartments see Housing--Public Housing-Cochran Apartments Coinage Sl!l' a/ SO Bicentennial Coinage National Stamping Act Colleges and Universities see Education- - College Loan Program see a/so Schools--College Debate Color Additives see Food and Drug Administration--Color Additives Commemorative Postage Stamp for Jeannette Rankin Commemorative Stamps see a/so Kennedy, John F . First Day Cover Issues see Food and Drug Administration-Cranberries Creating a Joint Committee to Investigate Crime Credit Unions see Banking and Currency Committee- Credit Unions see a/so General Accounting Office- - Credit Unions Crime--Bail Reform Act Crime--General see a/so J oint Committe to Investigate Crime Juvenile Delinquency Law Enforcement Assistance Administration Prisons Crime--Gun Control Crime--Riots see a/so Housing--Insurance--Riots Crime--Riots- - Clippings Crime- - Switch - -Blades Cruelty to Animals Current River see Conservation--Current River Power Line Customs Bureau Cyprus see Foreign Affairs - -Cyprus Czechoslovakia see Foreign Affairs--Czechoslovakia Daily Digest see Panama Canal--Daily Digest Dairy Products see Milk see a/so Food and Drug Administration-Milk Dams see Lock and Dam 26 Conservation- - Cannon Dam Danforth Foundation see a/ 0 Foundations Darst- -Webbe Public Housing see Housing- - Public Housing--Darst-Web be Davis- -Bacon Act see Labor- - Davis-Bacon Day Care Centers see Poverty Program--Day Care Center see a/ 0 Poverty Program--St. Louis Day Care St. Louis Day Care Daylight Savings Time Deafness see Hearing Aids Death with Dignity Debt Ceiling Bill See a/so Goverment Debt National Debt Decontrol of Certain Domestic Crude Oil see a/so Oil Leases Defense ee a/ 0 Nation:1l Defense Defense Appropriations see a/ SO Military Construction Appropriation Bill Military Expenditures Military Pay Military Procurement Defense Contracts See a/so Federal Government Contract Legislation Military Procurement Defense Mapping Agency Sl!£' n/so Aeronautical Chart and Information Center Defense Production Act see Banking and Currency Committee-Defense Production Act .\Ce a/ so Joint Committee on Defense Production Defense Production, Joint Committee see Joint Committee on Defense Production Delta Queen Delta Queen-- Clippings Delta Queen--Correspondence Delta Queen- -Extend Exemption Delta Queen/Mississippi Queen--Clippings Delta Queen/Mississippi Queen-- Correspondence Democratic City Central Committee Democratic Clubs Democratic Coalition Party Democratic Convention--1972 Democratic Convention--1976 Democratic National Committees Democratic Organizations Democratic Party see a/so Banking and Currency Committee-Democratic Caucus Campaign Conference for Democratic Women Democratic State Committees Democratic Cities see Housing- - Democratic Cities Dental Health see Health--Dental Deodorant see Food and Drug Administration-Deodorant Department of Housing and Urban Development see Housing- -HUD Department of Labor see Grants--Department of Labor--St . Louis Department of Peace see Peace, Dept. of Department of the Interior see Grants--Department of the Interior-- St. Louis Department of Transportation see Grants--Department of Transportation-- St. Louis Desoto-- Carr Project see Housing- - Desoto-Carr Project Detention see Emergency Detention Act Development Bank ·ce Housing--Na tional Development Bank Diabetes Research see a/so National Diabetes Advisory Board Diet Foods see Food and Drug Administration--Diet Foods Digestive Diseases :,ee National Digestive Disease Act of 1976 Direct Popular Election of the President Disabled American Veterans see Veteran's Organizations Disarmament see also Arms Control Postal Boutique Commission of Consumer Finance see National Commission on Consumer Finance Commission on Federal Paperwork Commission on Food Marketing sec National Commission on Food Marketing Commission on History and Culture :see Negroes-- Commission on History and Culture Commission on Neighborhoods see National Commission on Neighborhoods Committee on Political Education see Political Education, Committee On Committee on P opulation Crisis see Population Crisis Committee Committee on Standards of Official Conduct Committee Reform Commodity Exchange Act see also Re- Pricing Commodities Commodity Futures see a/so Re- Pricing Commodities Common Cause Communications see also Federal Communications Commission Communism Radio Telecommunications Television Community Development Act Community Services Administration Comprehensive Child Development Act see a/so Child and Family Services Act Comprehensive Employment and Training Act see also Employment Compton--Grand Association see Housing Compton-Grand Association Comptroller General of the United States Concorde Supersonic Transport see also Aviation Concentrated Industries Anti - Inflation Act see also Inflation Congress- - 91st Congress--9lst--Senate Subcommittees Congress- -92nd Congress- -93rd Congress--94th Congress--94th--Majority Rpt . Congress--94th--Member's Pay Raise see a/ so Congressional and Civil Service P ay Raise Congress- -Committee on House Administration Congress-- Economic Committee see J oint Economic Committee Congress-- House Beauty Shoppe Congress--House Budget Committee Congress- - House Unamerican Activities Committee see a/ so Internal Security Congress- - Redistricting SC'(' Missou ri - - Redistricting Congress--Rules of Congressional and Congress--Scandals see a/ 0 Powell, Adam Clayton Congressional and Civil Service Pay Raise see a/ o Congress- - 94th- -Member Pay Raise Federal Pay Raise Congressional Fellowship Congressional Office--Payroll Congressional Pay Raise Congressional Record Inserts see a/so Jefferson National Expansion Memorial Congressional Record Inserts Congressional Reorganization see a/ 0 Legislative Reorganization Act of 1970 Congressional Travel Conservation --Cannon Dam see a/so National Park Service Parks Conservation --Current River Power Line Conservation --Eleven Point River Conservation-- Harry Truman Dam Conservation- -Lock Dam 26 see Lock and Dam 26 Conservation--Meramec Basin Conservation--Meramac Park Reservoir Conservation- -Meramac Recreation Area Conservation- -Mineral Resources see Mineral Resources Conservation --Miscellaneous see a/so Recycling Waste Conservation- - Recreation Area Conservation--Redwood National Park Conservation--Upper Mississippi River National Recreation Area see a/so Upper Mississippi River Basin Commission Conservation-- Water Resources see a/so Water Resources Planning Act Conservation-- Wild Rivers Conservation - - Wilderness Conservation -- Wildlife .\ee a/ :so Lacey Act Constitutional Changes Consumer Credit see Banking and Currency Committee--Consumer Credit see also National Commission on Consumer Finance Right to Financial Privacy Act Consumer In terest Miscellaneous see a/so Banking and Currency Committee- National Consumer Cooperative Bank Act National Commission on Food Marketing-- Consumer Information Publications-- Packet for the Bride Consumer Prod uct Information Bulletin see a/so Publications- -Consumer Product Information Copyright Legislation Copyrights Cosmetics see Food and Drug Administration- - entries Cosmetologists see National Hairdressers and Cosmetologists Cost of Living Council Cost of Living Task Force Council of Catholic Women see a/so St. Louis Archdiocesan Council of Catholic Women Women-- Organizations Cranberries Diseased Pets District of Columbia see also Home Rule-- District of Columbia Doctors see Immigration--Foreign Doctors see a/so Education--Nurses and Medical Students/Medical Schools Health Manpower Bill Douglas, William 0 . see Impeachment (Justice Douglas) Draft Dru'g Abuse see a/so Alcoholism, Narcotics Drug Abuse Office and Treatment Act Drug Advertising Drug Cases Drug Cost Drug Legislation Drug Regulation Drug Testing and New Drugs Drugs, Baby Asprin Drugs, Chemical Names Drugs, Factory Inspection Drugs, Habit- Forming Drugs, Interstate Traffic Drugs, Krebior:en see a/so Krebiozen Drugs, Strontium 90 see a/so Strontium 90 Drugs, Thalidomide see also Thalidomide Earthquakes East - West Gateway Coordinating Council see a/so St. Louis--East West Gateway Coordinating Council East St. Louis Convention Center Ecology see also Environmental Education Act Economic Committee see Joint Economic Committee Economic Development see a/so Banking and Currency-- Economic Development Act Economic Development Administration see a/so Grants--Economic Development Administration Economic Program Economic Summit Conference Economics--Joint Economic Committee see Joint Economic Committee Editorials--KMOX-TV see Radio and T elevision --Editorials Education see a/ so Schools Ed ucntion --Adult see a/ SO Adult Education Missouri - -Adult Education Act Education--Aid to Parochial Schools see a/so Aid to P arochial Schools Education --Federal Aid to Education Parochial Schools Education- - Aid to Private Schools See a/ 0 Aid to Private Schools Education --Federal Aid to Education Private Schools Education--Appropriations Education -- Bookmobile see a/ 0 Bookmobile Libraries Education--Busing see also Busing Integration Education--Campus unrest see also Campus riots Militants Education -- Clippings see ah;o Schools - - Clippings Education--College Loan Program see a/so Colleges and Universities Education--Higher Education Education--St udent Aid Bill Loans- - Student Student Loans Education- -Elementary and Secondary see also Schools Education--Federal Aid to Education see a/so Education--Aid to Parochial Schools Education-- Student Aid Bill Federal Aid to Education Education-- F ederal Charter for Insurance and Annuity Association see ah;o Insurance Education -- Food and Nutrition Program see a/ SO School Lunch Program School Milk Program Education--HEW Appropriations see also Health , Education and Welfare Education--Higher Education see also Education-- College Loan Program Education --Student Aid Bill Higher Education Missouri -- University Education- - Miscellaneous see also Quality Education Study Education--National Defense Education Act see a/so National Defense Education Act Education- - Nurses and Medical Students see also Doctors Heal t h Manpower Bill Medical Education Medical Schools Nurse Training Act Nurses Education-- Residential Vocational Education see also Education- - Vocational Education Vocational Education Education--Student Aid Bill see also Education- - College Loan Program Education--Higher Education Education --Federal Aid to Education Loan-- Student Student Loans Education --Tax Deductions for Education see a/ SO Taxes- - Deduction for Education of Dependents Education- - T eachers Corps see a/ ·o Teachers Corps Education-- Upward Bound Branch see also Upward Bound Education--Vocational Education see also Vocational Education Educational Grants Grants - - Educational Grants--HEW-- Public Schools Egypt see Foreign Affairs--Egypt Eisenhower, Dwight David Eisenhower College Elderly see also Aging National Institute on Aging Older Americans Act Elderly-- Employment Opportunities see also Employment Opportunities for the Elderly Older Americans Act Elderly - - Housing see Housing--Bowlin Project for the Elderly see also Housing--Elderly Election Laws see Missouri--Election Laws Election Reform see also Voting Rights Act Election Reform--Post Card Registration see alSO Post Card Registration Voter Registration Elections Commission Electoral College see also Direct Popular Election of the President Electric and Hybrid Research, Development and Demonstration Act of 1976 ee also Energy Conservation and Electric Power Electricity see Lifeline Rate Act Conversion Act of 1976 Elementray and Secondary Education Eleven Point River see Conservation- -Eleven Point River Elk Hills Oil Reserve see also Oil Leases Emergency Detention Act see also Detention Emergency Employment see also Employment Emergency Livestock Credit Act See a/so Agriculture Emergency Rail Transportation Improvement and Employment Act See Railroads--Emergency Rail Transportation Improvement and Employment Act Emergency Rooms see Medical Emergency Transportation and Services Act Emergency Security Assistance Act Emergency Telephone Number see a/ 0 Nine One One Emergency Unemployment Compensation Assistance ·ee a/so Unemployment Compensation Emergency Utility Loans and Grants for Witerizing Homes see a/ o Utility Loans Employment See a/ 0 Comprehensive Employment and Training Act Immigration Labor entries Manpower Minimum Wage Unemployment Employment- - Equal Opportunity Employment of the Handicapped see also Handicapped Labor--Handicapped Workers Employment Opportunities for the Elderly see Elderly --Employment Opportunities Endowment for the Arts see Grants--National Endowment for the Arts Endowment for the Humanities see National Endowment for the Humanities Energy-- Correspondence Energy Conservation see also Banking and Currency Commission--Energy Conservation Federal Power Commission Natural Gas Act Protection of Independent Energy Conservation and Conversion Act of 1976 see also Electric & Hybrid Research, Development & Demonstration Act of 1976 Energy Crisis SC'e also Coal Fuel for Cars Gas and Gasoline and Oil Allocations Oil Imports Oil Leases Energy Crisis-- Correspondence Energy Crisis--Material Energy Excerpts Energy Independence Act of 1975 Energy- - Information & Material see also Arctic Gas Project Energy Research and Development Environmental Education Act see also Ecology Environmental Pesticide Control Act of 1976 see alSO Pesticides Environmental Policy Act Environmental Protection Agency see also Grants--Environmental Protection Agency-- St. Louis Equal Employment see a/so Civil Rights- -Equal Employment Opportunity Minority Groups Women--Employment Opportunities Equal Employment Opportunity Commission Equal Opportunity see a/so Civil Rights-- Equal Employment Opportunity Equal Pay for Equal Work !:>Cl! also Women--Employment Opportunities Equal Rights- - Clippings Equ al Rights for Women see a/so Women--Equal Rights--Material Equal Time ee a/ ·o Federal Communications Commission Euclid Piau Radio Television see Housing--Euclid Plaza Excess Property see Missouri - - Excess Property see Federal Excess Property Executive Reorgan ization Export Administration Act see a/so Banking and Currency--Export entries Export Control Act see a/so Banking and Currency Committee -Export Control FBI see Federal Bureau of Investigation FCC see Federal Communications Commission FDIC see B & C Federal Deposit Insurance Corporation Fair Labor Standards Act see Labor--Fair Labor Standards Fair Plan see Insurance --Fair P lan Fair Trade see also Trade--Expor ts and Imports Fallout Shelters see Atomic Bomb--Fallout Shelters see Nuclear Weapons--Radioactive Fallout Family Assistance Act see also Welfare Welfare--Family Support Family Assistance Material and Clippings See a/so Welfare--Clippings Family Assistance Plan Family Fare see Publications--Family Fare Family Planning see a/ so Birth Control Illegitimacy P opulation Growth Sex Education Family Planning Services Act Family Week see National Family Week Farm Bill see Agriculture--Farm Bill Farm Workers see also Agriculture National Commission on Food Marketing--Bracero Study Federal Advisory Committee Act Federal Aid to Education see Education --Federal Aid to Education Federal Aviation Administ ration see also Aviation Civil Aeronautics Board Federal Barge Lines see a/ so Barge Lines Federal Buildi ngs see a/ so Public Buildings Federal Bureau of Investigation Federal Communications Commission see also Communications Equal Time Radio and Television Television Federal Deposit Insurance Corp see also FDIC Federal Employees See a/ SO Civil Service Legislation Federal Excess Property see a/so Excess Property Missouri --Excess Property Fede ral Government Contract Legislation see a/so Defense Contracts Federal Home Loan Bank Board Federal Housing Administration see Housing-- Federal Housing Administration Federal Judical Center see also J udiciary Federal Land Bank of St. Louis see also Land Bank Federal National Mortgage Association see a/so Banking and Currency--Mortgage Interest Rates Mortgages and Interest Rates Federal Pay Raise see a/so Congressional and Civil Service Pay Raise Federal Power Commission see a/so Energy Conservation Fuel and Energy Resources Commission Lifeline Rate Act Federal Reserve System Federal Trade Commission Federal Voting Assistance Program see a/so Voter Registration Federation of Independent Business see National Federation of Independent Business Feed Grain see a/so Agriculture Food and Drug Administration-- Grain Grain Purchases Fetal Experimentation see Health , Education and Welfare--Fetal Experimentation Fi nancial Disclosure see a/so Right to Financial Privacy Act Financial Institutions Act Fire Protection see a/so National Academy for Fire Prevention & Central Site Selection Board Fish and Fish Products see a/so Food and Drug Administration-Fish Fish Inspection Food and Drug Administration-- Trout Trout see a/so Inspection , Food Fl ag Day Flood Control Meat Inspection Poultry Inspection see a/so St. Louis- - U.S. Army Corps of Engineers Flood, Daniel J. Upper Mississippi River Basin Commission see P anama Canal--Correspondence- - Flood, Daniel J . Flood Insurance Program see a/so Insurance--Flood National Flood Insurance Program Flood Protection Project see also St. Louis--U.S. Army Corps of Engineers Floods see a/so Missouri - - Disaster Area Missouri- - Flood National Flood Insurance Program Rivers Fluoridation of Water Fonda, Jane Food see also Agriculture National Commission of Food Marketing P oultry Food and Drug Administration Index Code Food and Drug Administration Appropriations Food and Drug Administration-- Botulism Food and Drug Administration--Bread Prices Food and Drug Administration--Bureau of Standards Food and Drug Administration --Cattle-General Food and Drug Administration- -Cattle-Legislation Food and Drug Administration--Color Additives Food and Drug Administ ration-Confectionery Food and Drug Administration - -Copy of Bill Food and Drug Administ ration - -Cranberri•·> Food and Drug Administ ration -- DeodorauL Food and Drug Administration -- Diet Foods see a/ o Nut rition Food and Drug Administration --Eye Make-up Food and Drug Administration--Facial Creams Food and Drug Administration-- Fish Flour Food and Drug Administ ration--Food Additives Cases See a/ 0 Addi tives Food and Drug Administration -- Food Additives -- General ee also Nutrition Food and Drug Administration- - Food Additives-- Legislation Food and Drug Amdinistration-- Freezone Food and Drug Administration-- General Commentary Food and Drug Administration-- General Information Food and Drug Administration -- General Letters Food and Drug Administration-- Grain see a/ 0 Feed Grain Food and Drug Administration--Hair Dye Food and Drug Administration -- Hair Preparations Food and Drug Administration -- Hai r Remover Food and Drug Administration- - Hair Sprays Food and Drug Administration -- Ice Cream Food and Drug Administration -- Investigation Food and Drug Administration-- Legislation Food and Drug Administration- - Lipsticks Food and Drug Administration--Medical Devices see Medical Device Amendments Food and Drug Administration--Milk Food and Drug Administration-- Miscellaneous Food and Drug Administration- - Nail Polish Food and Drug Administration--Packaging Food and Drug Administration--Packaging (Wax) Food and Drug Administration--Pesticide Cases Food and Drug Administration--Pesticide Legislation and General Information Food and Drug Administration--Pesticides Food and Drug Administration-Preservatives Food and Drug Administration--Pre- testing Food and Drug Administration-- Request for Copy of Research Food and Drug Administration--Soap Food and Drug Administration--Special Dietary Foods see also Nutrition Food and Drug Administration--Sun-tan Lotion Food and Drug Administration--Trout Food and Drug Administration--Vaporizers Food and Drug Administration--Varnish Food and Drug Administration--Vitamin Supplements see a/so Nutrition Food and Drug Administration- - Water see also Water Food Assistance Act see Foreign Aid- -Food Assistance Act Food Crisis see a/ SO Agriculture Food for Peace Hunger and Malnutrition Nutrition Population Crisis Committee Population Growth Right to Food Resolution see also Agriculture Food Prices see also Agriculture Food Stamp Plan 1954--Bills see a/ SV Agriculture Hunger and Malnutrition Food Stamp Plan 1954--Comments and Criticism Food Stamp Plan 1954-- Correspondence Food Stamp Plan 1954--Food Surplus Food Stamp Plan 1954--St. Louis Food Stamp Plan 1954--Speeches and Testimony Food Stamp Plan 1955--Correspondence and Legislation Food Stamp Plan 1955--Food Surplus Food Stamp Plan 1956--Bills and Hearings Food St amp Plan 1956--Commodity Credit Corp. Food St amp Plan 1956- - Correapondence, Speeches, Testimony Food Stamp Plan 1956- - Food Surplus Distribution Food Stamp Plan 1956--Personal Letters Food Stamp Plan 1957-- Bills Food Stamp Plan 1957--Correspondence Food Stamp Plan 1957--Food Surplus and Food Stamp Plan Food Stamp Plan 1957--Hearings Food Stamp Plan 1957--Speeches Food Stamp Plan 1957--Testimony Food Stamp Plan 1958--Activities Carried on Under PL 63 -4RO Food Stamp Plan 1958--Bills Food Stamp Plan 1958--Comments and Criticism Food Stamp Plan 1958--Correspondence Food Stamp Plan 1958--Hearings and Reports Food Stamp Plan 1958--Personal Letters Food Stamp Plan 1958- - Speeches and Testimony Food Stamp Plan 1958--Study and Procedure Food Stamp Plan 1959- - Bills Food Stamp Plan 1959--Comments and Criticism Food Stamp Plan 1959--Congressional Record Entry Food Stamp Plan 1959--Correspondence Food Stamp Plan 1959-- Hearings and Reports Food Stamp Plan 1959--Personal Letters Food Stamp Plan 1959--Releases Food Stamp P lan 1959-- Speeches and Testimony Food Stamp Plan 1959- -Studies and Procedure Food Stamp Plan 1960- -Activities Carried on Under PL-480 Food Stamp Plan 1960-- Bills, Hearings, Reports Food Stamp Plan 1960-- Correspondence Food Stamp Plan 1960-- Personal Letters Food Stamp Plan 1961-- Correspondence and Clippings Food Stamp Plan 1961--Personal Letters Food Stamp Plan 1962--Bills, Correspondence, Testimony Food Stamp Plan 1962-- Clippings Food Stamp Plan 1962--Personal Letters Food Stamp Plan 1963--Bills Food Stamp Plan 1963--Comments and Criticism Food Stamp Plan 1963--Correspondence Food Stamp Plan 1963- - Hearings Food Stamp Plan 1963-- Releases Food Stamp Plan 1963--Speeches Food Stamp Plan 1963--Studies and Procedures Food Stamp Plan 1964--Appropriations Food Stamp Plan 1964--Bills Food Stamp Plan 1964--Comments and Criticism Food Stamp Plan 1964--Correspondence Food Stamp Plan 196-t -- Hearings Food Stamp Plan Hl64 --Minority Views Food Stamp Plan 1964--Releases Food Stamp Plan 196-t -- Speeches Food Stamp Plan 196-t -- Studies and Procedures Food Stamp Plan 1965 --Appropriations Cut Food Stamp Plan 1965- - Correspondence Food Stamp Plan 1965 - -District of Columbia Food Stamp Plan 1965--Expansion Food Stamp Plan 1965--Kinlock MO Food Stamp Plan 1965 --Missouri Food Stamp Plan 1965--Personal Letters Food Stamp Plan 1965--St. Louis MO Food Stamp Plan--Legislative History Food Stamp Plan--Miscellaneous Statistics Food Stamp Plan--Petition 1967 Food Stores see National Commission on Food Ford Foundation see also Foundations Ford, Gerald Marketing- -Chain Stores see Nixon, Richard M.-- Pardon Foreign Affairs--Amnesty Foreign Affairs--Angola Foreign Affairs- -Brazil Foreign Affairs--CARE Foreign Affairs--Cambodia see a/so Moratorium War Protest Foreign Affairs--Chile Foreign Affairs-- Cyprus Foreign Affairs- - Czechoslovakia Foreign Affairs-- Egypt see also Foreign Affairs - -Middle East Foreign Affai rs - - General Countries Foreign Affairs-- Genocide Treaty Foreign Affairs- - Indochina Foreign Affairs -- Israel see a/ 0 Foreign Affiars --Middle East Foreign Affairs-- Israel-Arab War see a/so Foreign Affairs- -Middle East Foreign Affairs - -Jordan see also Foreign Affairs--Middle East Foreign Affairs --Lebanon see a/so Foreign Affairs--Middle East Foreign Affairs --Middle East see also Foreign Affairs- - Egypt Foreign Affairs -- Israel Foreign Affairs -- Israel Arab War Foreign Affairs --Jordan Foreign Affairs--Lebanon Oil Imports Foreign Affairs- -Mid-East Sinai Pact Foreign Affairs --Non-Proliferation Treaty Foreign Affai rs --Peru Foreign Affairs- - Pueblo Foreign Affaris- -Puerto Rico see a/ SO Puerto Rico Foreign Affairs--Red China Foreign Affairs--Republic of China see Republic of China Foreign Affairs -- Rhodesia Foreign Affairs - - Soviet Union Foreign Affairs--Turkey Foreign Affai rs --United Nations Foreign Affairs -- United Nations Development Program Foreign Affairs -- Vietnam ee a/ SO Missing in Action Prisoners of War Select Committee to Investigate Missing in Action Foreign Affairs -- Vietnam- - Mrs. Sullivan 's Voting Record (as of 1972) see a/so Sullivan, L.K. Voting Record Foreign Affairs Legislation Foreign Aid Foreign Aid- - Food Assistance Acl Foreign Policy Foreign Visitors Forest Park Blvd. Turnkey Project see Housing--Forest Park Blvd. Turnkey Project Forestry Legislation see also Lumber Fort San Carica see Jefferson National Expansion Memorial--Building a Replica of Fort San Carlos Foster Grandparents see Poverty Program--Foster Grandparents Foundations see also Ford Foundation Danforth Foundation Grants Grants--National Science Foundation National Science Foundation Four Freedoms Study Group Franchises Franchising Practice Reform Act Freedom of Information Act see also Sunshine Bill Freedom of the Press see also Newspapers Radio Television Fuel and Energy Resources Commission see a/so Energy Conservation Federal Power Commissron Fuel for Cars see also Energy Crisis Gas and Gasoline and Oil Allocation Fur see also Laclede Fur Co. GAO see General Accounting Office GPO see Government Printing Office GSA see General Services Administration Gambling see also Lotteries Gas--Laclede Gas see also Natural Gas Gas--Natural Gas and Gasoline and Oil Allocation see also Energy Crisis Fuel for Cars Gateway Arch see Jefferson National Expansion Memorial General Accounting Office General Accounting Office--Credit Unions see also Banking and Currency--Credit General Electric General Motors Unions General Services Administration see also Grants--General Services Administration- - St . Louis Genocide Treaty see Foreign Affairs--Genocide Treaty Georgetown University Gerontology Cold Star Wives Goldenrod Showboat see Jefferson National Expansion Memorial- -Showboat Goldenrod Government Debt see also Debt Ceiling Bill National Debt Government Insurance Government Operations Government Printing Office Government Regional Offices Government Reorgani~:ation Program see Reorganiution Program Grace Hill Area see Housing--Grace Hill Grading, Meat see Meat Grading Grain Purchases ee also Agriculture Feed Grain Grand Canyon see Conservation--Grand Canyon Grandparents, Foster see Poverty Program--Foster Grandparents Grants see also Foundations National Science Foundation Grants- - Clippings Grants-- Dept. of Housing and Urban Development see Housing- - St . Louis--Grants from HUD Grants-- Department of Labor--St . Louis Grants-- Department of the Interior- -St. Louis and MO Grants-- Department of Transportation--St. Louis see also Transportation Grants - -Economic Development Administration- - St. Louis see also Economic Development Administration Grants-- Educational see also Educational Grants Learning Business Centers Grants- -Environmental Protection Agency-St. Louis Grants--General Services Administration -St. Louis Grants- - Health, Education and Welfare-- Miss& uri Grants--HEW--Public Schools Grants--HEW--St. Louis Grants--HEW--St. Louis University Grants--HEW-- Washington University see also Washington University Grants to Hospitals G r·an ts- - Housing see Housing-- St. Louis- - Grants from HUD Grants--Law Enforcement Assistance Administration -Missouri ee also Law Enforcement Assistance Administration Grants--Law Enforcement Assistance Administratiou - - SL . Louis see also Law Enforcement Assistance Administration Gran ta--M any Sou rcea-- Colleges Grants--Many Sources- -Missouri Grants--Many Sources--St. Louis University Grants--Many Sources--Universities Grants--Many Sources- -University of Missouri Grants--Many Sources- - Washington University see also Washington University Grants- - Miscellaneous Grants--National Endowment for the Arts see also Arts and Humanities Grants--National Endowment for the Humanities see also Arts and Humanities Grants--National Science Foundation see also National Science Foundation Foundations G ranta--OEO- - Missouri Poverty Program--Office of Equal Opportunity Grants- -Post Office--St. Louis see also Postal Service St . Louis - -Post Office -Operations Grants--Roth Study Grocery Stores see National Commission on Food Marketing--Chain Stores Guam Guatemalan Earthquake Gun Control see Crime--Gun Control HUAC See Congress-- House Unamerican Activities Committee Hair Car Products see Food and Drug Administration H ai rd ressers see National Haridressers and Cosmetologists Halpern, Seymour see Resignations Handicapped see also Blind Herman, Philip Employment of the Handicapped Labor--Handicapped Workers see Panama Canal--Correspondence-Harry Flannery Herman, Philip See Radio and Television- -Harry Flannery Harry Truman Dam See Conservation--Harry Truman Dam Hatardous Material see a/so Transportation -- Dept. of Proposed Regulations Hazardous Occupational Safety and Health Act see a/ 0 Mine Safety Act Occupational Safety and Health Administration Head Start Center See Poverty Program--Head Start Centers Health -- Blood Banks Sl!<' (1/ SO Medical Care Health--Dental Health and Welfare Council of Greater St. Louis see a/ SO Welfare Health Education and Welfare see also Grants--Health Education and Welfare- -Missouri Housing--Public--HEW Task Force Health, Education and Welfare--Fetal Experimentation see also Human Experimentation Health Insurance see a/so Medical Insurance for Radiation Treatment National Health Insurance Health Insurance for the Unemployed see a/so Unemployment Health Legislation see a/so National Health Care Act Health Manpower Bill see also Education--Nurses and Medical Health, Mental Students Immigration--Foreign Doctors Manpower Nurse Training Act !!JI!<' Mental Health Health Program Health- - Polio Vaccine Health Security Act Hearing Aids Higher Education see a/so Education -- Higher Education Higher Education Act Highway Beautification see a/so Anti--Billboard Law High way-- Clippings Highway Patrol ee Missouri- -Highway Patrol Highway Safety see a/so National Bicentennial Highway Safety Year Highway Through St. Louis see a/so St . Louis Highways Highway Trust Fund Highways see a/so Martin Luther King Bridge High ways- - Beautification-- Billboards The Hill see Housing--The Hill Hill-Burton Act see Hospitals--Hill-Burton Historic Preservation see a/so National Historic Preservation Act HolidaJ.s see a SO Kennedy, John F, Holiday Home Owners Mortgage Loan Corp see Housing--Home Owners Mortgage Loan Corp Home Rule--D.C. see a/ SO Distict of Columbia Hospitals- - Closing ·ee a/ so Public Health Services Hospi tals Hospitals--Emergency Rooms ee Medical Emergency Transportation and Services Act Hospitals--General Hospitals--General MAST Program Hospitals- - Grants see Grants--Hospitals Hospitals- -Hill-Burton Hospitals- -Non-profit House Administration, Committee on House Beauty Shoppe see Congress. House Beauty Shoppe House Budget Committee House Un - American Activities Committee see also Congress. House Un-American Acitivities Comm1 Ll ee Household P ets Housing Housing and Community Development Act of 1974 Housing and Urban Development Act of 1968 see also Housing--HUD Housing--Anonymous letters Housing--Arson-- Clippings Housing--Better Communities Act Housing Bills Housing Bills- - Letters Housing--Bingham's Bill Housing--Blumeyer Project Housing- - Blumeyer Project--Clippings Housing-- Bowlin Project for the Elderly Housing- - Building Sciences Act see also Lumber Housing--Cabanne Turnkey see also Housing--Forest Park Blvd Turnkey Project Housing--Turnkey Projects Housing- -College Loan Programs Housing- - Community Development Block Grants Housing--Compton Grand Association Housing--CR Excerpts Housing- -Correspondence- -Out of State Housing-- Demonstration Cities Housing- - Dept. of Community Developmt!IIL Housing--DeSoto- Carr Housing-- Elderly see also Nursing Homes Housing--Emergency Housing--Energy Conservation see also Energy Conservation Housing- - Euclid Plan Housin~r - -Fair Housing see also Civil Rights--Housing Housing- - Open Housing- - Fair House Enforcement in Missouri Housing- -Federal Housing Administration Housing--Forest Park Blvd .--Turnkey Project see also Housing- -Cabanne Turnkey Project Housing- -Turnkey P rojects Housing-- General Housing- -Grace Hill Housing- -The Hill Housing- -Home Owners Mortgage Loan Housing- -HUD Corps. see also Housing and Urban Development Housing and Urban Development Act of 1968 Houiang--St. Louis -Applications to Jill f) Housing- -St. Louis - -Grants from HUD Housing--Missouri-- Grants from HUD Housing--HUD- - Consolidated Supply Program Housing--HUD --Housing Material Housing- -Housing Authoriution Act Housing-- Inspection Housing-- Insurance--Riots see also Crime- -Riots Insurance Housing-- Jeff- Vander-Lou Housing--KMOX Editorials see also Radio and Television Editorials Housing--Laclede Town Housing--Laclede Town-- Clippings Housing-- LaFayette Square Housing- - LaSalle Park Housing-- Lead Paint Housing-- Lead Poisoning see also P oisons Housing-- Loans see also Banking and Currency- -Savings and Loan Entries Interest Rates Housing--Low Income see also Housing-- President's Task Force on Low Income Housing Poverty Program- -General Housing--Mansion House Housing--Maryville Housing--Mill Creek Valley Housing--Miscellaneous Clippings Housing--Miscellaneous Letters Housing--Missouri Housing--Mobile Homes Housing- -Model Cities Housing- -Model Cit ies- - Clippings Housing--Mullanphy Project Housing--National Development Bank Housing--National Housing Act Housing-- National Tenants Organir;ation Housi ng--Negro see also Civil Rights--Housing Housing--Open Negroes- - General Housing- - Neighborhood F acilities Grant Housing- -Newcastle Project Housing- -O'Fallon Housi ng- -Ombudsman Housi ng- -Open see also Civil Rights--Housing Housing--Fair Housing Negroes- -Housing Housing--Open- -Against (District) Housing-- Open- -For (District) Housing- -Open--Against (Out of District) Housing--Open--For (Out of Dist rict) Housing- -Open- -Clippings Housing- -Operation Breakthrough Housing--Operation Breakthrough-- Clippings Housing--Operation Rehab ee also Housing-- Rehabilitation Housing--Rock Springs Rehabilitation Association Housing Panel Housing- - Para Quad Housing--Peabody- -Clippings Housing--President's T ask Force on Low Income Housing see also Housing--Low Income Housing Program Cute Housing--Public Housing Bills Proposed Housing-- Public Housing--Cochran Apts.-- Clippings Housing--Public Housing-- Darst-W ebbe Public Housing Housing- -Public Housing- -Darst- Web be Clippings Housing- - Public Housing-- General- - Clippings Housing--Public Housing--General Letters Housing--Public--HEW Task Force see also Health, Education,&: Welfare Housing--Public Housing--Kosciuksko St. Housing- - Public Housing- -Mailing List Housing--Public Housing- - Neighborhood Gardens Housing- - Public Housing- -Pruitt- lgoe Housing--Public Housing- - Pruitt - Igoe-Clippings Housing- - Public Housing-- Pruitt- lgoe-Proposals Housing- - Public Housing-- Rent Strike-see also Strikes Clippings Housing--Public Housing- -Rent Strike-- Reports Housing--Public Housing--Reports Housing--Red Tape Housing- -Rehabilitation see also Housing-- Operation Rehab Housing--Rock Springs Rehabilitation Association Housing-- Rent Supplements Housing-- Reports and Materials Housing-- Rock Springs Rehabilitation Association see also Housing--Operation Rehab Housing-- Rehabilitation Housing- - St. Louis Housing--St. Louis-- Applications to HUD see also Housing--HUD Housing- -St. Louis--Area Expeditar Housing--St. Louis--Code Enforcement Housing--St. Louis- -Code Enforcement-- Clippings Housing-- St. Louis--Grants from HUD see also Housing--HUD Housing- -St . Louis Housing and Land Clearance Authority Housing- - St. Louis Housing Plan Housing-- St. Louis Meeting Housing-- St. Louis-- Workable Program Housing -- Savings and Loans See a/ 0 Banking and Currency Committee- Savings and Loan Companies Housing- - Savings and Loan Bill see also Banking and Currency Committee-Savings and Loan entries Housing- - Section 8 Housing-- Section 22l(d)(2) Housing- - Section 221(d)(3) Housing-- Section 221(h) Housing- - Section 235 Housing- - Section 236 Housing- -Section 701 Housing- -Soulard Area see a/so National Historic Preservation Act Housing--South Broadway Housing-- South Side Housing- - State of Missouri Housing-- State of Missouri- - Grants from HUD see also Housing--HUD Housing--Subcommittee Notices Housing - -Ten Park Improvement Association Housing- -Town House Project Clippings Housing-- Turnkey Projects see a/so Housing- - Cabanne Turnkey Project Housing- - Forest Park Blvd Turnkey Project Housing- -Turnkey Projects--Clippings Housing--Twelfth and Park Housing-- Union--Sarah Housing-- Urban Reports Housing-- Urban Renewal Housing-- Urban Renewal- - Clippings Housing-- Urban Renewal-- Letters Housing- -Urban Renewal--Material Housing-- Vaughn Area- - Clippings Housing-- Villa de Ville Housing- -Washington University Medical Housing-- Wellston Housing--West End Center Housing--West End- - Clippings Housing- - West Pine Apartments Human Development Corporation see Poverty Program- - Human Development Corporation see also Poverty Program- - St. Louis Human Development Corporation Human Experimentation see also Health, Education and Welfare-- Fetal Experimentation Humanities see National Endowment for the Humanities Hunger and Malnutrition see a/so Food Crisis ICC Food Stamp Plan entries Right to Food Resolution see Interstate Commerce Commission Ice Cream see Food and Drug Administration--Ice Cream Ill egitimacy see also Birth Control Immigration Family Planning Sex Education ee a/so P opulation Growth Employment Immigration and Naturalir.ation Service Immigration-- Foreign Doctors Immigration- -Material Immigration--N aturalir.ed Citizens Immunity (Nixon) Against see also Nixon, Richard Milhouse Immunity (Nixon) For Immunity (Nixon) Out of State Impeachment (Justice Douglas) see also Supreme Court Judiciary Impeachment see also Nix on , Rich ard M Impeachment- -Against Impeachment Bill Impeachment-- Clippings Impeachment-- For Impeachment --Not Answered Impoundment Control/ Spending Ceiling Independent Bankers Association of America see also Banking and Cu rrency Committee-Bank-- Entries Independent Business Federation see Nation al Federation of Independent Business Independent Meat P ackers see also Meat P ackers Indians see also Minority Groups Indochina see Foreign Affai rs-- Indochina Industry Funds Inflation see also Concentrated Industries Anti- Infl ation Act Inflation--House Resolution Inspection--Food see F ish Inspection see also Meat Inspection Poultry Inspection Institute of Psychiatry see Missouri-- Instit ute of Psychiatry Insurance see also Banking and Currency Committee- Insurance Education- - Federal Charter for Insu rance and Amminty Association Goverment Insurance Housing--Insurance- -Riots Insurance Coverage for Women see also Women Insurance--Fair Plan Insurance - -Floods see National Flood Insurance P rogram Insurance, Health see Health Insurance Insurance--No Fault Insurance--Shoppers Guide Integration see also Civil Rights entries Education --Busing Negroes - - entries Interest Rates ee also Banking and Currency Commitr.·c Interest Rates Banking and Currency Committee--Prime Interest Rate Banking and Currency Committe--Savings and Loan Interior (Dept. Of} Interior (Dept . of}--Oil Shale Program see also Energy Crisis Oil Leases Intelligence, Select Committee See Select Committee on Intelligence Internal Security see also Congress--House Unamerican Activities Committee Wire Tapping and Bugging Intern ational Development Association see Banking and Currency Committee-International Development Association International Security Assistance and Arms Export Control Act see also Arms Control Internation al Trade Commission see also T rade--Exports and Imports In ternat ional T rade Subcommittee Not ices In te rstate Commerce Commission see also Movers of Household Goods Interstate Horseracing Act In terviews see also News Releases--Radio Press Comments Press and News Reporters Intra-Ut erine Devices see Medical Device Amendments Invi tations Israel see Foreign Affairs--Israel Jeanette Rankin see Commemorative Postage Stamp for Jeanette Rankin J efferson Barracks J efferson Barracks- - Landmark Status J efferson Barracks--National Cemetery Memorial Chapel J effe rson Barracks Park J efferson Nation al Expansion Memorial see also Lewis and Clark National Park Services St. Louis- -Arch St . Louis--Jefferson Nation al Expansion Memorial Jefferson National Expansion Memorial- - Bills J efferson Nat ional Expansion Memorial- Brochure J efferson Nat ional Expansion Memorial-Budget Material Jefferson National Expansion Memor ial-Building a Replica of Fort San Carlos J efferson Nat ional Expansion Memorial-Clippings J efferson Nat ional Expansion Memorial-Congressional Record Inserts J effe rson National Expa nsion Memorial-Dedication Jefferson National Expansion Memorial-File for Hearing J effe rson Nat ional Expansion Memorial-Ground Breaking Ceremonies Jefferson National Expansion Memorial-Releues, etc. J efferson National Expansion Memorial-River Music Barge J efferson National Expansion Memori al-Showboa t Goldenrod J effe rson National Expansion Memorial-Testimony of Mrs. Sullivan Jefferson National Expansion Memorial - Visitors Center Jeff-- Vander-Lou see Housing--Jeff- Vander-Lou Jewish War Veterans see also Veterans' Administration Job Training Program see also Labor- -Manpower Development and Training Poverty Program- - St. Louis Job Corps Center St. Louis Job Corps Center Johnson, Lyndon Baines Joint Committee on Defense Production See also Banking and Currency Committee-- Defense Production Act Joint Committee to Investigate Crime see also Crime- - General Joint Economic Committee Jordan see Foreign Affairs--Jordan Judge Oliver see Oliver, Judge Judiciary see also Federal Judicial Center Impeachment (Justice Douglas) Supreme Court Justice Department Junior Village Juvenile Delinquency see also Crime--General Prisons KMOX see Radio and Television entries see also Housing KMOX Editorials News Releases--Radio KWK, Radio Station see Radio Station KWK Kansas-Texas RR see Missouri-Kansas-Texas RR Kennedy, John F . Kennedy, John F .--Assasination Kennedy, Jonn F .- -Eulogies Kennedy, John F .- -Holiday see a/ so Holidays Kennedy, John F .--Inaugural Address Kennedy, John F .--First Day Cover Issues see a/so Commemorative Stamps Kissinger, Henry see also State, Dept. of Kluxzynski Federal Office Building Korea see Foreign Affairs --Korea Koscuisko St. see Housing--Public--Kosciusko St. Krebiozen see Drugs, Krebiozen Labor see a/ 0 Employment Entries National Labor Relations Board -- Century Electric Company Postal Union Recognition Railroads - -Shopcraft Unions Strikes Unions Labor- - Davis-Bacon Labor-- Fair Labor Standards Labor-- Farm Labor See also Agriculture Labor--Handicapped W orkera see also Employment of the Handicapped Handicapped Labor Legislation see also Right to Work Labor--Manpower Development Training see also Job Training Corps Center Poverty Program--St. Louis Jobs Corps Center St. Louis Job Corps Center Labor Organizations--AFL-CIO Labor Orgnaizations--Misc. Labor- -Railroads see Railroads--Shopcraft Unions Labor- - Situs P icketing Labor Unions--Homes for the Aged Labor-- Workmen's Compensation Laws Lacey Act see also Conservation--Wildlife Laclede Fur Company Laclede Gas see Gas--Laclede Gas Laclede Town see Housing- - Laclede Town Lafayette Square see Housing--Lafayette Square Land Bank see Federal Land Bank of St . Louis Land Clearance see Housing--St. Louis Housing and Land Clearance Authority Land Management Organic Act Land Use Bill--Against Land Use Bill- - For LaSalle Park see Housing--LaSalle Park Lead Poisoning see Housing-- Lead Poisoning Law Enforcement Assistance Administratiom see also Crime--General Grants--Law Enforcement Assistance Administration Missouri--Highway Patrol League of Women Voters see also Voters Women Learning Business Centers see also Grants--Educational Unemployment Lebanon see Foreign Affairs- - Lebanon Legal Aid Society see also Crime--General Legal Services Corporation Legislative Activities Disclosure Act Legislative Proposals Legislative Reorganization Act of 1970 see also Congressional Reorganization Lettuce see National Commission on Food Marketing--Lettuce Study Lewis and Clark see also Jefferson National Expansion Memorial Libraries see also Bookmobile Books sent to Libraries and Schools Education--Bookmobile Libraries--Depository Library Extension, Congressional Library of Congress Library Services Lifeline Rate Act see a/so Energy Conservation Federal Power Commission Union Electric Company Lincoln Sesquicentennial Commission Loans--Student see Education- - College Loan Program see a/so Education--Student Aid Bill Lobby Groups Lobbying Local Public Works Capital Development and Investment Act see a/so Public Works Lock and Dam 26 at Alton, Ill. Lock and Dam 26--Clippings Lockheed Corp. see Banking and Currency Committee-Lockheed Case Lotteries see also Gambling Low Income Housing see Housing--President 's Task Force on Low Income Housing Lumber see a/ 0 Forestry Legislation Housing--Building Sciences Timber Supply Lumber Preservation Legislation see a/so T imber Supply Harry Lundeberg School see a/so Maritime Academies MAST Program MIA see Missing in Action See a/ SO Foreign Affairs -- Vietnam Magna Carta Select Committee to Investigate Missing in Action see a/so American Revolution Bicentennial Malpractice see Medical Malpractice Claims Settlement Assistance Act Management and Budget, Office of see also Budget Manpower see also Employment Labor- -Manpower Development and Training Health Manpower Bill Poverty Program-- Office of Economic Opportunity Mansion House Maritime Academies see a/ so Harry Lundeberg School Martin Luther King Bridge see a/ 0 Highways St. Louis- -Highways Maryville see Housing--Maryville Meals on Wheels see also Aging Meat Grading ee Grading, Meat Meat Imports see a/so Trade--Imports and Exports Meat Inspection see also Fish Inspection Inspection, Food Poultry Inspection Meat Inspection Bill Meat Inspection--St. Louis Independent Packing Company Meat Packers see a/so Independent Meat Packers Medical Care see a/so Health entries National Health Care Act Medical Device Amendments Medical Education see Education--Nurses and Medical Students see a/so Medical Schools Military Medical Schools Medical Emergency Transportation and Services Act Medical Insurance for Radiation Treatment see also Cancer Health Insurance Medical Malpractice Claims Set tlement Assistance Act Medical Schools see also Education--Nurses and Medical Students Mental Health Health Manpower Bill Nurse Training Act see also Health- -Mental Meramec Basin News Stories see also Conservation Meramec Basin or River see Conservation--Meramec Entries Merchant Marine see Harry Lundeberg School see also Coast Guard Maritime Academics Metric System Metropolitan Youth Commission see a/so Youth Affairs Middle East see Foreign Affairs- - Middle East Militants see also Civil Rights-- Clippings Education--Campus Unrest Negroes--Black Militants Military Construction Appropriation Bill see also Defense Appropriations Military Expenditures see a/so Defense Appropriations Military Medical School Military Pay see alSO Armed Forces Defense Appropriations Military Procurement see a/so Defense Appropriations Defense Contracts Military Retirement Milk see a/so Agriculture FDA--Milk Mill Creek Valley see Housing--Mill Creek Valley Mine Safety Act see a/so Black Lung Act Coal Hazardous Occupational Safety and Health Act Mining Mine Safety and Health Act Mineral Resources see also Coal Minimum Wage see a/so Employment Wage and Price Controls Mining see a/so Coal Mine Surface Area Protection Act Mine Safety Act Missouri Bureau of Mines Mink Ranchers Minority Groups see also Equal Employment Indians Negroes--Minority Groups Women Miscellaneous Organintions see a/so National Organintions Questionable Organizations Missiles see Nike Base Aeronautics and Space Arms Control Missini in Action ee also Foreign Affairs --Vietnam Missing in Action, Select Committee to Investigate ee Select Committee to Investigate Missing in Action Mississippi Queen see Delta Queen/Mississippi Queen Missouri, State of Missouri --Adult Education Act see a/ 0 Education--Adult Missouri--Area Redevelopment Missouri, Bureau of Mines see also Mining Missouri --Disaster Area see also Civil Defense Floods Missouri - - Election Laws see a/so Missouri-- Redistricting Missouri --Excess Property see a/so Federal Excess Property Missou ri - - Flood see also Floods National Flood Insurance Program Missouri -- Grants see Grants entries Missouri --Highway Patrol see a/ 0 Law Enforcement Assistance Administration Missouri--Housing see Housing--Missouri Missouri - - Institute of Psychiatry Missouri --Kansas-Texas RR see a/ o Railroad entries Missouri --Motor Vehicles Missouri -- Ozarks Regional Commission Missouri - - Redistricting ee al o Missouri --Election Laws Redistricting Missouri - - Sesquicentennial Miaaouri - - State Politics see a/ SO St. Louia-- Politica Women in Politics Missou ri State Society Missouri-- University see also Education- -Higher Education Grants--Many Sources-University of Missouri Missouri-- Missouri A Missouri B Missouri C-Com Missouri Con-Dept. of D Missouri Dept. of EMissouri Dept of F-G Missouri H Missouri 1-N Missouri 0-P Missouri 0 -Z Mobil Homes see Housing- - Mobil Homes Model Cities see Housing--Model Cities Moratorium see a/so Foreign Affairs--Cambodia Foreign Affairs-- Vietnam Mortgages and Interest Rates see a/so Banking and Currency Committee-Variable Interest Mortgage Rates Federal National Mortgage Association Movers of Household Goods see also Interstate Commerce Commission Mullanphy Project see Housing- -Mullanphy Project NAACP see Negroes - - National Association for the Advancement of Colored People NLRB ee National Labor Relations Board- Century Electric Company National A-National H see also Miscellaneous Organiroations National !- National Q National R-National Z National Academy for Fire Prevention and Central Site Selection Board see a/ SO Fire Prevention National Aeronautics and Space Act see also Aeronautics and Space--Space Program National Air Guard Employment see a/so National Guard National Association for the Advancement of Colored People see Negroes--National Association for the Advancement of Colored People National Bicentennial Highway Safety Year see also American Revolution Bicentennial Highway Safety National Cemeteries (Jefferson Barracks) National Cemeteries . ee Jefferson Barracks National Cemetery Memorial Chapel National Center for Women ee also Women National Commission of Consumer Finance Appendices ee al 0 Banking and Currency Committee-Consumer Credit National Commission on Consumer Finance Chapter I National Commission on Consumer Finance Chapter II National Commission on Consumer Finance Chapter Ill National Commission on Consumer Finance Chapter IV National Commission on Consumer Finance Chapter VI National Commission on Consumer Finance Chapter VIII National Commission on Consumer Finance Chapter IX National Commission on Consumer Finance Chapter X National Commission on Consumer Finance Chapter XI National Commiaaion on Consumer Finance Chapter XII National Commission on Consumer Finance--Clippings National Commission on Consumer Finance-Correspondence National Commission on Consumer Finance--Press Kat National Commission on Consumer Finance-- Speeches National Commission on Consumer Finance- -Studies National Commission on Food Marketing see also Agriculture National Commission on Food Marketing -Attempt to Form Commission see also National Commission on Food Marketing- - Creation of the Commission National Commission on Food Marketing-Background Material National Commission on Food Marketing-Congratulatory Notes to Mrs. Sullivan National Commission on Food Marketing-- Hearings National Commission on Food Marketing-Bracero Study see also Farm Workers National Commission on Food Marketing-Chain Stores National Commission on Food Marketing-Clippings National Commission on Food Marketing-Commission Meetings National Commission on Food Marketing · Consumer lnformata on see a/ SO Consumer Interest - - Miscellaneous National Commission on Food Marketing- Correspondence National Commission on Food Marketing-Creation of the Commission See al;o,o Batuibak Commission on Food Marketing- -Attempts to Form the Commission National Commission on Food Marketing- Formal Interviews National Commission on Food Marketing-General Info National Commission of Food Marketing-Individual Views of the Report National Commission on Food Marketing-Lettuce Study National Commission on Food Marketing-Press Releases National Commission on Food Marketing-Questionaire Correspondence National Commission on Food Marketing-Report Status National Commission on Food Marketing-Speeches National Commission on Food Marketing-Staff Changes National Commission on Food Marketing-Staff Selection National Commission on Food Marketing National Commission on Food Marketing-Chapter 13 of Final Report National Commission on Neighborhoods National Commission on Productivity see also Banking and Currency entries National Consumer Cooperative Bank Act see Banking and Currency Commission-- National Debt National Consumer Cooperative Bank Act see also Debt Ceiling Bill Government Debt National Defense see a/ SO Armed Services Defense National Defense Education Act see Education- -National Defense Education Act National Development Bank see Housing--National Development Bank National Diabetes Advisory Board see also Diabetes Research National Digestive Disease Act of 1976 National Endowment for the Arts see Grants--National Endowment for the Arts National Endowment for the Humanities see Grants--National Endowment for the Humanities National Energy and Conservation Corporation see also Energy Conservation National Family Week National Federation of Independent Business see also Small Business Administration National Flood Insurance Co see also Flood Insurance Program Floods Missouri--Flood National Good Neighbor Day National Guard see also Air Guard Armed Services National Air Guard Employment National Hairdressers and Cosmetologists National Health Care Act see also Health Legislation Medical Care National Health Insurance Health Insurance National Historic Preservation Act Historic Preservation Housing--Operation Rehab Housing- - Soulard Area National Housing Act see Housing--National Housing Act National Institute on Aging see also Aging Elderly Older Americans Act Select Committee on Aging National Labor Relations Board- - Century Electric Company see also Labor National Opportunity Camps National Park Service see a/so Conservation entries Jefferson National Expansion Memorial Parks National Safe Boating Week see also Boating Coast Guard National Saint Elizabeth Seton Day National Service Corps see a/so Peace Corps National Science Foundation see a/so Foundations Grants--National Science Foundation National Stamping Act see also Coinage National Summer Youth Program see Poverty Program- - National Summer Youth Program National Tennants Organization see Housing--National Tenants Organization Natural Gas see a/so Energy Conservation Laclede Gas Natural Gas Act see a/so Energy Conservation Natural Gas Act--Amendments Naturalized Citir.ens See Immigration --Naturalir.ed Citizens Negroes --Black Militants see also Civil Rights--Clippings Militants Negroes--Commission on History and Culture Negroes - - General see a/so Housing--Negroes-- Integration Negroes--Minority Group see a/so Minority Groups Negroes-- National Association for the Advancement of Colored People ee a[ SO Civil Rights entries Neighborhood Facilities Grant see Housing- -Neighborhood Facilities Grant Neighborhoods ee National Commission on Neighborhoods See a/so National Good Neighbor Day National Historic Preservation Act Nerve Gas see a/so Arms Control New York City Financial Crisis See Banking and Currency Committee-- Emergency Financial Assistance Act Newcastle Project see Housing-- Newcastle Project News Releases --Radio see a/so Interviews Press and News Reporters Presa Comments Radio Radio and Television--Press Releases and Interviews Sullivan, Leonor K., Press Releases Sullivan, Leonor K., Publicity Newspaper Preservation Act Newspapers see a/so Pulitr;er, Joseph Freedom of the Press Nike Base see a/so Arms Control Nine One One see Emergency Telephone Number Nixon, Richard M see also Agnew, Spiro T . Immunity (Nixon) Impeachment Vice President Watergate Nixon, Richard M.- -Pardon, Against Nixon, Richard M.--Pardon, For Nixon, Richard M.--Transition Allowance No-Fault Insurance see Insurance--No- Fault Noise Control Act Nuclear Energy see a/so Atomic Energy Energy Crisis entries Panama Canal- - Nuclear Technology Nuclear Non- Proliferation Treaty see Foreign Affain-- Non- Proliferation Treaty Nuclear Weapons see a/su Arms Control Atomic Bomb--Fallout Shelters Atomic Energy Weapons Nuclear W capons--Radioactive Fallout see a/so Atomic Bombs--Fallout Shelters Nuclear Weapons- -Testing Nurse Training Ad see a/so Education--Nurses Medical Students Health Manpower Medical Schools Nurses see a/so Education--Nurses and Medical Students Nursin!{ Homes see also Housing--Elderly Aging Nut rition see a/so FDA--Diet Foods OEO FDA--Special Dietary Foods FDA--Vitamin Supplements Food Crisis ee Grants--OEO-- Missouri see also Poverty Program entries OSHA see Hazardous Occupational SafeLy and Health Act see a/so Occupational Safety and Health Administration Obscene Literature Obscenity Occupational Safety and Health Administration see a/ SO Hazardous Occupational Safety and Health Act O'Fallon Area see Housing--O'Fallon Office of Economic Opportunity see Granta--OEO--Miuouri see a/so Poverty ProiJ'am--Office of Economic Opportunity Office of Management and Budget see Management and Budget, Office of Office of Technology Alleaament see a/so Technology Aaaeasment Office Official Gazette-- List Oil lmporta see also Energy Crisis Oil Leases Foreign Affairs--Middle East Trade--Imports and Exports ee a/ 0 Elk Hills Oil Reserve En rgy Crisis Interior (Dept. of) - - Oil Shale Program Older Americans Act ee a/ o Aging Oliver, Judge Olympic Games Olympics Ombudsman Elderly- -Employment Opportunitiea Nation I Institute on Aging Select Committee on Aging see Housing--Ombudsman Omnibus Operation Breakthrough see Housing- - Operation Breakthrough Opportunity Camps see National Opportunity Campa Outer Continental Shelf Landa see a/ o Coaat Coa~tal Area~ Overseaa Private Investment Corporation Onrk Lead Company Onrka Regional Commisaion Ozone Protection Act Pow·. ee Foreign Affaira-- Vietnam P cemakers See Medical Device Amendments Pacific Air Routes ee a/ 0 Airlines Panama Canal- - Clipping• Panama Canal--Congressional Record Jnaerta Panama Canai--Corr apondence-Armatrong, Anthony Pan am a Canal--Correspondence--Flood, Daniel J Panama Canal--Correspondence--General Panama Canal Correspondence--Harman, Philip Panama Canal Correspondence- - Raymond , David Panama Canal--Daily Digest Panama Canal--Finance Panama Canal--Hearings Panama Canal--Inspection Visit Panama Canal-- Legislation Panama Canal--Legislative Correspondence Panama Canal--Living Conditions Panama Canal --Military Penonnel Panama Canal--Miscellaneous and Reports Panama Canal--Nuclear Technology see also Nuclear Energy Panama Canal- -Operations Panama Canal--Panama and Treaty Panama Canal--Sea Level Canal Study Commission-Correspondence Panama Canal--Sea Level Canal Study Commission--Legislation Panama Canal--Sea Level Canal Study Commission--Reports P anama Canal Tolla Pam- medica see Medical Emergency Transportation and Services Act P ara-quad Housing see Housing- -Para-quad P ardon of Richard Nixon see Nixon, Richard M. --Pardon Parks see a/so Conservation entries National Park Service P arochial Schools see Education- -Aid to Parochial Schools Passports Patents Peabody Area see Housing--Peabody--Clippings Peace Corpa see also National Service Corps Peace, Dept. of Penn Central Railroad ee Banking and Currency Committee--Penn Central P ension Plan Pension Reform Peru see Foreign Affain--Peru Pesticides see Environmental Pesticide Control Act of 1976 ee a/so FDA--Pesticide entries Pets see Household Peta Photograph Request see Sullivan, Leonor K.--Photograph Request Physicians--Malpractice ee Medical Malpractice Claims Settlement Assistance Act Poelker, J ohn H see also St. Louis--Mayor Poisons see a/ so- -Housing--Lead Poisoning Polio Vaccine see Health --P olio Vaccine Political Education, Committee On Politics see Missouri --State Politica see also St. Louis--Politics Women in Politics Pollution Sl!£' a/so Air Pollution Clean Air Act Solid Waste P ollution Water Pollution Pollution--Noise see Noise Control Act Pollution--Solid Waste see Solid Waste Pollution see also Air Pollution Water Pollution Poor People 's Campaign Pope John XX:IIl Population Crisis Committee see also Food Crisis Population Growth see also Birth Control Census Family Planning Food Crisis Immigration Sex Education Portraits--Presidents see Presidents' P ortraits Post Card Registration see a/so Election Reform--Post Card Registration Voter Registration Post-Dispatch see Pulitzer, Joseph Newspapers Post Office Closings Post Office Department Post Office Regulations Postage Increase Postal Boutiuqea see also Commemorative Stamps Postal Clippings Postal Legislation Postal Pay Raise Postal Rate Commission Postal Rates Postal Rates --REA Postal Reform Legislation Postal Reform Material Postal Reorganization and Salary Postal Service Adjustment Act see a/so Grants--Post Office-- St . Loui£ Postal Strike see also Strikes Postal Union Recognition see a/ so Labor Unions Potato Bill Poultry- - Application to Make St. Louis see a/ o Food Poultry Indemnity Bill Poultrr Inspection see a/. 0 Fish Inspection Meat Inspection Poverty Program- -Clippings Poverty Program--Day Care Center see also Poverty Program-- Head Start Centers Poverty Program- -St. Louis-Daycare St. Louis Day Care Poverty Program- - Foster Grandparents Poverty Program--General see also Housing--Low Income Poverty Program--Head Start Centers see a/so Poverty Program--Day Care Centers Poverty Program--St. Louis -Day Care Centers St. Louis Day Care Poverty Program--Human Development Corporation see also Poverty Program--St. Louis-Human Development Corp Poverty Program--Material Poverty Program--Micellaneous Poverty Program--National Summer Youth Program see also Poverty Program--Summer Youth Program Summer Youth Employment and Recreation Poverty Program--Office of Economic Opportunity see also Grants--OEO--Missouri Labor--Manpower Development and Training Manpower Poverty Program--Office of Economic Opportunity-Amendments Poverty Program--Office of Economic Opportunity--Cuts Poverty Program--St. Louis--Day Care see also Poverty Program--Day Care Centers Poverty Program- - Head Start Centers St. Louis Day Care Poverty Program--St. Louis Human Development Corporation see a/so St. Louis Human Development Corp. Poverty Program--St. Louis Job Corps Center see also Job Training Program Labor--Manpower Development and Training St. Louis Job Corps Center Poverty Program--St. Louis Small Business Development Center see also Banking and Currency-- Small Business Administration St. Louis--Small Business Administration Small Business Administration Poverty Program--St. Louis Workers Poverty Program--Summer Youth Programs see also Poverty Program--National Summer Youth Program Summer Youth Employment and Recreation Poverty Program--Total Bay Project Poverty Program- - VISTA Powell , Adam Clayton see also Congress--Scandala Prayer in School see Religion- - Prayer in School Preservatives see Food and Drug Adminislralion-- Preserv atives President Ford see Nixon, Richard M.--Pardon President Johnson see Johnson, Lyndon Baines President Kennedy see Kennedy, John Fihgerald President Nixon see Nixon, Richard M Presidential Pardon see Nixon, Richard M.,--Pardon Presidents' Portraits President.' Task Force on Low Income Housing see Housing--President'• Taak Force on Low Income Housing "Presidio 27" see also Armed Service• Press Comments see a/so Interviews News Releaaes --Radio Preas and News Reporters Sullivan, Leonor K.--Press Releases Sullivan, Leonor K.-- Reaction to Presidenti al Statements Press and News Reporters see a/ SO Interviews Price Freeze News Releases--Radio Press Comments Sullivan, Leonor K.-- Press Releases Sullivan, Leonor K.--Reaction to Presidental Statements see also Wage and Price Controls Prisoners of War See Foreign Affaire --Vietnam Prisons ee also Crime- - General Juvenile Deliquency Privacy See a/so Right to Financial Privacy Act Private Schools See Education--Aid to Private Schools Productivity See Banking and Currency Committee-National Commission on Productivity Protection of Independent Service Station Operators see also Energy entries Pruitt - Igoe See Housing--Public Housing-- Pruitt - lgoe Public Buildings see alSO Federal Buildings Public Health Service Hospitals see also Hospitals --Closing Public Housing See Housing--Public Housing Public Relations See also FDA--Cranberries Public Works see a/ 0 Local Public Works Capital Development and lnveatment Act Publications--Consumer Product Info See al 0 Consumer Product Information Bulletin Publications-- Family Fare Publications-- Packet for the Bride see a/so Consumer Interest --Miscellaneous Publications Request Publications Request for Seal Plaques Pueblo Affair see Foreign Affairs--Pueblo Puerto Rico see a/so Foreign Affaire--Puerto Rico Pulitzer, Joseph see also Newspapere Quality Education Study see also Education--Miscellaneous Queen Isabella Questionable Organizations see also Miscellaneous Organizations REA see Postal Rates--REA ROTC see Reserve Officere Training Program Radiation Treatment see Medical Insurance for Radiation Treatment Radio see a/ SO Communications Equal Time Federal Communications Commission Freedom of the Press News Releases- -Radio Sullivan, Leonor K.--Publicity Radio and Television--Clippings Radio and Television Correspondence Radio and Television Editorials see a/so Housing--KMOX Editorials Radio and Television--Harry Flannery Radio and Television--Press Releases and Interviews see also Sullivan, Leonor K.--Press Releases News Releases--Radio Radio and Television--Broadcasts which Demean Radio Station KWK Radioactive Fallout see Nuclear Weapons-- Radioactive Fallout Rail pax Railpax--Material and Information Railroad Brotherhoods and Organizations see a/ SO Railroad Strikes Railroads--Shopcraft Unions Strikes Unions Railroad Legislation see also Banking and Currency Committee-Penn Central Missouri-Kansas and Texas RR Railroad Passenger Service ee a/so Railroads--Discontinuance of Passenger Trains Railroads-- Rail fax/ Amtrak Railroad Retirement Legislation Railroad Safety Railroad Strikes see a/so Railroad Brotherhoods and Organizations Railroads- -Strikes Strikes Railroads see Miuouri-Kanau Texas RR see also Bankinc and Currency CommiLLee-Penn Central Rock Island Railroad Railroads--Discontinuance of Paasanger Tram Serv1ce see also Railroad P aaaencer Service Railroad•-- Rail pax/ Amtrak Railroads--Emercency Rail T ransportation Improvement and Employment Act Railroada--Railpax/ Amtrak see also Railpax Railroad P aaaenger Service Railroada--Discontinuance of Passenger T rain Service Railroads- - Strikea see also Railroad Brotherhoods and Organir.ations Railroad Strikes Strikes Unions Railroads - -Sbopcraft Unions see also Labor Rat Cont rol R ilroad Brotherhoods and Organir.ations Uniona Strike• see a/ 0 St. Louis Rat Control Raymond, David see Panama Canal - - Correspondence -Raymond, David Recipes Recreat ion ee a/ SO Boating Recycling Waste ee also Conservation --Misc. Red China Energy Conservation Solid Wute Pollution See Foreicn Affai re -- Red China Redistricting See a/so Missouri --Redist ricting Redwood National Parka see Conservation Redwood Nat ional P ark Referrals Regulat ion Q see Banking and Currency Commission -Citicorp Rehabilit ation See Housing- - Rehabilitation See a/so Housinc- -Operation Rehab Housing- - Rock Springs Rehabilitation Association Religion Religion -- Prayer in School Renegotiation Act of 1951 Rent Strikes see Housing--P ublic Housing--Rent Strike Rent Supplements See Housing--Rent Supplements Reorganir.ation P rogram Re-- Pricing Commodities ee a/so Commodity Exchange Act Commodity Futures Republic of China See For ign Affairs-- Republic of China Republican National Convention Reserve Officers Training Program Resignations Retirement :;ee Military Retirement see a/so Railroad Retirement Legislation Revenue Sharing see a/so Urban Affairs Revenue Sharing Information Rhodesia see Foreign Affairs- - Rhodesia Richards- -Gebaur Air Force Base see a/ SO Air Force Re.location to Scott AFB Rice see Agriculture--Rice Bill Right to Food Resolut ion see a/so Food Crisis Hunger and Malnutrition Right to Financial Privacy Act see a/so Consumer Credit Financial Disclosure Privacy Right to Work ee a/ ·o Labor Legislation Riots see Crime- -Riots ee a/so Housing--Insurance --Riots Rivers ee Floods Missouri--Flood National Flood Insurance Program Robinson- -Patman Act see a/ 0 Anti--Trust Laws Rock Island Railroad Rock Spring Rehabilitation Association see Housing--Rock Springs Rehabilitation Association Roth Study see Grants- -Roth Study Rural Development Act Rural Electr ification Administration Russia ·ee Foreign Affairs- - Soviet Union SALT Safe Drinking Water Act Safety - -Highway see Highway Safety Safety- -Railroad see Rai lroad Safety Sailors see Harry Lundeberg School see a/so Maritime Academies Saint Elizabeth Seton see National Saint Elir.abeth Seton Day St . Joesph 's Hospital St . Louis A-Me St . Louis My-Z Saint Louis St . Louis - -Airport see a/ 0 Airports St . Louis - -Arch see J effe rson National Expansion Memorial St. Louis- -Aldermanic Affairs St. Louis Archdiocesan Council of Catholic Women see Council of Catholic Women St. Louis Area Council of Governments St . Louis--Banking see Banking and Currency--St. Louia Banking St . Louis Beautification Commia1ion St. Louis Bicentennial St. Louis--Bi-State Development Agency St. Louis--Bi-State Re(ional Medical Program St. Louis Board of Aldermen St. Louis Board of Education St. Louis- -Board of Education- -Property at 4100 Forest Park Ave St. Louis- -Board of Election Commiasioners St. Louis--Boards of Directors of Local St. Louis Bridges St. Louis Cardinal• Companies St. Louis - -Challenge of the 70's St. Louis - -City- County Consolidation St. Louis- -City Employees St. Louia--Civil Defenae St. Louis- - Clippings St. Louis--Comptroller's Report St. Louis- -Consumer Affairs Board see also Conaumer St. Louis Consumer Federation St . Louis Convention Center St. Louis Convention Piasa Land St. Louis - - Coroner St . Louis County St. Louis County- - Clippings St. Louis Courthouse St. Louis Day Care ee a/ 0 Poverty Program- -Day Care Centers Poverty Program- -Head Start Center Poverty Program--St. Louis Day Care St. Louis - -Dea Perea Project St. Louis--Downtown St . Louis - -East - West Gateway Coordinating Council see East - West Gateway Coordinating Council St. Louis--Federal Building St. Louis-- Federal Building- -Clippings St . Louis --Gateway Army Ammunition St. Louis--Grants see Grants- - Entries Plant St. Louis--Health & Welfare Council see Health & Welfare Council of Greater St. Louia St. Louis--Highwaya See a/so Highway through St. Louis Martin Luther King Bridge St . Louis Housing see Housing- - St . Louis entries St. Louis Housing and Land Clearance Authroity ·ee Housing-- St. Louis and Land Clearance Authority St . Lou1s Housing Code Enforcement See Housing--St . Louis Code Enforcement St . Louis Housing Plan see Housing- -St . Louis Housing Plan St. Louis Human Development Corporation see Poverty Program--St . Louis Human Development Corp. ee a/ 0 Poverty Program- -Human Development Corp. St. Louis Independent Packing Company see Meat Inspection--St . Louis Independent Packing Company St. Louis- - Indian Cultural Center St. Louis--Jefferson National Expansion Memorial see Jefferson National Expansion Memorial St. Louis Jobs Corps Center see also Job Training Program Labor--Manpower Development and Training Poverty Program--St. Louis Jobs Corps Center St. Louis--Labor Relations--St. Louis Plan St. Louis Layoffs St. Louis Levee St. Louis- -Mansion House see Mansion House St. Louis--Mayor see also Poelker, John H St. Louis- -Mayor- -Clippings St. Louis--Mayor's Council on Youth St. Louis --Municipal Opera St . Louis--National Museum St. Louis--National Park System St . Louis- -Old Post Office Building see a/so St. Louis Federal Building St. Louis Ordinance Plant see a/so St. Louis--Gateway Army Ammunition St. Louis--Parks St . Louis--Police St . Louis--Politics see a/so Missouri- -State Politics Women in Politics St . Louis --Port St. Louis--Port--Clippings St. Louis - -Port--Correspondence St. Louis Post- -Dispatch see Pulitr;er, Joseph Newspaper St . Louis Post Office--Curtailment of Service St . Louis--Post Office Discontinuance of Railway Post Office Service St . Louis Post Office--Operations see also Grants--Post Office--St. Louis St. Louis Post Office--Postal Data Center St . Louis --Poverty Program see Poverty Program--St. Louis entries St. Louis Public Service Employment St . Louis Rat Control see also Rat Control St. Louis Regional Industrial Development Corp. St . Louis Residential Manpower Center St . Louis--Revenue Sharing ee a/so Reven'ue Sharing St. Louis- -Savings and Loan Associations ee a/ so Banking and Currency Committee-Savings and Loan St. Louis School Lists St. Louis School Tax St . Louis Senior Citizens see also Elderly St . Louis -- Small Business Administration see a/so Banking and Currency--Small Business Administration Poverty Program--St. Louis Small Business Development Center Small Business Administr:oL1on St. Louis--Solomon Rooks St. Louis--Symphony St. Louis- - Union Station St. Louis--U.S. Army St. Louis--U.S. Army--Automates Logistics Management Agency St. Louis--U.S. Army Aviation Research Center St. Louis--U.S. Army Aviation Systems Command St. Louis--U.S. Army Corps of Engineers see also Flood Control Flood Protection Project St. Louis U.S. Army Corps of Engineers-Correspondence St. Louis U.S. Army Corps of Engineers- Newsletters St. Louis--U.S. Army Corps of Engineers-North St. Louis Harbor St. Louis--U.S. Army Corps of Engineers-Installations St. Louis--U.S. Army Corps of Engineers-Material Command St. Louis- - U.S. Army Mobility Equipment Center St. Louis--U.S. Army Publications Center St. Louis--U.S. Army Reserve St. Louis- - U.S. Army Support Center St. Louis- - U.S. Department of Agriculture Laboratory St. Louis--U.S. Medical Laboratory St. Louis--U.S. Military Installations St. Louis--U.S. Military Personnel Record Center St. Louis Records Center St. Louis University St. Louis University--Agency for International Development St. Louis University--Commemorative Stamp St. Louis University--Fordyce Conference St. Louis University--Grants see Grants- -HEW- - St. Louis University see al 0 Grants--Many Sources--St. Louis University St. Louis University Medical School St. Louis University--One Hundred Fiftieth Anniverary of Its Founding- -Resolution St. Louis University - - Scott Shipe Case St. Louis Witholding Tax Sales Representative Protection Act Salk Vaccine see Health--Polio--Vaccine Savings and Loan Companies see Banking and Currency Committee-Savings and Loan ee a/so Housing--Savings and Loan Scholarships and Fellowships School Lunch Program see also Education--Food and Nutrition Program School Milk Program see a/so Education--Food and Nutrition School Students Schools Program see a/ o Education entries Schools--Chrisiian Brothers ROTC Program Schools--Clippings see also Education--Clippings Schools--College Debate Topic Schools--Exchange Students Schools- -Grants see Grants--HEW- -Public Schools--High School Debate Topic Schools- - Integration see Integration Schools--Junior College District School Prayer see Religion --Prayer in Schools Schoir Investigation Scullin Steel Sea Level Canal see P anama Canal--Sea Level Canal Study Commission Seals see Publications Request for Seal Plaques Secret Service Securities Securities and Exchange Commission Security Assistance and Arms Export Control Act Security Contract Guards Select Committee on Aging see also National Institute on Aging Older Americana Act Select Committee on Intelligence Select Committee to Investigate Assaainations Select Committee to Investigate Missing in Action see also Foreign Affairs--Vietnam Select Committee to Reform Congress see also Congress Selective Service Separation of Presidential Powers Series E Bonds Sesquicentennial of Missouri see Missouri--Sesquicentennial Seaton, Elizabeth see National Saint Elizabeth Seton Day Seven Day War see Foreign Affairs--Israel-Arab War Sex Education see also Birth Control Family Planning Illegitimacy Population Growth Shoe Imports Shoe Workers Silver . see Banking and Currency Committee- Silver Situs Picketing Against Situs Picketing For "Slug" Law see a/so Banking and Currency Coins Small Boat Owners see a/ so Boats Small Business Administration . see also Banking and Currency ~ommlttee-Small Buamess National Federation of Independent Business Poverty Program--St. Louis Small Business Devl. Center St. Louis- -Small Busm h Administration Smnll Businese Growth and Job Creation Act Smithsonian Snoapers Sonp see Food and Drug Admini1tration--Soap Soccer Team Social & Rehabilitation Services Social Security--ADC Social Security--Amendments Social Security--Benefits at Age 72 Social Security--Deduction for Education Social Security--Dis bility Social Security--Divorced Widows Social Security--Earning Limitations Social Security- - Equipment Rental & Purchase Social Security--General Social Security- - Health Insurance Social Security--Hospitallnaurance see also Social Security--Medicaid Social Security- - Include Qualified Drugs Social Security- - Increased Benefits Social Security-- Derr--Milla Social Security- -King/ Anderson Social Security- - Legislation Social Security Legislation--ADC Social Security-- Limitations on Earnings Social Security--Material and Reports Social Security--Medicaid see also Socinl Security- - Hospital Insurance Social Security--Medicare Social Security- - Medicare- -Clippings Social Security- -Medicare- -Coverage of Cancer Test Social Security- - Medicare for Physicians Social Security--Medicare-- Independent Laboratoriea Social Security- - Medicare- -Newaletter from HEW Social Security- - Medicare--Nursing Homes see a/so Nursing Homes Social Security--Medic re--Optometric and Medical Vision Care Soci al Security- -Medicare- -Profeseional Standards Review Organization Social Security- -Medicare- - Prescription Drugs Social Security--Medicare Reform Act Social Security- -Miniaters Social Security--Old Age Assistance Social Security--Old Age Insurance Social Security--Petitions Social Security Programs Social Security -- Proof of Age Social Security--Public As1istance see a/so Welfare Social Security --Reader'• Digest Soci al Security --Reducing Age Limit Social Security--Retirement at 62 Social Security--Supplementary Benefits Social Security--Widow'a Benefit• Social Service Regulations Soft Drink lnduatry Solar Energy Information Solar Heating Legislation Solid Waate Pollution see also Air Pollution Soula.rd Area Pollution Recycling Wute Water Pollution ee Housing-- Soulard Area South St. Louis see Housing--South Broadway see a/so Housing--South Side Soviet Jews--Foreign Affairs Soviet Union see Foreign Affairs--Soviet Union Space--Apollo 11 Space- - Apollo 13 Space Program see a/so Aeronautics and Space National Aeronautics and Space Act Space Program-- Russian Spanish Pavilion Special Prosecutor Spending Ceiling Sports Stamps ee Commemorative Stamps Postage lncreaae Postal Boutique Stamps, Food see Food Stamp Plan State, Dept. of ee also Kissinger, Henry State Department Authorization Bill State Dept.--Danny the Red's . . . Stockpile Strikes see also Housing-- Public Housing- - Rent Stip Mining Strontium 90 Strikes Labor Entries Postal Strike Railroad Brotherhoods and Organizations Railroads- -Strikes Taft-Hartley Billa see Drugs, Strontium 90 Student Loans see Education -- College Loan Program see a/ so Education- -Student Aid Bill Student Militants see Militants Subsidy Programs Sugar Act Sullivan, Leonor K.--Appointmenta Sullivan, Leonor K.--Billa Sullivan, Leonor K.--Conferee Appointments Sullivan, Leonor K.--Congressional Record Items Sullivan, Leonor K.- -Dura Letter Sullivan, Leonor K.--Election Material Sullivan, Leonor K.--House Subcommittees Sullivan, Leonor K.--lnterviews Sullivan, Leonor K.--lnvitations see Invitations Sullivan, Leonor K. - -Letters Sent in Multiple Copies Sullivan, Leonor K. --Letters to Other Members of Congress Sullivan, Leonor K.-- &en Sullivan, Leonor K.--Oftlce AdmiaiHra&ioa Sulliv n, Leonor K.--P Req t SullivM, Leonor K - -Por&raU Sullivan, Leonor K.- -P ~ Jg(IU see also Praa and • lleponen PreMCommeau Radio aad Televiaion --P . a.~a . aad lntervie a Sulliv n, Leonor K.--P.- Rele UNil-66 Sullivan, Leonor K.--P.- lUI•- Ul67-72 Sullivan, Leonor K -- P.- 1•- UI73- Sullivan, Leonor K.--PubllcitJ see also e • Rele --Radio Radio Sullivan, Leonor K.--Qu.UOnn.U. Sullivan, Leonor K.--R.edpee see Recipea Sulliv n, Leonor K.--Rerernb see Referrala Sullivan, Leonor K.--Scholanhip A arcl Sullivan, Leonor K.--Reaction ~ Presidential St tementa see a/ 0 Praa Commenta Preu and e 1 Reporters Sulhv n, Leonor K --Speech Inform tion R.equ . t Sullivan, Leonor K --Speech., Sulliv n, Leonor K --Speech., on the Floor ol the House Sullivan, Leonor K.--Speech., to Outaide Groupa Sullivan, Leonor K.--Tatimony Before CommiuSuJUvan, Leonor K.--Tributa Upon Retirement Sullivan, Leonor K.--Votinc Record See a/ 0 Foreicn Afrain--Vietnam- -Mn. Sullivan'• Voting Record Sullivllll, Leonor K.--Workinc Woman of the Year Award Summer Youth Employment and Recre tton see a/ 0 Poverty Program--National Summer Sun T n Lotion Youth Procram ee Food and Drug Adminiatration--Sun Sunshine Bill Tan Lotion See a/so Freedom of Information Act Superaonic Tranaport Supplemental Security Income Supreme Court see a/ o Impeachment (J uatice Douglu) Judiciary Surplua Property Swiss B nk Account. .see Banking and Currency- -Swiu Bank Account• Synthettc Fuela Loan Guarantee Bill Tart-Hartly Ad Taft -Hartly Billa see Strikea Tariffa Tariffa -- Canadian Tar~ffa -- Koken Comp niea, Inc. Tanff•--Reciprocal Trade Tariffa- -Shoe Import. Tariffa- -Shoe lmporta Congreaaion I Record lnHrtl and Background M teriala Tax IUbate ee a/ o Internal Revenue Service Tax a.duction Ad Tax Reform T:.x nerorm Correapondence Tax IUform- -Material Tax Study Legialation Taxa- -Airline Taxa--Airport Taxa--City Eaminp Tax Taxa- -Clippinp Taxa--Deduction for Dependent. Taxa--Deduction of Education of Dependents .)ee a/so Education--Tax Deduction for Education Taxea--Dividenda Taxea--Eatate Taxea--Exciae Taxea--Excise Can Taxes-- Excise Handbap Taxea- -Exise- -Truckl Taxe•·-Gu Taxea--Gu and Oil Depletion TI\Xet--Home Owners Tax Deductions Taxn-- lncome Taxa- -Single Persons Taxes-- Income Taxa Taxes-- Inspection of Tax Returns Taxes- - lnve•tment Tax Credit Taxn- -Mi•cellaneou• Taxes- -Municipal Bonds Taxes--Prnidential Election Campaign Taxn- -Self-Employed Person Taxe1--State Taxation of Interstate Commerce Taxes- -Surtax Taxes--Transportation of Household Goods Teachera Corps ee Education--Teacher'• Corps Teacher '• Ret irement Teamsters Teamsters- -Monitorship Teamsters - -Strike• Technology Asseament Office see a/ SO Office of Technology Aueasment Telecommunication• ee a/ o Communication• Telephone Rates Television ee a/ so Communications Equal Time Federal Communications Commi1sion Freedom of the Preas Televiaion and Radio Programa Television--CBS-- Selling of the Pentagon Televi1ion-- Education Television --Educational Television--KTVI Ten Park• Improvement Auociation see Housing--Ten Park Improvement Aaaociation Tennants' Organization see Hou•ing-- National Tennenta' Organization Thailidomide see Drugs, Thalidomide Thanks Youa Thomas J efreraon Day Till, Emmet Timber Supply see a/ o Lumber Lumber PreaervaLion Le(ialalion Total Boy Project see Poverty Program--Total Boy Program Tourism-- Legislation Town House Project see Housing- -T own Houae Project-Clipping Toxic Substances Control Act Trade--Imports and Exports ee a/ 0 Fair Trade Trade Bill International Trade Commiuion Oillmporta Trade- - Import/Export Clippinp Trade--Import/Export Rhodnian Chrome Trade Reform Act Trade--Shoe Import Trading Stamps Transit- - Bi- State ee a/ SO Bus Services Transit- - Bi-State Meeting Transit --Mass Transit- -Maaa- - St. Louis Transition Allowance for Rich rd Nixon see Nixon, Rich rd M.--Transition Allowance Transportation see a/so Grants-- Dept. of Transportation-St. Louis Transportation, Dept. of-- Proposed Regulations see a/ 0 Har;ardous Material Transportation Trust Fund Transportation- -Miscellaneous Treasury Treasury Bonds Troublemakers Truck Bill Trout See Food and Drug Administration--Trout Truman , Harry S.--Medal of Honor Truman, Harry S.--Memorial Scholarship Fund Turkey See Foreign Affai rs--T urkey Turnkey Projects see Housing--Cabanne T urnkey Project see also Housing--Forest Park Blvd Turnkey Project Housing--Turnkey Projects Twelfth and Park Area see Housing--Twel fth and P ark Unemployment 1.'1! also Employment Health Insurance for the Unemployed Learning Business Centers • Unemployment Compenaation see a[ 0 Emerg ncy Unemployment Compenaation Aesistance Unemployment Compensation Form Letter and Material Unidentified Flyinc Objecta Union Electric Company See a/ 0 Lifeline Rate Act Union - Sarah Area see Housing- - Union- Sarah Unions ~l'e a/so Labor Entriee United Nations Poetal Union Recognition Railroad Brotherhoods and Organisations Railroads- -Strikes Railroads--Shopcrart Unions see Foreign Affairs- - United Nations United Nations--Reception United States- - Dept. of Agriculture U.S. Forces Oversea& United States Information Agency United Steel Workers of America University of Missouri see Missouri- - University Upper Missippi River Baain Commission see a/so Conservation--Upper Missisaippi River National Recreation Area Flood Control Upward Bound see Education-- Upward Bound Urban Affairs see a/ 0 City Planning Revenue Sharing Urban Coalition Urban League Training Program Urban Renewal ee Housing- -Urban Renewal see also Housing--Rehabilitation USS Pueblo see Foreign Affairs--Pueblo Utility Regulation ee Lifeline Rate Act Utility Loans see Emergency Utility Loans VISTA see Poverty Program--VISTA Vaporir;ers see Food and Drug Administration-- Vaporir;ers Varnish see Food and Drug Administration--Varnish Vaughn Area see Housing--Vaughn Area Veteran 's Administration see also Jewish War Vetrans Veterans ' Administration- - St. Louis Regional Office Veterans ' Benefits--Miscellaneous Veterans' Day Veterans' Employment Legislation Veterans--GI Bill Veterans --General Veterans Hospitals Veterans Hospitals --Closing Veterans Hospital-- Cochran Veterans Hospital- - Cochran--Admissions Waiting List Veterans Hospitals- - Consolidation of Outpatient Clinic Veterans of Foreign Wars see Veterans ' Organisations Veterans Hospitala--Harry S. Truman Memorial Hospital Veterans Hospitals--Jefferson Barracks Veterans Hospitala--Jeffenon Barracks- Admissions Waiting List Ve ~erana Hoapitala- -Miacellaneoua Veterana' Hoapitali- - Nunin& Horne Care for V eteran• Veterans--St. Louia Conaolidation Veterana' - - Houainc Ve ~erans '-- Lecialation Veteran• - -Military Retirement Veterans-- National Cemeteriea see also Jefferaon Barraclu Veterans-- National Life lnauranee Service Veterans Orcanir.ationa Veterana Penaiona Veterans P naiona- - Miacellaneoua Veterans Pensiona- -Spaniah American War Widowa Veterans Penaiona--War Widowa Veterans Pensiona- -World War I Vice President see a/ SO Agnew, Spiro Nixon, Richard M. Vietnam see Foreign Affain- -Vietnam Vietnam--Miaaing in Action Vietnam--Prisionen of War see also Foreign Mfain Villa de Ville see Houaing-- Villa de Ville Vitamin Supplement• see Food and Drug Adminiatration -- Vitamin Supplement• Vocational Education see also Education--Residential Vocational Education Education- - Vocational Education Vocational Rehabilitation Voter Registration see also Election Reform--Post Card Voters Registration Federal Voting Assistance Program See also League of Women Voters Voting Age Voting Rights Act see also Election Reform Wage and Price Controls see also Minimun Wage Price Freer:e War Claims War Claims--Foreign War Insurance War Powers War Protest see Foreign Mfain--Vietnam see a/so F oreign Affaira--Cambodia Washington D.C. see District of Columbia Washington University see also Grants--HEW--Washington D.C. Grants--Many Sources-Washington University Washington University Medical Center see Housing--Washington University Medical Center Water see also Food and Drug Administration -Water Water Diveraion of the Misaiuippi River to Texas Water Flouridation :,ee Flouridation of Water Water Pollution see a/so Air Pollution Pollution Solid Waste Pollution Water Pollution Laboratory Water Resources Planning Act see Conservation--Water Resources Water,ate ee at so Nixon, Richard M Waterway User Changes see a/so Lock and Dam 26 Weapons see Arms Control see also Disarmament Nerve Gas Nuclear Weapons Nuclear Weapons--Testing Weather Weatherir.ation Assistance Act Welfare see also F amily Assistance Health and Welfare Council of Greater St . Louis Welfare-- Clippings ee also Family Assistance Material and Clippings Welfare--Family Support see also Family Assistance Act Wellston, MO see Housing--Wellston West End see Housing- -West End West Pine Apartments see Housing--West Pine Apartments Wheat Research and Promotion White House Conference on Aging White House Conference on Children White House Releases by President Wild Rivers Bill see Conservation--Wild Riven Wilderness see Conservation-- Wilderness Wire T apping and Bugging see also Internal Security Women see also Advisory Council on Women's Educational Programs Anthony, Susan B. Insurance Coverage for Women League of Women Voters Minority Groups National Center for Women Women--Clippings Women- - Commissions on the Status of Women Women- -Employment Opportunities see also Equal Employment Equal Pay for Equal Work Women--Equal Rights Amendment see also Civil Rights--Equality for Women Women--Equal Rights--Clippings Women- - Equal Rights- - Congressional Material Women- - Equal Rights--Correspondence Women - - Equal Rights--Material Women--Higher Education Women in Military Academies Women in Politics see also Campaign Conference for Democn&ic Women Miaouri- -Sta&e Poli\ica St. Louia--Politica Women in Politica--Requ.ta for Jnfonnation Women in Public Service Women--Jnaurance see Jnaurance Covenc• for Women Women--International Women'• Year Women--Media Editorall and Repli• Women--Neweletten Women--Orcaniaatione see also Bueineu and Prof-ional Women'• Club Council of Catholic Women Workmen'• Compeneation Lawa see Labor- - Workmen'• Compeneation Lawa World Affaire Council World Federation Y oun1 Adult Coneervation Corpe Youn, American• for Freedom Youn& Democrat. of St. Louia Youth Affain see a/so Metropolitan Youth Commiuion Youth Appreciation Week Youth Camp Safety Act Youth Opportunity Unlimited 220-002738559 sro
In: CIC Addante, Annelisa and Max Brow - Final.pdf
Topics include: Max talks about his grandparents: their Italian heritage, the food they prepare, and the Italian words his grandfather taught him. Annelisa talks about growing up in Fitchburg, MA. Attending Catholic school. Her father was proud to be Italian. Growing up with Italian traditions. Visiting relatives in Italy. Her mother was Italian-American and did not boast about her heritage like her father did. Religion. Working for her father and eventually becoming a podiatrist herself. The value of education to her family. Her father's education and the GI Bill. Italian food and cooking. Working in Fitchburg and the sense of community there. How her grandmother sparked her interest in Italy. ; 1 SPEAKER 1: -with the Center for Italian Culture, A. January 14, 2002. We are at the home of Annelisa Addante and her… Max Brown. Annelisa is the daughter of Joe Addante and… in Fitchburg at 378 Still River Road in Bolton. So the first interview is with Max Brown. Is it Maxwell? ANNELISA: You can talk too, that's okay. SPEAKER 1: Did you ever consider giving him an Italian name? ANNELISA: No. No, I think… well… no. SPEAKER 1: Your grandfather, Dr. Joe… MAX BROWN: Well, he is a podiatrist, and… um… SPEAKER Tell me again, when do you see your grandfather? MAX BROWN: Um, on weekdays at school; and, um, sometimes I go on the computer and sometimes for dinner. Yeah, definitely a lot. SPEAKER 1: -talk about being Italian? MAX BROWN: Uh, yes. He goes to Italy a lot, and I have gone to Italy and, um… SPEAKER 1: You've gone to Italy with him? MAX BROWN: Yes. SPEAKER 1: Mm-hmm. MAX BROWN: I went to their house, actually. SPEAKER 1: -that like? MAX BROWN: Uh, well, it was pretty cool. I was sort of young, so… and then we went to… SPEAKER 1: And how old were you? MAX BROWN: Four. For a birthday. SPEAKER 1: How old are you now? MAX BROWN: Nine. SPEAKER 1: So… a lot of Italian cooking, Grandmother Addante? MAX BROWN: Sort of. Mm-hmm. Well, I just remember, like, pasta. I really like everything, basically. SPEAKER 1: Anyone ever ask you what nationality you are? MAX BROWN: Uh, sometimes; but not really regularly. Well, I am an Italian and… SPEAKER 1: Italian?2 MAX BROWN: Well, a little. Yeah. SPEAKER 1: Why do you consider yourself Italian? MAX BROWN: Because I eat Italian food and I know that my grandfather is there most of his life and, um, I just think I am definitely Italian. SPEAKER 1: Are you? MAX BROWN: Definitely Italian background at least. SPEAKER 1: Mm-hmm. Does your grandfather ever teach you Italian words? MAX BROWN: Uh, yes. He taught me "good morning," and how to get to a restaurant, and how to leave, and, like, to say good morning and then the reply and stuff. And that's really all. SPEAKER 1: Which school do you go to? MAX BROWN: [Unintelligible - 00:02:56] SPEAKER 1: Were you in kindergarten there or…? MAX BROWN: Yes, I was in kindergarten for three years and now I was three because my birthday is in September. SPEAKER 1: And your grandfather's proud of you? MAX BROWN: Uh, yeah. SPEAKER 1: What makes you think that? MAX BROWN: Uh, well, he says it so much. SPEAKER 1: You know that you grandfather's father used to make shoes? MAX BROWN: Mm-hmm [unintelligible - 00:03:25]… well, he repaired shoes and stuff. SPEAKER 1: Mm-hmm… grandfather ever take you to the places in Fitchburg… by bike? MAX BROWN: Well, no, not really, because most of them [aren't actual places and… just stuff]. SPEAKER 1: Your grandparents are Brown. do you call them Grandma and Grandpa Brown? MAX BROWN: Well, Nana and Grandpa. SPEAKER 1: What nationality are they? MAX BROWN: I think a little Scottish and Irish and a little French; I don't know, a little American? Canadian? I don't really know.3 SPEAKER 1: -talk about what they are? MAX BROWN: Not really. If they do they don't really talk about… discuss it and stuff. SPEAKER 1: Do they have any special food that they cook? MAX BROWN: Um, pasta mostly. SPEAKER 1: Do you think they talk about their heritage as much as your Grandfather Addante? MAX BROWN: No. Definitely not. SPEAKER 1: You mentioned that your Grandfather Addante talks a lot about being Italian? MAX BROWN: Yes, definitely. SPEAKER 1: Are you proud of being Italian? MAX BROWN: Sort of, yeah. SPEAKER 1: But someone like me goes around and tries to interview people. Why? MAX BROWN: Well, to get more information… SPEAKER 1: Italian and… MAX BROWN: Background and… SPEAKER 1: Back to Italy? Any plans to go? MAX BROWN: Um, well, I don't know any time soon, but I'd like to go skiing there. SPEAKER 1: You'd like to go skiing? MAX BROWN: Uh, yes. Race-skiing. SPEAKER 1: (I don't think that's the problem. I don't know what the problem is but now it's back on again… ) Would you like to tell me anything else about your grandparents? MAX BROWN: Not really. On the Brown side, my grandfather is an avid golfer and… SPEAKER 1: Has he taught you? MAX BROWN: Uh, yes. SPEAKER 1: So you are already a golfer and a skier? MAX BROWN: Golfer, and a skier, and a soccer player; I love sports. SPEAKER 1: Did Grandfather Addante ever play sports? Do you know? MAX BROWN: I don't think so. He says he does but I don't really suspect… 4 SPEAKER 1: Does he look Italian? MAX BROWN: I don't know. Yeah, I guess. SPEAKER 1: -really never ask you if you are Italian? MAX BROWN: No, not just anyone… just, like, in school… SPEAKER 1: Do you have any interest in becoming a podiatrist? MAX BROWN: Definitely not. SPEAKER 1: Definitely not? MAX BROWN: Definitely not. SPEAKER 1: Why is that? MAX BROWN: I'm more into something like [unintelligible 00:06:13]. I really don't like it in the office; definitely not a podiatrist. SPEAKER 1: No? MAX BROWN: Definitely not. Anything but a podiatrist SPEAKER 1: Really, do you ever…? [Laughter] So you go to the office? MAX BROWN: Uh, yes, sometimes after school. I don't know if I am to tell you but every year we cook smelts and baccala for Christmas dinner. Not really any special Italian traditions, you know [unintelligible 00:06:40]. SPEAKER 1: Are there foods that your mother cooks? MAX BROWN: Uh, well, she makes only pasta and… I don't know, but [unintelligible 00:06:52] here in Italian. I… mostly, I think. SPEAKER 1: [Anything] else? MAX BROWN: No, not really. SPEAKER 1: No? Is your Grandmother Addante Italian? MAX BROWN: Yes; well, she came from… she didn't come from the exact same place when she came… her parents came from Italy. SPEAKER 1: Does she talk about Italy at all? MAX BROWN: A little, but not like my grandfather. SPEAKER 1: What do you call your grandparents? MAX BROWN: Grandpa and Grandma [on the…]. Well, Grandpa Joe and Grandpa Dick on the other side. SPEAKER 1: So Grandpa Joe never said, "Why don't you call me, what is it, "noni"'?5 MAX BROWN: I know some other people that are called that but I don't really… SPEAKER 1: And your soccer − the Italian team or… ? MAX BROWN: Yes, I do. Definitely. I don't know… yeah, maybe… SPEAKER 1: Now we are talking to Annelisa Addante… Back in Fitchburg…is that true? Can you tell me a little bit about… did you go to public school there? ANNELISA: No, actually… the private catholic school, which basically was ethnically mixed. The school I went to was run by the same order of sisters that ran the school my dad − when he was younger − he belonged to. He belonged to St. Anthony's parish. SPEAKER 1: You were saying something about Abbot's school that was run by the same order of nuns that… ANNELISA: He went to St. Bernard's, which was "The Irish School," in those days. So I think my loss was language, because at St. Anthony's grammar school Italian was taught and it wasn't at Holy Family. I think that is where I might have had the opportunity to learn to speak and continue speaking. SPEAKER 1: Did they have… ANNELISA: Fitchburg and Leominster and surrounding towns. It is very much like students commuting to a school today; because they didn't grow up with neighborhood kids, they didn't grow up with the children in my parish. You know, they were from here, there and everywhere. SPEAKER 1: And where was that? ANNELISA: It was on South Street in Fitchburg. SPEAKER 1: Okay. Now that's where your parents live now. ANNELISA: They do. If you went down the hill a little bit on the opposite side you'd see the complex there, used to belong to the city; I believe the city superintendent has his office there and it's called… I don't think it extended so much outside the house. My father is definitely a [force]. He has always been very 6 proud to be Italian. He always tried to maintain traditions and, you know, there were certain things that we did, certain things that we ate, certain thing that probably he talked about, but that was more at home than being outside of home. Yes. SPEAKER 1: Do you feel as though they… ANNELISA: I can't think of anyone that I grew up with whose family participated in more traditions than my family did. No. my father… [Laughter] SPEAKER 1: Speaking of that word [laughter]. ANNELISA: So I would say, one is eating at the dinner table every single night, having to be home for dinner and all being together to eat. It didn't necessarily have to be Italian food, but the fact that we all did get together; we always get together for holidays. There is some food… Dad is a good historian − local historian and world historian − and so he would often refer to… in terms of the Romans and the contributions of the Catholic Church and how it influenced history. I always found it really interesting. I had taken a few Italian lessons outside of school when I was young. When I was 12 I went to Italy for the first time. It was a school trip; really for students older than myself. But my aunt was going as a teacher and so I was allowed to go, even though I was only 12. And that… during that trip we went to visit some of the relatives. So we went back to the village where my grandparents had come from, and met cousins that were approximately my age and that was really interesting. And I did not really view them so much as Italian as I did, you know, kids my age, basically. And it was just really a good time in life to connect and to this day I am still friendly with some of those cousins. We have traveled back and forth. SPEAKER 1: Did you write to them? 7 ANNELISA: We wrote, mm-hmm. Definitely we wrote. We made some phone calls [laughter]; she came to visit. She later sent her son to spend a month with us one summer and still are in touch. SPEAKER 1: You said… ANNELISA: One in particular is just a few month older than I. And then another is about… Well, I was speaking a little and they were speaking a little English and we managed. SPEAKER 1: Really? Did you father …. ANNELISA: No, not really. He would speak to my grandparents in Italian and sometimes they would answer in English. They would speak in Italian when they didn't want us to understand what they were saying, but they really didn't make an attempt to teach us to speak Italian when we were young. You know, I think they regret that now and later on I studied Italian in college and one of my brothers did as well. But you know, I did two years and when I went to sign on to year three they weren't offering it. So I would like him to learn and we periodically pick tapes. We always take the tapes before we go on the trip. That's not really adequate but it's… I think the fact that we all sat down together to eat dinner, that was one. Some of the foods were different. The travel was different. And the topics of conversations were different. I am not so sure that it was more sort of ethnically oriented. Well, let me see… I think a large part of it was due to my dad's interest, you know, that we acted with this notion that we had an Italian heritage. SPEAKER 1: Now your mother… ANNELISA: Oh, my grandfather was born in Italy and her mother was not Italian, although her mother learned to cook from her sister-in-law and she actually learned to speak Italian. I guess you would say she was an Italian-American. There wasn't a lot of conversation about her being Italian when we were young. I mean, my father always talked about being Italian; my mother really didn't. I think her family… for her family, it was important to assimilate more than my dad's family. 8 SPEAKER 1: I wonder why? ANNELISA: Her father had come at a younger age. Her grandparents had come to this country; my father's grandparents had not come here. It made the difference − but that was the difference. SPEAKER 1: What would…? ANNELISA: I would have to say Italian-American because I have had my consciousness raised [laughter] for a long time about my family heritage and I had an interest in the family history. And we make, you know, some effort at maintaining some traditions, although I do think that it's been watered down a whole lot [laughter]. SPEAKER 1: Lack of time, or…? ANNELISA: Mostly lack of time. I mean, I think of all the things my grandmother did. But she was home; she never drove. I'm barely home; I'm driving everywhere. So the… you know, we like to cook. It takes time; we don't do as much of it as my grandmother… tried to maintain a garden in the summertime, transplanted the grapes but we still haven't got around to making the wine. I am not sure it will ever happen. The interest is there, but the time is not. SPEAKER 1: No. ANNELISA: [His] family is mostly French; a little Irish, a little Scotch. That's where the Brown comes from. I don't think he really aligns himself with a nationality, necessarily. We really don't talk about family heritage. They talk about relatives but not ethnic background [laughter]. He is very easygoing person. I think he found my father interesting because it definitely widened his horizons in a whole lot of ways… Island or two, but had never really left the country before we got married; so, you know, he found himself traveling and the joke is that we are still trying to find out something that Rick doesn't like to eat. He's got a wide palate. He's… you know, wide open to new experiences so he didn't hold it against me [laughter].9 SPEAKER 1: Was it important to your mother and father that you made…? ANNELISA: My father used to talk about that when I was younger but that dissipated through the years [laughter]. SPEAKER 1: What about the same religion? ANNELISA: [NOTE: during this section it sounds as if there are at least one and possibly two other women speaking but the voices are so similar it could not be differentiated easily] Up to now he might say something about it but, no. He would. You know, my father was very much like a lot of Italian men. You see them in church when they are young. Then you see them for weddings and baptisms and funerals. And then they get older then you start see them on a regular basis again. My father was not really the churchgoer when we were younger. He is now but he wasn't when we were younger. I think both my parents are very spiritual. Yes. The oldest. There were definitely gender differences. One brother was 11 months younger and the other was four and a half years younger. Being the oldest it wasn't necessarily that I would do something first and a year later my brother would get to do it. We'd sort of always get to do it at the same time because he was a boy. They were definitely allowed more freedoms than I was. No question about it. Socially − yes, but even in the jobs they were allowed to take, my dad really wanted me to work for him in some capacity. Whereas my brothers could go out and they had the experience of a wider variety of jobs; there were certain things they just didn't want me to do. Oh, I had a lot of chores. [Laughter] My brothers were good workers and they had chores but didn't have things that needed to be done daily. Oh, absolutely; my father considered himself very progressive because he has two colleagues that are female. But we are exceptions [laughter]. There were definitely gender biases. And I would need to be able to do all the things that my mother does well, and then do what my father does. 10 I think it just evolved; I would not say that it was undue pressure, but there were certainly expectations. I think I was fortunate enough I was able to rise to the occasion. I think sometimes those expectations can be difficult for some children with a different personality. Maybe I was just enough like my father to cope with the expectation [laughter]. SPEAKER 1: So is it true to say that… ANNELISA: He is very enthusiastic about his profession as he is about his heritage [laughter] so I think in his view there was nothing better I could do. Yeah. SPEAKER 1: Did you ever consider doing something different? ANNELISA: I did at different times but I think that when I was younger, I really wasn't exposed to a lot of job opportunities; or not opportunities, you know − careers. It was one that I happened to know a lot about because my dad's office was downstairs; we lived upstairs. I did different facets of the job, you know, depending on my… I just fell into it. Maybe I was genetically programmed; I am not sure [laughter]. SPEAKER 1: Are you happy with the choice? ANNELISA: I am happy with the choice − I enjoy what I do. SPEAKER 1: I want to say… ANNELISA: No, not really. I don't remember exactly how that came about. I did. SPEAKER 1: What was that like? ANNELISA: Well, actually I had gone away my last year of high school. I had been away to boarding school and my brother had gone off to boarding school as well. To go away was not such a big deal. You know, I was 45 minutes from home, so… SPEAKER 1: Which high school? ANNELISA: I went to Abbot Academy in Andover. I just… it was a four-year school, but I just went away for my senior year. I just went there for one year. SPEAKER 1: So where did you go previously?11 ANNELISA: I really wasn't happy at Fitchburg High School. Initially thought it would; then I sort of thought maybe I explore other avenues and by the time I was senior I decided I that I was going to podiatry school [laughter]. SPEAKER 1: What was that like? Was that a…? ANNELISA: One of the defining moments was when I toyed with going to law school and I went in to take in the boards and I had to be fingerprinted along with every other student and I thought… [Laughter] SPEAKER 1: Oh, gosh! So then you decided. ANNELISA: At that point it was pretty clear, yeah… SPEAKER 1: Other than think, "Gee, I think I am going to podiatry." [Laughter] ANNELISA: No. I think he expected that I would be going [laughter] probably wasn't necessary… SPEAKER 1: How many years was podiatry school? ANNELISA: Four years. SPEAKER 1: Four years? So you went to Holy Cross for four… ANNELISA: I mean home? Yes. Absolutely. But I did two years residency first. SPEAKER 1: Where was that? ANNELISA: I went to Philadelphia for a year and then back to New York for another year and then I came home. [Laughter] I didn't have a particular place; it was just to consider going elsewhere or to go home to an established practice. SPEAKER 1: So when you went… and did you? ANNELISA: For a very brief time. SPEAKER 1: You were practicing elsewhere, but now you are part of your father's practice. ANNELISA: He's semi-retired; he sees very few patients in the Fitchburg office. But he does a lot of teaching in both Rome and London. So he takes off for periods of time SPEAKER 1: Is that something he has tried to get… ANNELISA: Yes, he has.12 SPEAKER 1: Are you interested? ANNELISA: I did some teaching when he had residency program when I first came home to practice with him but I am not interested in doing the traveling now; not because they don't like to travel − that part of it I would enjoy − but because I have a nine-year-old and I want to be home and do things with him. It's definitely not an option at this point in time. SPEAKER 1: Does he have any expectation…? ANNELISA: Oh, definitely. It was his… his profession was his sort of way to freedom, if you will. You know, he talks about his Italian heritage but he became sort of the American doctor and it gave him his independence and respect in the community and that was the way he did it, as many others have done it in both law and medicine; and I think when that happens, oftentimes fathers think well, it worked for me, it will work for you. I think there is great pressure put on children of parents who learn professions; particularly when they were the first generation in this country. I have seen lots of incidences of that. SPEAKER 1: Did…? ANNELISA: Well, yes, and no. If you take it as being first generation only, yes; but he got the education he did was a great thing. It is a reflection of, you know, combination of the GI bill − he described as being one of the best things American did for itself at that point in time − but also his willingness to really work hard. You know, he had the GI bill but he worked nights and went to school days. But also he was very fortunate in that both of his parents could read and write their own language when they came to this country, and a lot of immigrants could not say that of themselves. So they came here and they both went to night school to learn English, to read and write English. And my grandfather probably was unusual in that he educated both of his daughters. They both had master's degrees. So 13 although there were gender differences, they did value education and everyone helped the other to get the education that they knew they would need. He gave up on it because they were both very good at what they did. SPEAKER 1: What did they…? ANNELISA: They were both very artistic. One was a graphic designer. They both were graphic designers; one worked basically for a large company and did in-house advertising and the other did it out on his own as a freelancer. SPEAKER 1: Did they both…? ANNELISA: One stayed in the Fitchburg area and the other went to school in New York and stayed in New York and worked there. SPEAKER 1: Wasn't he…? ANNELISA: He had couple of opportunities to become a president of a podiatry school. And there is sort of lot of glamor associated with living in a large city. But my dad had always returned to Fitchburg. He grew up there and when he finished podiatry school he thought of setting up a practice elsewhere but decided that he wanted his children to know their grandparents. And this sort of roots thing was important to him. And he always returned and as much as he likes to tell us… and I think that he liked being in a small, town. He liked knowing everybody, he liked knowing the history. When he meets a patient he asks, "What was your mother's maiden name?" And he invariably knows somebody connected to them; and that doesn't happen in New York City or Chicago, so… Of work? Yes. I like taking care of people. It's pretty rewarding. It's not the kind of situation where you have to tell people they have cancer or, you know, the horrible day-to-day medical things. Most people come in not feeling too well and leaving feeling a whole lot better so that makes the day pretty pleasant. I think for my mother I got the sense that an education is a very important thing to pursue. She had not done that and she wished that she had the opportunity and made it sound very 14 important. My mother was the silent glue and my father was the noisy glue. They were both always present. She did make some Italian dishes but it was not… but not on a daily basis. We ate a lot of fresh vegetables and fruits and so forth, but it was also the time of frozen vegetables and, you know, sort of the cooking of the '50s was the trend for a while. And then I think my mother has really gotten back to more Italian cooking as everyone become more health conscious with lowering cholesterol and fat and so forth. She's gone back to more fresh vegetables, salads, pastas than we actually had growing up as children. Most of the Italian cooking was done by my grandparents when we were young. Now my grandparents lived in Leominster − so maybe 5 miles from our house − and my mother's mother lived just a couple of miles from us… Italian cooking, right? No, my mom cooked every day, but it wasn't always Italian food. She does more Italian cooking now than she did then. SPEAKER 1: Who taught you how to make pasta? ANNELISA: My grandmothers. SPEAKER 1: Was… ANNELISA: I think it was very informal, just part of the repertoire. I would always sort of watch what they were doing, try to participate… [Laughter] SPEAKER 1: Do you feel a certain allegiance to Fitchburg? ANNELISA: I guess allegiance…I have a soft spot in my heart for it. I know what kind of community it was when I was growing up. I think that there have been economic hardships in Fitchburg but I think it's a great community. I think there is a lot of to offer. I participate in things like the Fitchburg art museum. There are some great institutions in Fitchburg that need to be supported to the benefit of the whole community. I am not sure commitment is the right word. As long as I am feeling interested in working I think that is where I would work. But 15 no, I think, although my dad has been very influential and there have been lot of expectations that I think I made efforts to fulfill, I think that it's important to note that he is pretty much done what he wanted to do when he wanted to do it. And that I should be able to do the same. [Laughter] SPEAKER 1: Did you ever get… you know… I don't know. So his father expects… ANNELISA: I definitely see generations. People ask me almost every day where I work, someone will ask me about my dad or my grandfather. And there are patients that I have that I have known the parents and/or the grandparents. All of them… but certainly on a daily basis there are people that have been coming for… I think for me that is the greatest sense of community I have experienced because I wasn't in a school of neighborhood where people typically my age talk about community. I didn't have that; but I have had it more with work than in anything else. I think there were some women who were disappointed that I was not a male doctor. I remember one lady actually said to me, "I thought you would be a big man." And you know, I had to explain that I was the daughter. Because having the same name sometimes people would not… SPEAKER 1: I probably asked this in one way, but do you think… ANNELISA: I am sure he is proud. Yeah. Well, you know, there were all kinds of heights to which my dad would go and would be happy to have me go as well. And I have really chosen the low road but I think, still, in the end he is proud. Oh, yes. Lots of people knew my dad so a lot of people had an opinion. Some really positive and some not so positive because he has always been a controversial figure. SPEAKER 1: Was he ever…? ANNELISA: Not politics. Professionally he has always been on the board of health. Within his profession he was very active politically. He has always been outspoken but he also always been a doer. 16 He does not just sit back and criticize; if he has a better idea he typically acts on it. Geographically it was a compromise for both me and Rick. SPEAKER 1: You mean…? ANNELISA: Work; it's pretty much equidistant from work. SPEAKER 1: Mm-hmm. Where does he work? ANNELISA: Right now he is in [air] but he's on the road. He needed access to 495. I mean, I had a happy childhood. I really didn't know what life would be like in a different kind of community. I lived really close to the downtown areas. I was independent; I would walk to the Y, the museum, the post office, the library. I did all the errands for the office, so I was on the go all the time, I knew most of the merchants on Main; I mean, nowadays there are a handful of merchants, but then every storefront was the shopping mall. Highway access to center of town… SPEAKER 1: Childhood friends? ANNELISA: One in particular stayed in Fitchburg and, as I did, she does what her father did before her [laughter]. SPEAKER 1: Is she Italian? ANNELISA: Mm-hmm, went for a while and then came back home. Lived there part time, lived out of state part time. Not working to have children. I think it's possible that I could be living in the village but the cousins that I know now have moved from the village. They would go back because there were older relatives there. But for the most part the young generation left. I think that the countryside is beautiful; I would be very happy living there. I am not sure what I would be doing for an occupation. SPEAKER 1: What do…? ANNELISA: One of them is an architectural engineer and the other is a shop owner now. She had done sales of various kinds. I think that just because maybe now you are interviewing folks that are talking about their ethnic heritage, but I… well, my husband went to Notre Dame; if you go out to Notre Dame you will meet a lot of guys that are talking about being Irish. It's very17 important to be Irish there. Whether or not you are Irish [laughter]. Exactly… I think it's just the circle you happen to fall into. I am not sure whether is as important as something to banter about. I would say that probably my interest in Italy was sparked mostly from my grandmother, my dad's mother whom I call "Nonni" because she would on occasion receive a letter and she would pore over these letters and she would occasionally receive a photograph and she really handled it as a treasure. And she would tell stories and I could tell it was a place that she really missed, and that there were real people there. I mean, she really made it come alive. They didn't have a telephone or computer to contact people but life in Italy was very real for her and I think that she always missed it. I do think they're important, I think, to help and everyone gets up on their own and… it sort of always embraced the League of Nations at home and at work. And as you get to know other people from other countries, what I find myself recognizing are the similarities in most cultures. Family is very important. I think that is just a human quality. And how you sit around the table may differ but you know those… the way you relate to one another. I think I find myself looking more for the… or seeing more of the common threads rather than the differences. The differences may be food and they maybe holidays and they may be… or things or history. And those things that embellish life but… my curiosity is to know more about my cultural heritage but also to learn about the others. I have always felt pretty strongly about that, I would say, for most of my adult life. I think it puts emphasis on the fact that all you really have in life is some time and you don't know how much of it you have and that you'd best make the most of it. Having lost my younger brother so early, that's something that has been very real for some time, you know. SPEAKER 1: You happy with…18 ANNELISA: Makes you appreciate… And you realize that you are… if you have children you realize that you have one opportunity you cannot make up tomorrow. SPEAKER 1: What do you mean by…? ANNELISA: What you may neglect today you cannot make up tomorrow. SPEAKER 1: Thank you very much. That's the end of the interview. And I am so… /AT/ca/mm
[spa] La promoción de la autonomía personal, se establece como elemento clave para garantizar el envejecimiento activo. La familia es a menudo el sistema social encargado de atender a los adultos mayores cuando estos no pueden valerse por sí mismos; proporciona vínculos afectivos, relacionales y emocionales necesarios para garantizar el bienestar del adulto mayor. Para garantizar la calidad de vida en el adulto mayor, se deberán considerar tanto las atenciones a su salud, como las atenciones que faciliten el mantenimiento de la estabilidad familiar. Es por ello, por lo que este sistema, requerirá de habilidades relacionales y sociales que les permitan afrontar con éxito los cambios del envejecimiento; cambios que impactarán sobre la convivencia, las relaciones entre sus miembros y sobre cada uno de los miembros en sí. Para apoyar a las personas y familias a que mantengan un papel activo en la promoción de la autonomía y de la salud de sus miembros, se enfatizará en el empoderamiento, proceso por el cual se alienta a desarrollar las habilidades de cuidado individual, familiar y social. En este sentido, los estilos de afrontamiento adaptativo, han demostrado ser el motor de mejora de la adaptabilidad a los cambios del envejecimiento, posibilitar la adecuada gestión de conflictos y potenciar la resiliencia familiar. Los programas de competencias familiares basados en la evidencia han demostrado ser una estrategia eficaz y efectiva para desarrollar las habilidades de relación familiar promotoras de la resiliencia. No obstante, entre los principales puntos débiles para la eficacia de la implementación de este tipo de programas, se identifican las dificultades para mantener la implicación familiar a lo largo del proceso; se refiere tanto a las dificultades para la captación y retención familiar al inicio del proceso, para el mantenimiento del compromiso familiar a lo largo de las sesiones y de las dificultades para salvar las barreras para la participación. Esta tesis doctoral nace en el marco del Proyecto de Investigación "Validación del Programa de Competencia Familiar Universal 10-14 en España (EDU2016-79235-R - I+D relativa a las Ciencias Sociales financiada con FGU)". La presente tesis doctoral se dirigió, inicialmente a evaluar cuáles son las técnicas que dan mejores resultados de adherencia al programa, en respuesta al objetivo 4 del Proyecto de Investigación que se operativiza en "Evaluar la adherencia de las familias participantes, a lo largo de las sesiones que componen el programa". Dado que la evidencia indica que el trabajo sobre las habilidades de comunicación, habilidades sociales, las estrategias de afrontamiento familiar, las competencias en cuidadores y adultos mayores relacionadas con los cuidados eficaces, la autoestima u autoeficacia, entre otras destrezas sobre las que trabaja el Programa de Competencia Familiar, promueven la autonomía y ayudan a prevenir las situaciones de dependencia, se decidió realizar una adaptación de sus contenidos, pues el Programa de Competencia Familiar, se orienta a la intervención socioeducativa con y entre progenitores y menores de edad. Hasta el momento no se había definido una intervención socioeducativa que permitiera el trabajo preventivo de potenciales dinámicas familiares disfuncionales vinculadas a la aparición de situaciones de dependencia y cronicidad. Las versiones anteriores del Programa de Competencia Familiar han demostrado su eficacia a largo plazo en los principales factores que componen la dinámica familiar positiva (resiliencia, comunicación, organización y cohesión familiar, disciplina positiva y otros factores) (Orte et al., 2015) y dadas las variables sobre las que trabaja, las características - práctica basada en la evidencia- y las evidencias siguientes: 1. La relación entre la carencia de apoyo social y familiar, de relaciones sociales, problemas de comunicación y la influencia del entorno sobre los procesos de pérdida de autonomía y aceleración del adelanto hacia formas de dependencia severa. 2. La carencia de garantía del derecho recogido al artículo 1 de la Ley 39/2006, de disponer de recursos de promoción de autonomía y la carencia de atención a las recomendaciones nacionales e internacionales en cuanto al envejecimiento activo. Se procedió a adaptar el Programa de Competencia Familiar dados sus resultados probados en la mejora de las estrategias de afrontamiento familiar, la mejora de las dinámicas familiares y de los factores de protección tanto familiar como individual en cada uno de sus miembros. El Programa de Competencia Familiar Universal-Auto se diseñó en torno a las mismas herramientas y estructura que el Programa de Competencia Universal. Se tomó como referencia el mismo objetivo genérico - trabajar sobre las pautas de comunicación y de relación familiar-, aunque con un objetivo final diferente: lograr promover las dinámicas familiares que permitan un funcionamiento óptimo de cada uno de sus miembros, en su caso, para promover el envejecimiento activo. Mediante un conjunto de intervenciones socioeducativas aplicadas en el ámbito familiar, se promueve la permanencia de la persona en situación de dependencia en su entorno familiar bajo condiciones de bienestar y calidad de vida. Además, se refuerzan las medidas de prevención primaria y secundaria de las situaciones de dependencia al dirigirse a familias con adultos mayores sin dependencia o con síntomas incipientes de la misma. Se diseñó el programa y sus materiales, se formó a un conjunto de trabajadoras sociales del Plan Individual de Atención (PIA) de la Fundació d'Atenció i Suport a la Dependència i de Promoció de l'Autonomia Personal de la Direcció General de Dependència del Govern Balear, para su implementación y se aplicó, en 2019 sobre una muestra de 75 familias de diferentes espacios territoriales de Palma de Mallorca. Se inició un segundo pilotaje en 2020, nuevamente sobre una muestra de 75 familias, que tuvo que verse interrumpido a raíz de la declaración del estado de alarma por la COVID-19, el 14 de marzo de 2020. El estudio contó con un diseño cuasi-experimental con evaluaciones pre-post de los participantes en el programa. Los instrumentos de medición de los efectos del programa sobre las familias objeto de estudio e intervención, se realizó mediante cuestionarios validados para su aplicación sobre dicha población. Se adaptaron a las características de la población objeto de investigación y, previo al inicio del programa se informó a los participantes sobre sus derechos y se les facilitó una hoja de consentimiento informado. Específicamente los instrumentos fueron: el Cuestionario de Pfeiffer, para identificar los síntomas de demencia no diagnosticados en cribaje inicial, la Escala de Recursos Sociales (OARS), para evaluar los niveles de apoyo social, el Cuestionario de Función Familiar (APGAR) para evaluar la dinámica y funcionamiento familiar, el Cuestionario de Calidad de Vida en la Vejez en los Diferentes Contextos, para evaluar los niveles de calidad de vida de las personas mayores participantes, la Escala de Depresión Geriátrica – Test de Yesavage, para evaluar los niveles de depresión en adultos mayores, los Cuestionarios de satisfacción de participantes, para evaluar el nivel de satisfacción de las familias con los contenidos, formadores y resultados del programa y el Cuestionario de evaluación y seguimiento para que las formadoras pudieran evaluar la idoneidad de los contenidos del programa para su implementación y evolución de los participantes en cada una de las sesiones. Se rediseñaron los instrumentos de evaluación, preparando un único cuestionario con las principales informaciones y escalas de evaluación de resultados, adaptando las informaciones a sus destinatarios y con las medidas de evaluación pertinentes para cada colectivo de evaluación, formando un cuestionario para familiares, uno para adultos mayores, un cuestionario de evaluación de progreso de los participantes, un cuestionario de evaluación de las sesiones de las familias, un cuestionario para evaluar las sesiones de cuidadoras, otro para la evaluación de las sesiones de adultos mayores y un cuestionario de satisfacción. El análisis de los datos cuantitativos se centró en los resultados de los factores y escalas considerados para cada uno de los instrumentos, de acuerdo con las hipótesis de la investigación. El análisis se realizó con SPSS 25. Se realizó un análisis descriptivo de cada una de las escalas consideradas, de acuerdo con los protocolos establecidos por instrumento, estableciendo los resultados grupales y diferenciando los resultados por variable. Se realizó un análisis de diferencias de medias (t-test) y pruebas no paramétricas (U de Mann- Whitney), comprobando diferencias (pre-post, entre grupo cuasi-experimental y control y la variable sexo mediante comprobaciones basadas en el análisis de varianza: MANOVA), reproduciendo la secuencia de análisis para cada una de las etapas de toma de datos. Por otro lado, se analizaron los resultados de las estrategias de captación, identificadas en las revisiones sistemáticas y aplicadas en el primer pilotaje de PCF-Auto, el análisis de la adherencia, mediante el control de la asistencia y la participación, analizando el seguimiento de las indicaciones y recursos conductuales introducidos por el programa, mediante el seguimiento de las recomendaciones por parte de los participantes a corto y medio plazo, se analizó la fidelidad de las formadoras en la aplicación del programa, y se analizó la valoración del programa y la satisfacción participante. Se contrastaron las hipótesis iniciales por medio del estudio de las variables dependientes, según el resto de variables consideradas, realizando un estudio individual y relacional de las variables explicativas. Los resultados muestran la consecución adecuada de la validación del contenido del programa, aunque se requieren ciertas modificaciones identificadas en las evaluaciones. La evaluación de la eficacia del programa en la evitación o retraso de riesgos muestra ser positiva en las diferentes áreas de relación evaluadas, aunque estadísticamente significativa (p<0.05) en algunas de ellas. En relación a la eficacia del programa en el desarrollo de competencias familiares y de relación social, se identifica también una mejora estadísticamente significativa en las escalas APGAR y OARS relativas a la relación y apoyo social. Se observan mejoras en los resultados de la escala de cohesión familiar, aunque se requiere la ampliación de los tiempos en los que se imparten los contenidos de la sesión 3 para mejorar la asimilación de los contenidos relativos a la cohesión familiar. También se identifica una mejora de los recursos de afrontamiento familiar, fundamentales para mejorar la autonomía de sus miembros. Estos resultados son evaluados por la escala de resiliencia, la cual muestra cambios estadísticamente significativos (p<0.05). Los resultados de la adherencia no fueron positivos dado que se perdió aproximadamente el 50% de la muestra tras la primera sesión. Es probable que como se indican entre los cambios recomendados por los formadores, se requiera que las Trabajadoras Sociales citen a domicilio a los potenciales participantes para facilitar los cuestionarios previamente a dar inicio al programa. En la primera sesión los participantes mostraron síntomas de cansancio al tener que rellenar los cuestionarios de evaluación pre, requiriendo aproximadamente 1 hora para realizarlos. Muchos de ellos mostraban carencia de destrezas de lectura y escritura y requerían que los formadores dedicaran un tiempo exclusivo para cada uno de los participantes, lo que supuso problemas luego para poder dar exitosamente los contenidos necesarios a impartir en la sesión 0. Otro problema identificado en cuanto a la citación telefónica fue el hecho de cometer errores en la captación. En la sesión 0 se identificaron perfiles de personas que no cumplían con las características inicialmente previstas y necesarias para el adecuado aprovechamiento de los contenidos del programa (personas que habían desarrollado síntomas suficientemente importantes de demencia como para suponer una limitación en la adquisición de contenidos, personas con problemas de hipoacusia que requerían de un formador constantemente a su lado para captar las pautas del formador y que mostraban dificultades para interactuar con el resto de participantes…). Luego y como era de esperar, hubo un cierto volumen de bajas que se vincularon al empeoramiento de los síntomas de salud y/o a hospitalizaciones. La implicación y participación mostró ser positiva en los resultados de evaluación por participante. De facto, tras la sesión 0 se mantuvieron la casi totalidad de las familias participantes hasta el final de la aplicación del programa. La mayor parte de participantes pidieron una segunda versión de PCF-U-Auto por los resultados que identificaron en sus hogares y familias. Los centros residenciales pidieron adaptar el programa a las necesidades de las residencias para poder disponer del programa en un futuro. La evaluación de la adherencia, mostró la necesidad de implementar estrategias para incentivar la realización de las prácticas para casa, dado que constituyen una parte importante de la asimilación de contenidos del programa. Los resultados de satisfacción mostraron ser muy positivos. En esta tesis doctoral, se definieron las técnicas de implicación familiar aplicadas en intervenciones familiares de prevención de riesgos. Los resultados de las revisiones sistemáticas indicaron la necesidad de considerar técnicas de implicación relativas a las familias, al formador, al programa y a la organización, para garantizar la eficacia de los resultados de los programas familiares, en relación a la participación y mantenimiento de las familias a lo largo de las sesiones de los programas. Estos resultados se demuestran en las dos primeras revisiones sistemáticas publicadas en Octaedro y en Social Work and Social Sciences Review. Por otro lado, se adaptó el Programa de Competencia Familiar, en su versión universal, a las necesidades de las familias con adultos mayores, con el objetivo de promover su autonomía, envejecimiento activo y calidad de vida. Para la adaptación, se realizó, previamente, un estudio observacional descriptivo, dirigido a definir las variables sociodemográficas, de salud, de apoyo social, de dependencia y las relativas a la interacción entre cuidador-adulto mayor. Se aplicó el análisis de conglomerados para definir los perfiles de la población dependiente y adaptar el diseño del programa conforme a las necesidades definidas en el estudio. Paralelamente, se realizó un vaciado de planes, programas, protocolos, guías y documentos oficiales de las diferentes autonomías españolas y de los principales entes internacionales en materia de envejecimiento y dependencia, para identificar (1) las variables familiares que promueven la autonomía (2) medidas de promoción de autonomía implementadas. Una vez, definido (1) el perfil de adultos mayores con dependencia, (2) las variables familiares que inciden sobre la autonomía de los adultos mayores y (3) las medidas de promoción de autonomía implementadas, se diseño el Programa de Competencia Familiar-Auto y se procedió a realizar un primer pilotaje. En cuanto al procedimiento seguido para el pilotaje, un total de 16 trabajadoras sociales de la Fundació d'Atenció i Suport a la Dependència y de Promoció de l'Autonomia Personal de les Illes Balears - Direcció General de Dependència fueron formadas (10h.) por profesorado de la Universidad en los contenidos –fundamentación teórica y práctica- del PCF-U-Auto. Durante dos semanas, se seleccionaron un conjunto de personas beneficiarias de la Prestación Económica para Cuidados en el Entorno Familiar (PECEF) del Gobierno Balear, por parte de las Trabajadoras Sociales de referencia habilitadas para aplicar el PCF-U-Auto; el principal requisito de cribado fue que hubieran recibido la valoración de Grado I dentro de los 6 meses inmediatamente anteriores a la selección. El objetivo era evitar incluir en la muestra a personas cuyas valoraciones requirieran de actualización al haber contraído más síntomas de dependencia. La muestra por el pilotaje se constituyó de 5 grupos de ±15 familias por grupo: un grupo en Manacor, uno en Inca y tres en Palma –Santa Catalina/Son Espanyolet, Ciutat Antiga y Son Cladera- conformando una muestra inicial de 75 familias. Del análisis de un primer pilotaje, se identificó como determinados factores sociales y familiares incluyen, de manera significativa, (p ≤ 0.05) sobre las situaciones de dependencia, permitiendo delimitar propuestas de intervención para aplicar en el Programa de Competencia Familiar-Auto. Destacaron los cambios significativos en la dinámica familiar (funcionalidad familiar (APGAR), t = -2,426, p = 0,018*, d = 0,307; resiliencia familiar, t = -2,283, p = 0,026*, d = 1,007) y los cambios significativos en los adultos mayores (recursos sociales (OARS): t = - 2,032, p = 0,046*, d = 0,445; valoración situación social: p = 0,055*; valoración relaciones sociales: p ≤ 0,05 en relación con los nietos y con los vecinos). Conclusivamente, queda demostrada la efectividad del PCF-Auto en la respuesta a la necesidad de medidas de promoción de autonomía y de envejecimiento activo en adultos mayores, indicada por los principales entes nacionales e internacionales, leyes y estudios sobre envejecimiento y dependencia. El PCF-Auto confirma su validez como herramienta preventiva de situaciones de dependencia mediante el trabajo sobre el ámbito familiar. ; [cat] La promoció de l'autonomia personal, s'estableix com a element clau per a garantir l'envelliment actiu. La família és sovint el sistema social encarregat d'atendre als adults majors quan aquests no poden valer-se per si mateixos; proporciona vincles afectius, relacionals i emocionals necessaris per a garantir el benestar de l'adult major. Per a garantir la qualitat de vida en l'adult major, s'hauran de considerar tant les atencions a la seva salut, com les atencions que facilitin el manteniment de l'estabilitat familiar. És per això, per la qual cosa aquest sistema, requerirà d'habilitats relacionals i socials que els permetin afrontar amb èxit els canvis de l'envelliment; canvis que impactaran sobre la convivència, les relacions entre els seus membres i sobre cadascun dels membres en si. Per a fer costat a les persones i famílies al fet que mantinguin un paper actiu en la promoció de l'autonomia i de la salut dels seus membres, s'emfatitzarà en l'apoderament, procés pel qual s'encoratja a desenvolupar les habilitats de cura individual, familiar i social. En aquest sentit, els estils d'afrontament adaptatiu, han demostrat ser el motor de millora de l'adaptabilitat als canvis de l'envelliment, possibilitar l'adequada gestió de conflictes i potenciar la resiliència familiar. Els programes de competències familiars basats en l'evidència han demostrat ser una estratègia eficaç i efectiva per a desenvolupar les habilitats de relació familiar promotores de la resiliència. No obstant això, entre els principals punts febles per a l'eficàcia de la implementació d'aquesta mena de programes, s'identifiquen les dificultats per a mantenir la implicació familiar al llarg del procés; es refereix tant a les dificultats per a la captació i retenció familiar a l'inici del procés, per al manteniment del compromís familiar al llarg de les sessions i de les dificultats per a salvar les barreres per a la participació. Aquesta tesi doctoral neix en el marc del Projecte de Recerca "Validació del Programa de Competència Familiar Universal 10-14 a Espanya (EDU2016-79235-R - I+D relativa a les Ciències Socials finançada amb FGU)". La present tesi doctoral es va dirigir, inicialment a avaluar quines són les tècniques que donen millors resultats d'adherència al programa, en resposta a l'objectiu 4 del Projecte de Recerca que s'operativiza en "Avaluar l'adherència de les famílies participants, al llarg de les sessions que componen el programa". Atès que l'evidència indica que el treball sobre les habilitats de comunicació, habilitats socials, les estratègies d'afrontament familiar, les competències en cuidadors i adults majors relacionades amb les cures eficaces, l'autoestima o autoeficàcia, entre altres destreses sobre les quals treballa el Programa de Competència Familiar, promouen l'autonomia i ajuden a prevenir les situacions de dependència, es va decidir realitzar una adaptació dels seus continguts, perquè el Programa de Competència Familiar, s'orienta a la intervenció socioeducativa amb i entre progenitors i menors d'edat. Fins al moment no s'havia definit una intervenció socioeducativa que permetés el treball preventiu de potencials dinàmiques familiars disfuncionals vinculades a l'aparició de situacions de dependència i cronicitat. Les versions anteriors del Programa de Competència Familiar han demostrat la seva eficàcia a llarg termini en els principals factors que componen la dinàmica familiar positiva (resiliència, comunicació, organització i cohesió familiar, disciplina positiva i altres factors) (Orte et al., 2015) i donades les variables sobre les quals treballa, les característiques -pràctica basada en l'evidència- i les evidències següents: 1. La relació entre la manca de suport social i familiar, de relacions socials, problemes de comunicació i la influència de l'entorn sobre els processos de pèrdua d'autonomia i acceleració de l'avançament cap a formes de dependència severa. 2. La manca de garantia del dret recollit a l'article 1 de la Llei 39/2006, de disposar de recursos de promoció d'autonomia i la manca d'atenció a les recomanacions nacionals i internacionals quant a d'envelliment actiu. Es va procedir a adaptar el Programa de Competència Familiar donats els seus resultats provats en la millora de les estratègies d'afrontament familiar, la millora de les dinàmiques familiars i dels factors de protecció tant familiar com individual en cadascun dels seus membres. El Programa de Competència Familiar Universal-Auto es va dissenyar entorn de les mateixes eines i estructura que el Programa de Competència Universal. Es va prendre com a referència el mateix objectiu genèric - treballar sobre les pautes de comunicació i de relació familiar-, encara que amb un objectiu final diferent: aconseguir promoure les dinàmiques familiars que permetin un funcionament òptim de cadascun dels seus membres, en el seu cas, per a promoure l'envelliment actiu. Mitjançant un conjunt d'intervencions socioeducatives aplicades en l'àmbit familiar, es promou la permanència de la persona en situació de dependència en el seu entorn familiar baix condicions de benestar i qualitat de vida. A més, es reforcen les mesures de prevenció primària i secundària de les situacions de dependència en dirigir-se a famílies amb adults majors sense dependència o amb símptomes incipients d'aquesta. Es va dissenyar el programa i els seus materials, es va formar a un conjunt de treballadores socials del Pla Individual d'Atenció (PIA) de la Fundació d'Atenció i Suport a la Dependència i de Promoció de l'Autonomia Personal de la Direcció General de Dependència del Govern Balear, per a la seva implementació i es va aplicar, en 2019 sobre una mostra de 75 famílies de diferents espais territorials de Palma. Es va iniciar un segon pilotatge en 2020, novament sobre una mostra de 75 famílies, que va haver de veure's interromput arran de la declaració de l'estat d'alarma per la COVID-19, el 14 de març de 2020. L'estudi va comptar amb un disseny quasiexperimental amb avaluacions pre-post dels participants en el programa. Els instruments de mesurament dels efectes del programa sobre les famílies objecte d'estudi i intervenció, es va realitzar mitjançant qüestionaris validats per a la seva aplicació sobre aquesta població. Es van adaptar a les característiques de la població objecte de recerca i, previ a l'inici del programa es va informar els participants sobre els seus drets i se'ls va facilitar una fulla de consentiment informat. Específicament els instruments van ser: el Qüestionari de Pfeiffer, per a identificar els símptomes de demència no diagnosticats en cribratge inicial, l'Escala de Recursos Socials (OARS), per a avaluar els nivells de suport social, el Qüestionari de Funció Familiar (APGAR) per a avaluar la dinàmica i funcionament familiar, el Qüestionari de Qualitat de Vida en la Vellesa en els Diferents Contextos, per a avaluar els nivells de qualitat de vida de les persones majors participants, l'Escala de Depressió Geriàtrica – Test de Yesavage, per a avaluar els nivells de depressió en adults majors, els Qüestionaris de satisfacció de participants, per a avaluar el nivell de satisfacció de les famílies amb els continguts, formadors i resultats del programa i el Qüestionari d'avaluació i seguiment perquè les formadores poguessin avaluar la idoneïtat dels continguts del programa per a la seva implementació i evolució dels participants en cadascuna de les sessions. Es van redissenyar els instruments d'avaluació, preparant un únic qüestionari amb les principals informacions i escales d'avaluació de resultats, adaptant les informacions als seus destinataris i amb les mesures d'avaluació pertinents per a cada col·lectiu d'avaluació, formant un qüestionari per a familiars, un per a adults majors, un qüestionari d'avaluació de progrés dels participants, un qüestionari d'avaluació de les sessions de les famílies, un qüestionari per a avaluar les sessions de cuidadores, un altre per a l'avaluació de les sessions d'adults majors i un qüestionari de satisfacció. L'anàlisi de les dades quantitatives es va centrar en els resultats dels factors i escales considerats per a cadascun dels instruments, d'acord amb les hipòtesis de la recerca. L'anàlisi es va realitzar amb SPSS 25. Es va realitzar una anàlisi descriptiva de cadascuna de les escales considerades, d'acord amb els protocols establerts per instrument, establint els resultats grupals i diferenciant els resultats per variable. Es va realitzar una anàlisi de diferències de mitjanes (ttest) i proves no paramètriques (O de Mann- Whitney), comprovant diferències (pre-post, entre grup quasiexperimental i control i la variable sexe mitjançant comprovacions basades en l'anàlisi de variància: MANOVA), reproduint la seqüència d'anàlisi per a cadascuna de les etapes de presa de dades. D'altra banda, es van analitzar els resultats de les estratègies de captació, identificades en les revisions sistemàtiques i aplicades en el primer pilotatge de PCF-Auto, l'anàlisi de l'adherència, mitjançant el control de l'assistència i la participació, analitzant el seguiment de les indicacions i recursos conductuals introduïts pel programa, mitjançant el seguiment de les recomanacions per part dels participants a curt i mitjà termini, es va analitzar la fidelitat de les formadores en l'aplicació del programa, i es va analitzar la valoració del programa i la satisfacció participant. Es van contrastar les hipòtesis inicials per mitjà de l'estudi de les variables dependents, segons la resta de variables considerades, realitzant un estudi individual i relacional de les variables explicatives. Els resultats mostren la consecució adequada de la validació del contingut del programa, encara que es requereixen unes certes modificacions identificades en les avaluacions. L'avaluació de l'eficàcia del programa en l'evitació o retard de riscos mostra ser positiva en les diferents àrees de relació avaluades, encara que estadísticament significativa (p < 0.05) en algunes d'elles. En relació a l'eficàcia del programa en el desenvolupament de competències familiars i de relació social, s'identifica també una millora estadísticament significativa en les escales APGAR i OARS relatives a la relació i suport social. S'observen millores en els resultats de l'escala de cohesió familiar, encara que es requereix l'ampliació dels temps en els quals s'imparteixen els continguts de la sessió 3 per a millorar l'assimilació dels continguts relatius a la cohesió familiar. També s'identifica una millora dels recursos d'afrontament familiar, fonamentals per a millorar l'autonomia dels seus membres. Aquests resultats són avaluats per l'escala de resiliència, la qual mostra canvis estadísticament significatius (p < 0.05). Els resultats de l'adherència no van ser positius atès que es va perdre aproximadament el 50% de la mostra després de la primera sessió. És probable que com s'indiquen entre els canvis recomanats pels formadors, es requereixi que les Treballadores Socials citin a domicili als potencials participants per a facilitar els qüestionaris prèviament a donar inici al programa. En la primera sessió els participants van mostrar símptomes de cansament en haver d'emplenar els qüestionaris d'avaluació pre, requerint aproximadament 1 hora per a realitzar-los. Molts d'ells mostraven manca de destreses de lectura i escriptura i requerien que els formadors dediquessin un temps exclusiu per a cadascun dels participants, la qual cosa va suposar problemes després per a poder donar reeixidament els continguts necessaris a impartir en la sessió 0. Un altre problema identificat quant a la citació telefònica va ser el fet de cometre errors en la captació. En la sessió 0 es van identificar perfils de persones que no complien amb les característiques inicialment previstes i necessàries per a l'adequat aprofitament dels continguts del programa (persones que havien desenvolupat símptomes prou importants de demència com per a suposar una limitació en l'adquisició de continguts, persones amb problemes d'hipoacúsia que requerien d'un formador constantment al seu costat per a captar les pautes del formador i que mostraven dificultats per a interactuar amb la resta de participants…). Després, i com era d'esperar, va haver-hi un cert volum de baixes que es van vincular a l'empitjorament dels símptomes de salut i/o a hospitalitzacions. La implicació i participació va mostrar ser positiva en els resultats d'avaluació per participant. De fet, després de la sessió 0 es van mantenir la gairebé totalitat de les famílies participants fins al final de l'aplicació del programa. La major part de participants van demanar una segona versió de PCF-Auto pels resultats que van identificar en les seves llars i famílies. Els centres residencials van demanar adaptar el programa a les necessitats de les residències per a poder disposar del programa en un futur. L'avaluació de l'adherència, va mostrar la necessitat d'implementar estratègies per a incentivar la realització de les pràctiques per a casa, atès que constitueixen una part important de l'assimilació de continguts del programa. Els resultats de satisfacció van mostrar ser molt positius. En aquesta tesi doctoral, es van definir les tècniques d'implicació familiar aplicades en intervencions familiars de prevenció de riscos. Els resultats de les revisions sistemàtiques van indicar la necessitat de considerar tècniques d'implicació relatives a les famílies, al formador, al programa i a l'organització, per a garantir l'eficàcia dels resultats dels programes familiars, en relació a la participació i manteniment de les famílies al llarg de les sessions dels programes. Aquests resultats es demostren en les dues primeres revisions sistemàtiques publicades en Octaedro i en Social Work and Social Sciences Review. D'altra banda, es va adaptar el Programa de Competència Familiar, en la seva versió universal, a les necessitats de les famílies amb adults majors, amb l'objectiu de promoure la seva autonomia, envelliment actiu i qualitat de vida. Per a l'adaptació, es va realitzar, prèviament, un estudi observacional descriptiu, dirigit a definir les variables sociodemogràfiques, de salut, de suport social, de dependència i les relatives a la interacció entre cuidador-adult major. Es va aplicar l'anàlisi de conglomerats per a definir els perfils de la població dependent i adaptar el disseny del programa conforme a les necessitats definides en l'estudi. Paral·lelament, es va realitzar un buidatge de plans, programes, protocols, guies i documents oficials de les diferents autonomies espanyoles i dels principals ens internacionals en matèria d'envelliment i dependència, per a identificar (1) les variables familiars que promouen l'autonomia (2) mesures de promoció d'autonomia implementades. Una vegada, definit (1) el perfil d'adults majors amb dependència, (2) les variables familiars que incideixen sobre l'autonomia dels adults majors i (3) les mesures de promoció d'autonomia implementades, es dissenyo el Programa de Competència Familiar-Auto i es va procedir a realitzar un primer pilotatge. Quant al procediment seguit per al pilotatge, un total de 16 treballadores socials de la Fundació d'Atenció i Suport a la Dependència i de Promoció de l'Autonomia Personal dels Illes Balears - Direcció General de Dependència van ser formades (10h.) per professorat de la Universitat en els continguts –fonamentació teòrica i pràctica- del PCF-Auto. Durant dues setmanes, es van seleccionar un conjunt de persones beneficiàries de la Prestació Econòmica per a Cures en l'Entorn Familiar (PECEF) del Govern Balear, per part de les Treballadores Socials de referència habilitades per a aplicar el PCF-Auto; el principal requisit de garbellat va ser que haguessin rebut la valoració de Grau I dins dels 6 mesos immediatament anteriors a la selecció. L'objectiu era evitar incloure en la mostra a persones les valoracions de les quals requerissin d'actualització en haver contret més símptomes de dependència. La mostra pel pilotatge es va constituir de 5 grups de ±15 famílies per grup: un grup a Manacor, un a Inca i tres a Palma –Santa Catalina/Son Espanyolet, Ciutat Antiga i Son Cladera- conformant una mostra inicial de 75 famílies. De l'anàlisi d'un primer pilotatge, es va identificar com determinats factors socials i familiars inclouen, de manera significativa, (p ≤ 0.05) sobre les situacions de dependència, permetent delimitar propostes d'intervenció per a aplicar en el Programa de Competència Familiar-Auto. Van destacar els canvis significatius en la dinàmica familiar (funcionalitat familiar (APGAR), t = -2,426, p = 0,018*, d = ,307; resiliència familiar, t = -2,283, p = 0,026*, d = 1,007) i els canvis significatius en els adults majors (recursos socials (*OARS): t = -2,032, p = 0,046*, d = ,445; valoració situació social: p = 0,055*; valoració relacions socials: p ≤ 0,05 en relació amb els néts i amb els veïns). Conclusivament, queda demostrada l'efectivitat del PCF-Auto en la resposta a la necessitat de mesures de promoció d'autonomia i d'envelliment actiu en adults majors, indicada pels principals ens nacionals i internacionals, lleis i estudis sobre envelliment i dependència. El PCF-Auto confirma la seva validesa com a eina preventiva de situacions de dependència mitjançant el treball sobre l'àmbit familiar. ; [eng] The promotion of personal autonomy is established as a key element to guarantee active aging. The family is often the social system in charge of caring for older adults when they are unable to fend for themselves; provides affective, relational and emotional bonds necessary to guarantee the well-being of the elderly. To guarantee the quality of life in the elderly, both health care should be considered, as well as care that facilitates the maintenance of family stability. That is why this system will require relational and social skills that allow them to successfully face the changes of aging; changes that will impact on coexistence, the relationships between its members and on each of the members themselves. To support individuals and families to maintain an active role in promoting the autonomy and health of their members, emphasis will be placed on empowerment, a process by which individual, family and social care skills are encouraged. In this sense, adaptive coping styles have proven to be the engine for improving adaptability to aging changes, enabling proper conflict management and enhancing family resilience. Evidence-based family competencies programs have proven to be an efficient and effective strategy for developing resilience-promoting family relationship skills. However, among the main weaknesses for the effectiveness of the implementation of this type of programs, the difficulties to maintain family involvement throughout the process are identified; It refers both to the difficulties for family recruitment and retention at the beginning of the process, for the maintenance of family commitment throughout the sessions and the difficulties to overcome the barriers to participation. This doctoral thesis was born within the framework of the Research Project "Validation of the 10-14 Universal Family Competence Program in Spain (EDU2016-79235-R - R&D related to Social Sciences financed with FGU)". This doctoral thesis was initially aimed at evaluating which are the techniques that give the best results of adherence to the program, in response to objective 4 of the Research Project that is operationalized in "Evaluating the adherence of participating families, throughout the sessions that make up the program". Since the evidence indicates that the work on communication skills, social skills, family coping strategies, skills in caregivers and older adults related to effective care, self-esteem or self-efficacy, among other skills that the Program works on of Family Competence, promote autonomy and help prevent dependency situations, it was decided to adapt its contents, since the Family Competence Program is oriented towards socio-educational intervention with and between parents and minors. Until now, a socio-educational intervention had not been defined that would allow the preventive work of potential dysfunctional family dynamics linked to the appearance of situations of dependency and chronicity. Previous versions of the Family Competence Program have demonstrated its long-term effectiveness in the main factors that make up positive family dynamics (resilience, communication, family organization and cohesion, positive discipline and other factors) (Orte et al., 2015) and given the variables on which it works, the characteristics - evidence-based practice - and the following evidence: 1. The relationship between the lack of social and family support, social relationships, communication problems and the influence of the environment on the processes of loss of autonomy and acceleration of progress towards forms of severe dependency. 2. The lack of guarantee of the right included in article 1 of Law 39/2006, to have resources to promote autonomy and the lack of attention to national and international recommendations regarding active aging. We proceeded to adapt the Family Competence Program given its proven results in improving family coping strategies, improving family dynamics and both family and individual protection factors in each of its members. The Universal-Auto Family Competence Program was designed around the same tools and structure as the Universal Competence Program. The same generic objective was taken as a reference - to work on communication and family relationship patterns - although with a different final objective: to promote family dynamics that allow an optimal functioning of each of its members, where appropriate, to promote active aging. Through a set of socio-educational interventions applied in the family environment, the permanence of the person in a situation of dependency in their family environment is promoted under conditions of well-being and quality of life. In addition, primary and secondary prevention measures for dependency situations are reinforced by targeting families with older adults without dependency or with incipient symptoms of it. The program and its materials were designed, a group of social workers from the Individual Care Plan (PIA) of the Fundació d'Atenció i Suport a Dependencia i de Promoció de l'Autonomia Personal of the General Directorate of Dependency of the Govern Balear, for its implementation and it was applied, in 2019 on a sample of 75 families from different territorial areas of Palma de Mallorca. A second pilot was started in 2020, again on a sample of 75 families, which had to be interrupted as a result of the declaration of the state of alarm by COVID-19, on March 14, 2020. The study had a quasi-experimental design with pre-post evaluations of the participants in the program. The tools for measuring the effects of the program on the families under intervention were carried out using validated questionnaires for their application on said population. They were adapted to the characteristics of the population under investigation and, prior to the start, participants were informed about their rights and provided with an informed consent form. Specifically, the instruments were: the Pfeiffer Questionnaire, to identify the symptoms of dementia not diagnosed in the initial screening, the Social Resources Scale (OARS), to evaluate the levels of social support, the Family Function Questionnaire (APGAR) to evaluate the dynamics and family functioning, the Questionnaire of Quality of Life in Old Age in Different Contexts, to evaluate the levels of quality of life of the elderly participants, the Geriatric Depression Scale - Yesavage Test, to evaluate the levels of depression in older adults, the participant satisfaction questionnaires, to evaluate the level of satisfaction of families with the contents, trainers and results of the program and the evaluation and follow-up questionnaire so that the trainers could evaluate the suitability of the contents of the program for their implementation and evolution of the participants in each of the sessions. The evaluation of the tools were redesigned, preparing a single questionnaire with the main information and results evaluation scales, adapting the information to its recipients and with the pertinent evaluation measures for each evaluation group, forming a questionnaire for relatives, one for adults, a questionnaire for evaluating the progress of the participants, a questionnaire for evaluating the family sessions, a questionnaire for evaluating the caregiver sessions, another for evaluating the sessions for the elderly, and a satisfaction questionnaire. The analysis of the quantitative data focused on the results of the factors and scales considered for each of the instruments, in accordance with the research hypotheses. The analysis was carried out with SPSS 25. A descriptive analysis of each of the scales considered was carried out, according to the protocols established by instrument, establishing the group results and differentiating the results by variable. A mean difference analysis (t-test) and nonparametric tests (Mann-Whitney U) were performed, checking differences (pre-post, between quasi-experimental group and control and the sex variable by means of checks based on the analysis of variance: MANOVA), reproducing the analysis sequence for each of the data collection stages. The results of the recruitment strategies, identified in the systematic reviews and applied in the first piloting of PCF-Auto, the analysis of adherence, through the control of attendance and participation, analyzing the follow-up of the indications and behavioral resources introduced by the program, by following the recommendations by the participants in the short and medium term, the fidelity of the trainers in the application of the program was analyzed, and the evaluation of the program and satisfaction were analyzed competitor. The initial hypotheses were contrasted by means of the study of the dependent variables, according to the rest of the variables considered, carrying out an individual and relational study of the explanatory variables. The results show the adequate achievement of the validation of the content of the program, although certain modifications identified in the evaluations are required. The evaluation of the adherence, showed the need to implement strategies to encourage the realization of practices at home, since they constitute an important part of the assimilation of program content. The satisfaction results proved to be very positive. In this doctoral thesis, family involvement techniques applied in family risk prevention interventions were defined. The results of the systematic reviews indicated the need to consider involvement techniques related to the families, the trainer, the program and the organization, to guarantee the effectiveness of the results of the family programs, in relation to the participation and maintenance of families throughout the program sessions. These results are demonstrated in the first two systematic reviews published in Octaedro and in Social Work and Social Sciences Review. On the other hand, the Family Competence Program, in its universal version, was adapted to the needs of families with older adults, with the aim of promoting their autonomy, active aging and quality of life. For the adaptation, a descriptive observational study was previously carried out, aimed at defining the sociodemographic, health, social support, dependency variables and those relating to the interaction between the caregiver and the elderly. Cluster analysis was applied to define the profiles of the dependent population and adapt the program design according to the needs defined in the study. At the same time, a drafting of plans, programs, protocols, guides and official documents of the different Spanish autonomies and of the main international entities on aging and dependency was carried out, to identify (1) the family variables that promote autonomy (2) measures to promote autonomy implemented. After defining (1) the profile of dependent older adults, (2) the family variables that affect the autonomy of older adults, and (3) the implemented measures to promote autonomy, the Family Competency Program was designed. The first piloting was carried out. Regarding the procedure followed for the piloting, a total of 16 social workers from the Fundació d'Atenció i Suport a la Dependencia y de Promoció de l'Autonomia Personal de les Illes Balears - Direcció General de Dependencia were trained (10h.) By University professors in the contents –theoretical and practical foundation- of the PCF-U-Auto. During two weeks, a group of beneficiaries of the Economic Benefit for Care in the Family Environment (PECEF) of the Balearic Government were selected by the reference Social Workers authorized to apply the PCF-U-Auto; the main screening requirement was that they had received the Grade I assessment within the 6 months immediately prior to selection. The goal was to avoid including in the sample people whose assessments required updating due to having contracted more symptoms of dependence. The pilot sample consisted of 5 groups of ± 15 families per group: one group in Manacor, one in Inca and three in Palma – Santa Catalina / Son Espanyolet, Ciutat Antiga and Son Cladera- forming an initial sample of 75 families. From the analysis of a first piloting, it was identified how certain social and family factors include, in a significant way, (p ≤ 0.05) on dependency situations, allowing to define intervention proposals to apply in the Family-Auto Competence Program. Significant changes in family dynamics (family functionality (APGAR), t = -2.426, p = 0.018 *, d = 0.307; family resilience, t = -2.283, p = 0.026 *, d = 1.007) and significant changes in older adults (social resources (OARS): t = -2.032, p = 0.046 *, d = 0.445; assessment of social situation: p = 0.055 *; assessment of social relationships: p ≤ 0.05 in relation to grandchildren and with the neighbors). Conclusively, the effectiveness of PCF-Auto in responding to the need for measures to promote autonomy and active aging in older adults is demonstrated, indicated by the main national and international entities, laws and studies on aging and dependency. The PCF-Auto confirms its validity as a preventive tool for situations of dependency through work on the family environment.
학위논문 (박사) -- 서울대학교 대학원 : 사회과학대학 사회복지학과, 2020. 8. 홍백의. ; This study characterizes 15 countries' pension reform trajectories and statistically examines how these pension reform trajectories affect pension effort during the CRP (Compound Reform Period 1990-2015). This study defines pension reform are either contractionary and expansionary reforms; pension effort refers to both pension expenditure and pension generosity. Conventionally, studies have often examined how socio-influential factors (e.g. socio-economic, institutional, and political factors) affect pension effort. However, these discourses have heavily emphasized contractionary pension reforms and pension expenditure, but have overlooked expansionary pension reforms and pension generosity. This study argues that the traditional retrenchment-focused approach to pension policy research is rooted largely in inherited theories of the 'Welfare State Crisis' and macro-socio-economics, that are not reflective of the recent post-industrial policy shifts occurring in the world. In particular to pension policy, in response to the 20th century old and new social risks, traditional Bismarckian and Beveridgean countries have implemented a mix of contractionary and expansionary reforms. These reforms were designed to deal with pension financial sustainability and adequacy against old-age poverty. Consequently, two primary limitations of previous studies have become apparent. The austerity-oriented and macro view of pension effort using socio-influential factors overlooks an important building block within the dynamic pension reform process. In addition, existing quantitative and qualitative studies have centered around institutions that examine pension policies from a static perspective - overlooking pension policy dynamic changes. During the CRP, pension systems have experienced two interconnected components - retrenchment and expansionary reforms - that ultimately define pension effort. Accordingly, it is necessary to comprehensively investigate how these components of dynamic pension reform affect pension effort in the context of both pension expenditure and pension generosity. This study organized expansionary and retrenchment pension reforms using ten pension reform variables based on the work Häusermann (2010): insurance (e.g. parametric pension reforms), capitalization (e.g. DB to DC shifts), targeting (e.g. means-tested), and recalibration (e.g. pension credits). In order to evaluate how these pension reforms affected pension effort, this study utilized two analytical methods: unsupervised clustering characterizes pension reform trajectories, and an LMM (Mixed Effect Model) statistically evaluates their effectiveness with respect to pension expenditure and pension generosity. Pension reforms were categorized into four pension reform clusters: labor-activated pension (LAP) reforms, extended privatization pension (EPP) reforms, latecomer structural pension (LSP) reforms, and extensive retrenchment pension (ERP) reforms. The labor-activated pension reform (LAP) cluster is generally composed of advanced welfare states that experienced the highest unemployment rates and most pressing demographic changes prior to the CRP. However, their transition into the CRP has been met with significant GDP growth and high employment rates. At the same time, this cluster is facing the highest level of new social risks in regions like women's labor participation, employment in services, and economic openness. In response to both old and new social risks, most of the countries in this cluster made significant reforms meant to mitigate their effects. Various parametric pension reforms (e.g. increasing the retirement age, penalizing early retirement, etc.) encourage individuals near retirement to continue working or re-enter the workforce, thus increasing labor supply. In addition, targeting and recalibration reforms incentivize participation in the labor market by lowering pension eligibility requirements. The extended privatization pension reform (EPP) cluster is very similar in its Marco-socio-economic structure to the labor-activated pension reform (LAP) cluster, in that it is defined by developed nations that experienced drastic macro-socio-economic changes before the CRP. However, in the CRP this cluster has the highest levels of aged 65 years and older individuals, coupled with a moderately high economic growth. Growth compared to the labor activated pension reform cluster may be lower due to this aging. When a higher proportion of a total population is elderly, a larger proportion of economic expenses must be spent on retirement care. However, another additional feature of this cluster's socio-economics is lower birth rates. Some new social risks of interest that have had a particular effect on this cluster are increasing service sector employment rates and higher economic openness. However, pension reform strategies are vastly different from the labor-activated pension reform (LAP) reform strategies. This reform cluster shifts enrollment in occupational or individual pension programs from voluntary to mandatory and these programs then work in conjunction with existing public pension systems. However, in order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem; for example, means-tested pension benefits, tax reductions or earnings-related subsidies to employers, employees or individuals. The latecomer structural pension reform cluster (LSP) is uniquely composed of countries that had transitioned from centrally planned economies to widespread market-based economies at the inception of their original pension programs. Their transition to market based-economies was not smooth and this was reflected in their relatively slow economic growth. Structural changes are not the only facet that describes the struggles these countries have had during the CRP; demographic issues have also played an outsized role in their economies. Not only had their relative population aged, but at the same time, there was a dramatic drop in their fertility rates. New social risks have been reflected in their rising proportion of service sector employment and the swift opening of their economies. This cluster turned to structural-based reforms as a countermeasure to the ballooning pension expenditures that ensued, because of these different macro-socio-economic hardships. In order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem with contractionary reforms (ex. targeting reform), but recalibration reforms were not implemented. The extensive retrenchment pension reform cluster (ERP), is composed of countries that demographically aged the most, and experienced the greatest long-term economic hardships because of economic crises during the CRP. Another critical issue was the decline of birth rates in these countries. New social risks have also added stress to their economic hardships with increases in atypical workers, women's labor participation rates, and serious issues with low employment rates. Under these increasing new social risks and problematic pension structures, the extensive retrenchment pension (ERP) reform cluster retrenched inherited asymmetric pension systems through radical parametric reforms, then means-tested programs were additionally added to compensate low-income groups and impoverished elderly. Each pension reform clusters' socio-economic backgrounds provide insight into the underlying indicators that are correlated with their adoption of different pension reform policies. Using these pension reform clusters as independent variables, this study demonstrates that different pension reforms have diversified the existing architecture of pension effort. According to the Linear Mixed Effect Model (LMM) results, the labor-activated pension reform (LAP) cluster statistically reduced pension expenditure relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). The extended privatization pension (EPP) reform cluster significantly reduced pension generosity relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). While the labor-activated pension (LAP) reform cluster maintained the highest standard pension retirement age and most restrictions on early retirement, the extended privatization pension (EPP) reform cluster created a more direct link between pension benefits and an individual's pension contributions, by shifting to mandatory enrollment in occupational or individual pension programs. This study asserts that pension reforms are the key to understanding pension effort (pension expenditure and pension generosity), and that contractionary and expansionary pension reform policies should be studied together. In addition, existing comparative studies have often excluded East-Asian countries, in particular, China, Japan, and Korea. They should be included in comparative policy analysis that will allow researchers to determine if they are empirically different, and thus compensate or address those differences more effectively in future research. In comparative social policy research, from the new institutionalism perspective, policy classifications should consider the process of policy change, from a dynamic perspective rather than static characteristics. This study suggests that policymakers may need to be concerned about each pension reform's pros and cons in the context of pension expenditure and generosity when adopting a pension reform. In future pension reforms, policymakers need to explicitly design their policies around increasing new profiles who, if not considered more carefully, are at higher risk of poverty in this post-industrialized global economy. The most sensible means of doing this is if policymakers avoid reducing benefits for these groups when legislating future pension reforms. Take Korean pension reforms as an example. Korea adopted an extensive parametric pension (ERP) reforms that may prove to be an effective way of curbing costs, while means-tested incentives provide more generous benefits to the growing population of at-risk individuals. However, extensive retrenchment pension (ERP) reforms have a high risk of providing inadequate pension benefits to at-risk groups without seriously resolving issues with program expenditure. Since extensive retrenchment pension (ERP) reforms do not sufficiently meet the needs of the Korean pension system, the next step is to look at alternative clusters to resolve these issues. Extended privatization pension reforms (EPP) generally supplement pension benefits by adopting a market-based pension component. However, adopting a reform from this cluster will also likely result in stagnated pension coverage, deteriorated pension benefits, and increased gender and income inequality. Adoption of a latecomer structural pension reform (LSP) (e.g. NDC) is also not realistic, because there are a large number of atypical workers in Korea (e.g. self-employed, part-time workers) who are unable to shoulder considerable financial burdens (double payment issues). This study suggests that adopting a labor-activated pension reform (LAP) may be the most effective pension strategy to strengthen Korean public pension system security. This strategy takes into account new career profiles that were previously overlooked by the system; the goal of including these workers to the system would be to reduce the occurrence of old-age poverty. ; 本论文定量比较分析了15个国家在1990-2015 (compound reform period, CRP:1990-2015)综合改革期间的养老金改革轨迹,及其对养老金努力(pension effort)的影响。本文定义了养老金改革包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform),养老金努力(pension effort)包括养老金支出(pension expenditure)和养老金慷慨度(pension generosity)。受"福利国家危机论"的影响,现存的大部分相关学术主要分析了宏观社会・经济因素(包括经济,政治和制度因素)对养老金政策的影响。这些研究集中在研究养老金支出而忽视了对养老金慷慨度的分析. 宏观社会经济背景及制度的遗产(institutional legacy)或历史轨迹等对养老金努力(pension effort)影响效应息息相关,但是本研究认为基于宏观理论并限定于养老金支出的传统文献没有充分的的分析到后工业社会下(post-industrialization)的养老金改革轨迹和特征。尤其是从20世纪末,为了应对新旧社会风险(old and new social risks)的压力,综合型养老金改革(compound pension reform),即消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)被纷纷采纳去同时解决养老金财政可持续性和抵御老年贫困的两个问题。本文认为传统文献在研究养老金政策的影响因素中存在两个主要局限性问题:第一,忽视了核心变量-养老金改革对老金支出(pension expenditure)和养老金慷慨度(pension generosity)的影响。第二,现有的定量和定性社会政策比较或聚类研究只从围绕静态角度(static perspective)的政策特征却忽视了政策的动态变化(policy dynamic change)。 本文以Häusermann (2010)的养老金改革理论为基础,分析了包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)养老金改革的十个变量:保险参数(parametric reform参数改革),市场化(例如: 从DB 改革成 DC),目标化(targeting) (例如: 经济能力审查:means-tested), 再调整(recalibration) (例如:养老金补贴: pension credits)。为了从统计学上评估分析这些养老金改革对养老金努力(pension effort)对影响效应,本文采用了两种分析方法:K均值无监督聚类分析(clustering analysis)和线性混合效应模型(linear mixed effect model, LMM)。根据聚类分析(clustering analysis)结果,15国家在1990-2015期间的养老金改革可分为四个改革类型:劳动激励改革型(labor-activated pension reform, LAP), 扩展私有化改革型(extended privatization pension reform, EPP), 后发结构改革型(latecomer structural pension reform, LSP),和激进消减改革型(extensive retrenchment pension reform, ERP). 基于定量统计数据比较分析,线性混合效应模型(linear mixed effect model, LMM)分析结果发现不同的改革轨迹对养老金支出和养老金慷慨度影响不同。 劳动激励改革型(labor-activated pension reform, LAP)是由发达福利国家组成,这些国家在CRP(1990-2015)之前遭遇过经济衰退和前所未有的失业率增加和人口转变问题,但是在CRP(1990-2015)的过度期间实现了GDP和就业率的总体水平回升。相比于其他的改革类型,这些国家面临着最高水平的社会新风险(new social risks): 女性劳动就业和服务性就业者不断增加。为了应对新旧社会风险(old and new social risks)和减轻养老金财政压力,这些国家采取了大力度的养老金参数改革。主要包括参数改革(例如: 延后退休, 处罚提前退休等),鼓励接近退休等人继续工作或重新加入劳动市场。此外利用扩张性的目标化(targeting)和再调整(recalibration)改革鼓励人们参与劳动市场并通过养老金水平等。 扩展私有化改革型(extended privatization pension reform, EPP)的宏观社会经济结构背景和劳动激励改革型(labor-activated pension reform, LAP)比较相似,但是他们的养老金改革决策却大相径庭。在CRP前期,这些国家也是经历过宏观经济巨变的发达福利国家.低生育率和最高的老年人口比例,这个改革类型的国家面临养老金支出巨大失衡的压力。另外不规则就业者(atypical worker)和服务性就业者的比例不断上升也威胁着养老金政策的长期可持续性。扩展私有化改革型(extended privatization pension reform, EPP)的主要决策是通过强制性策略提高参加职业和商业养老保险并且采取相对应的公共养老金参数改革方案。扩张型改革(expansionary pension reform)主要是为了弥补弱势和底薪群体,例如,对雇主,雇员或个人就行减税并且给以适当的补贴,经济能力审查的(means-tested)养老金补贴改革也是尤为突出。 后发结构改革型(latecomer structural pension reform cluster, LSP)的国家在养老金改革初期经历了市场经济转型独特社会变化。特别是在市场经济转型初期经济增长还没有真正的崛起,养老金制度不仅面临经济转型的挑战,人口转变包括人口老龄化和生育率下降问题更是加剧了养老金制度的财政失衡。另外新社会风险(new social risks)和全球化更激化了服务性劳动者的增加。为了扩大政府财政来源和弥补养老金缺口,这些社会背景推动了这些国家以结构改革(structural pension reform)为主线。为弱势群体也提供一定的社会补助,例如,经济能力审查的(means-tested)养老金补贴,但是后发结构改革型(latecomer structural pension reform cluster, LSP)目前缺乏再调整(recalibration)的扩张型改革(expansionary pension reform)。 激进消减改革型(extensive retrenchment pension reform, ERP)在CRP初期临最严重的老龄化增长和经济危机带来的长期经济困难。人口转变(生育率急剧下降,老龄化进程加速)更是加剧了养老金的经济持续性问题。同时,这些国家更面临着由迅速的现代化进程所带来的挑战:服务性劳动者,女性劳动市场的参与与日俱增,就业率急剧下降等新社会风险(new social risks)。在这种社会背景下,激进消减改革型 (extensive retrenchment pension reform, ERP)采用了大幅度的参数改革(parametric pension reform)为消减现存的养老金财政问题。资格审核(means-tested)的社会救助被采用去补助低收入人群和老人的养老金收入。 本文把以上的四个改革类型作为自变量研究分析了各个改革类型对养老金努力(pension effort: pension expenditure, pension generosity)的影响效果。根据线性混合效应模型(linear mixed effect model, LMM)的分析结果,相对于激进消减改革型 (extensive retrenchment pension reform, ERP), 劳动激励改革型(labor-activated pension reform, LAP)有效的消减了养老金支出; 扩展私有化改革型(extended privatization pension reform, EPP)有效的得降低了养老金的慷慨度。相比之下,劳动激励改革型(labor-activated pension reform, LAP)维持了最高标准的养老金退休年龄和提前退休的最大限制,而扩展私有化改革型(extended privatization pension reform, EPP)则是通过强制参与职业和商业退休金制度加大紧缩养老金和缴费之间的直接关系。 理论层面,第一,本研究强调养老金改革变量是理解养老金努力(pension effort)的关键。第二,1990年以来的养老金改革应该同时考虑消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)。第三,从新制度主义的理论角度来看,社会政策比较更应该考虑动态政策变化(pension dynamic change),不应该只限于静态视角(static perspective)的政策特征。第四,传统的社会政策比较研究文献经常忽略了东亚国家,比如,中国,日本和韩国。本文认为,尤其是比较研究更应该把这些国家包括在内因为通过比较可以更有效的分析这些制度改革决策的差异性。 政策层面,在制定养老金改革方案时需要同时考虑改革对养老金支出和养老金慷慨度影响的利弊。考虑到后工业化所带来的新风险和现存的旧社会风险,在未来的养老金改革方案中养老金长期可持续性需要要均衡养老金支出可持续性和慷慨度。以韩国养老金改革为例,激进消减改革型(extensive retrenchment pension reform, ERP)可能有助于控制养老金支出,另外经济审查性的社会补助(means-tested)是可以填充贫穷老人的养老金水平;但是其改革方案很可能让高风险群体(ex. atypical workers, lower-income)面临养老金严重不足的问题。由于激进消减改革型(extensive retrenchment pension reform, ERP)不能充分满足韩国养老金制度的需求,本文总结分析了其他三个改革方案的可取性。扩展私有化改革型(extended privatization pension reform, EPP)方案主要是通过市场养老金组成部分来补充养老金福利慷慨水平,但是此改革方案可能导致韩国养老金覆盖率停滞,并恶化高风险群体(ex. atypical workers, lower-income group)的养老金慷慨度并且加剧性别福利水平不平等等问题。后发结构改革型(latecomer structural pension reform cluster, LSP) (ex. NDC) 方案对于韩国的现状更不现实。由于韩国的独特的工业及劳动市场结构,绝大部分的非典型就业者 (atypical workers) 会很难负担双重付费 (double payment issue) 问题。采用劳动激励改革型 (labor-activated pension reform, LAP) 方案可以加固韩国的公共养老金体系并有效的提高新型职业 (new career profiles) 人员的养老金覆盖率且减少老年贫困。 ; 본 연구는 15개 국가를 대상으로 1990-2015년 사이 발생한 다양한 연금개혁의 궤적을 군집화하고 이러한 연금개혁궤적 군집이 연금노력(Pension Effort)에 미치는 영향에 대해 분석하고자 한다. 본 연구에서 연금개혁은 축소개혁(Contractionary Reform) 과 확장개혁(Expansionary Reform)을 동시에 고려하며 연금노력(Pension Effort)은 연금지출(Pension Expenditure)과 연금관대성 (Pension Generosity)을 나타낸다. "복지국가의 위기론"의 영향으로 기존 대부분의 연구들은 연금노력(Pension Effort)과 관련하여 주로 거시적 관점에서사회・경제・정치 영향 요인이 연금지출에 미치는 영향에 대해서만 분석이 이뤄졌다. 특히 핵심적 연금정책수단인 연금개혁에 대한 연구가 부족했으며 연금노력(Pension Effort)에 연금관대성을 살펴본 연구는 많지 않았다. 또한 실질적으로 전통적인 "복지국가 축소론"을 기반으로 분석한 연구들은 脫산업화로 인해 복지정책의 다양한 변화 및 특징을 충분히 포착하지 못했다. 지난 20세기말부터 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 동시에 대응하기 위해 많은 국가들은 연금제도의 지속가능성 개선을 위해 축소개혁(Contractionary Reform)뿐만 아니라 확장개혁(Expansionary Reform)도 같이 도입했다. 다시 말해, 기존의 연구들은 크게 두 가지 한계점을 뚜렷하게 나타내고 있었다. 첫째, 거시적 관점에서 분석한 기존연구들은 사회・경제・제도적 영향 요인이 연금노력(Pension Effort)에 미치는 영향과 연금관대성에 대해 연구가 부족하다. 또한 가장 중요한 영향요인 변수인 연금개혁에 대해 분석하지 못했다. 둘째, 기존의 질적 및 양적 비교정책연구들은 주로 연금제도의 정태적(靜態的) 특성만 포착했으며 동태적(動態的) 개혁과정에 대한 연구가 부족했다. 따라서, 동태적(動態的)인 연금개혁이 연금지출과 연금관대성에 대해 어떤 영향을 미치는가에 대한 연구가 시급하고 중요하다. 본 연구는 Häusermann (2010)의 연금개혁을 이론적 기반으로10가지 연금개혁 변수를 포함하며 15개 국가를 대상으로 26년 동안 연금개혁궤적에 대해 분석하고자 한다. 구체적으로 연금개혁 변수는 주로 보험(Insurance), 적립화(Capitalization) (예: DB에서 DC로 전환), 표적화(Targeting) (예: Means-Tested)과 再조준화(Recalibration) (예: 연금크레딧 혹은 교육크레딧)를 포함한다. 우선, 군집분석(Cluster Analysis)을 통해서 다양한 축소 및 확장 연금개혁을 연금개혁궤적으로 규명하였고, 선형혼합효과모형 (Linear Mixed Effect Model, LMM)을 통해 각 연금개혁궤적이 연금노력(Pension Effort), 즉 연금지출(Pension Expenditure)과 연금관대성(Pension Generosity)에 대한 영향을 분석하였다. 분석결과에 따라, 4가지 연금개혁 궤적 유형으로 구분할 수 있다: 노동활성화개혁(Labor-Activated Pension, LAP), 민영화확장개혁(Extended Privatization Pension, EPP)개혁, 후발구조적개혁(Latecomer Structural Pension, LSP) 그리고 긴축연금개혁(Extensive Retrenchment Pension, ERP). 노동활성화개혁(LAP)은CRP(1990-2015) 기간 이전의 매우 높은 실업률과 급진적인 인구학적 변화를 겪은 선진 복지국가로 구성되어 있다. CRP(1990-2015)기간에 진입하여 GDP 성장과 고용률 증가세를 점차적으로 확인할 수 있지만 新사회위험(New Social risk)에 가장 심각한 국면을 직면하고 있었다. 예를 들어, 높은 여성의 노동시장 참가율, 높은 세계화 지수 및 서비스업의 증가 등 있다. 이러한 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 대응하기 위해 대부분 국가들은 다양한 모수적연금개혁을 실시했다. 특히 은퇴에 근접한 연령인 개인들은 계속 노동시장에 남을 수 있도록 많은 연금개혁을 노력해왔다. 예를 들어, 은퇴연령을 높이고 조기은퇴 연령 축소 및 조기은퇴의 감액을 강화하여 노동시장 참여를 유발하기 위한 많은 연금개혁을 했다. 동시에 표적화(Targeting)와 再조준화(Recalibration)등 확장개혁(Expansionary Reform)을 통해 연금 수급여건을 낮춤으로써 서비스업을 비롯한 저임금 노동자들의 노동시장 참여를 장려하기 위한 개혁을 실시하였다. 민영화확장개혁(EPP)은 거시적 사회경제 변화를 경험한 선진국으로 노동활성화개혁(LAP) 클러스터와 비슷한 거시적 사회변화 구조를 경험하였다. 이 클러스터는 CRP(1990-2015) 기간에 높은 서비스업 취업률과 더 높은 경제적 개방성을 나타낸다. 또한 65세 이상 인구 비율이 가장 높고 저출산 문제를 함께 경험하고 있다. 연금개혁 전략은 노동활성화개혁(LAP)의 채택 전략과 뚜렷한 차이가 존재하고 있다. 민영화확장개혁(EPP)은 직업 또는 개인연금의 가입을 자발적 가입에서 강제가입으로 확정하며 기존 공적연금시스템에 대한 축소개혁을 함께 진행해왔다. 저임금 노동자를 보상화기 위하여 자산조사 (Means-Test)를 통해 연금 혜택이나 연금 크레딧 (Pension Credit)과 같은 다양한 확장연금개혁(Expansionary Reform)도 이뤄졌다. 후발구조적개혁(LSP)은 기존의 연금제도는 중앙계획경제에서 광범위한 시장경제로의 이행을 경험한 국가들로 이루어졌다는 독특한 성격을 지닌다. 이러한 국가가 시장경제로 전환한 초기에는 비교적 느리게 경제가 성장하였으며 거시 경제적 전환뿐만 아니라 인구 구조적인 변화도 같이 직면하고 있었다. 또한 빠른 시장경제개방과 脫산업화로 인해 산업구조도 급격한 변화를 겪고 있기 때문에 기존의 연금제도의 골격을 유지하기 힘든 조건에 직면하고 있다. 후발구조적개혁(LSP)은 이처럼 다양한 거시 사회경제적 구조변화로 인해 급등한 연금비용 지출에 대한 대책으로 구조적개혁을 선택하였다. 취약한 집단을 보상하기 위해 여러 표적화(Targeting)와 같은 확장 연금개혁(Expansionary Reform)을 했지만 再조준화(Recalibration) 개혁은 아직 도입되지 않았다. 긴축형연금개혁(ERP)은 가장 빠른 고령화를 겪었으며 출산율이 급격히 하락한 것을 경험하고 있는 국가로 구성되었다. 新사회위험(New Social Risk) 역시 비정규직 노동자, 여성 노동시장 참여율 그리고 낮은 취업률을 포함하는 심각한 사회 및 경제적 어려움을 겪고 있다. 긴축형연금개혁(ERP)은 이처럼 점차 늘어나는 新사회위험 (New Social Risk)과 전통적인 '고급여, 저분담' 연금구조의 어려움에 직면하기 때문에 포괄적인 모수개혁을 통해 기존의 관대한 연금시스템을 축소하려고 한다. 저소득 집단과 고령 빈곤층에 대한 자산조사 (Means-test) 와 같은 표적화 (Targeting) 개혁을 통해 노후소득보장의 보조적 역할을 추가하였다. 본 연구는 위에 도출한 4가지 연금개혁 클러스터를 독립변수로 혼합효과모형(Linear Mixed Effect Model, LMM)에 투입하여 각 연금개혁이 연금노력 (Pension Effort)에 대해 통계적으로 분석하였다. 분석결과, 긴축형연금개혁(ERP)에 비해 노동활성화개혁(LAP)은 통계적으로 연금지출(Pension Expenditure)을 감소시켰으며, 반면에 민영화확장개혁(EPP)은 연금관대성(Pension Generosity)을 통계적으로 감소시켰다. 노동활성화개혁(LAP)의 연금개혁 특징을 보면 은퇴연령과 조기은퇴에 대해 가장 많이 강화했고, 한편 긴축형연금개혁(ERP)은 직업 또는 개인연금 가입을 강제가입으로 확장하여 연금 기여와 혜택 간의 더 직접적인 연결고리를 강조했다. 본 연구의 이론적 함의는 다음과 같다. 첫째, 본 연구는 연금개혁이 연금노력 (연금 지출 및 연금 관대성)에 대한 영향의 가장 핵심적인 변수라고 강조하며 또한 연금개혁은 축소형과 확장형 연금개혁을 함께 연구해야 한다고 주장한다. 둘째, 대부분 기존의 비교연구는 중국, 일본과 한국 등 동아시아 국가들을 제외해왔다. 하지만 비교정책에서 이러한 국가들을 실증적분석을 통해 차이점을 도출하여 미래 연구에서 더 효과적으로 다룰 수 있도록 해야 한다. 셋째, 이 연구는 비교사회정책 연구의 복지정책 및 제도를 분류에 대한 정태적(靜態的)인 관점이 아닌 정책변화를 반영할 수 있는 동태적(動態的)인 관점으로 보는 것을 더 타당하며 심층적으로 분석할 수 있다고 주장한다. 정책적 함의는 다음과 같이 제시하였다. 개혁 클러스터마다 각 장단점이 존재하며 정책 입안가들은 연금개혁 정책을 도입할 때 연금지출과 연금관대성을 모두 고려해야 한다. 특히 脫산업화로 인해 일시적・장기적 실업의 증가, 비정규직고용과 여성고용의 증가 등 新사회위험 및 舊사회위험을 고려해서 미래 연금개혁에서 연금지출과 연금 관대성을 동시에 고려해야한다. 이를 신중하게 고려하지 않으면 脫산업화 이후의 저소득 및 취약계층은 더 높은 노인 빈곤에 직면할 수 있다. 한국 연금개혁의 예를 들면, 긴축형연금개혁(ERP)은 장기적으로 연금지출을 낮추고 또한 자산조사(Means-Test)와 같은 표적화(Targeting)개혁을 통해 사회부조형 연금으로 노인빈곤을 해소할 수 있지만 이러한 포괄적인 축소 개혁은 특히 미래 세대의 저소득층의 심각한 연금부족의 문제를 초래할 수 있다. 또 다른 세 가지 한국의 연금개혁에 대한 시사점을 다음과 같이 제시한다. 민영화확장개혁(EPP)은 주로 개인연금 및 직업연금의 강제가입을 통해 연금의 관대성을 제고하기 때문에 이와 같은 개혁전략을 채택하면 한국의 연금의 보장성을 악화시킬 가능성이 매우 크다. 특히 비전형 노동자와 저소득층의 연금수준을 악화시킬 가능성이 매우 크다. 또한 후발구조적개혁(LSP)은 한국의 연금제도의 현황에 현실적이지 않다고 본다. 한국의 독특한 산업구조 및 脫산업사회적 요구와 수요로 인해 비정규직 노동자의 증가로 많은 가입자가 이중부담(Double Payment)을 직면해야 하는 실정이다. 노동활성화개혁(LAP)은 한국의 공적연금제도를 강화하며 한국의 노인 빈곤 및 新사회위험(New Social Risk) 등 문제를 완화하는데 있어 도움이 될 수 있다고 판단한다. ; Chapter One: Introduction 1 1.1 The Purpose of this Study 1 1.2 Limitations of Contemporary Literature 7 1.3 Identifying Dynamic Pension Reform and Pension Effort 13 1.4 Research Scope and Research Questions 15 Chapter Two: Theoretical Framework and Literature Review 18 1.1 Pension Reform Background 19 1.1.1 Demographic Pressures 19 1.1.2 Macro-economic Pressures 24 2.1 Pension Reforms Trends and Pension Structures 27 2.1.1 Trend 1: Convergence between Bismarckian and Beveridgean Structures 28 2.1.2 Trend 2: Retrenchment of Inherited Pension Systems 41 2.1.3 Summary 43 3.1 What Influences Changes in Pension Effort? Existing Arguments 45 3.1.1 Socio-economic Factors 46 3.1.2 Institutional Factors 50 3.1.3 Political Factors 52 4.1 Pension Reform Implementation - The Linchpin of Pension Effort 59 5.1 Characterizing Pension Reform – Four Pension Reform Dimensions 63 5.1.1 Insurance 69 5.1.2 Capitalization 70 5.1.3 Targeting 71 5.1.4 Recalibration 72 6.1 Empirical Research Overview 73 7.1 Analytical Framework 79 Chapter Three: Research Methodology 81 1.1 Data and Scope 81 2.1 Operational Definition of Variables 82 2.1.1 Dependent Variables 84 2.1.2 Independent Variables 87 2.1.3 Control Variables 98 3.1 Methodology 107 3.1.1 Part One: Pension Reform Classification 110 3.1.2 Part Two: Evaluation for Pension Effort - Linear Mixed-effect Model (LMM) 114 Chapter Four: Empirical Analysis 119 1.1 Descriptive Analysis 120 1.1.1 Data 120 1.1.2 Macro-socio-economic Changes 122 1.1.3 Tendencies of Pension Expenditure and Pension Generosity 127 1.1.4 Pension Reform across Countries from 1990 to 2015 132 1.1.5 Summary 151 2.2 Cluster Analysis Results 152 2.1.1 Identifying Pension Reform Clusters 152 2.1.2 Pension Reform Cluster Descriptive Statistics 156 2.1.3 Pension Expenditure and Pension Generosity 164 3.1 Pension Reform Characteristics in Four Pension Reform Clusters 166 3.1.1 Labor-activated pension (LAP) Reforms 166 3.1.2 Extended Privatization Pension (EPP) Reforms 175 3.1.3 Latecomer Structural Pension (LSP) Reforms 190 3.1.4 Extensive Retrenchment Pension (ERP) Reforms 198 3.1.5 Summary 207 4.1 Mixed Effect Model Analytical Results 211 4.1.1 Pension Expenditure 218 4.1.2 Pension Generosity 226 Chapter Five: Conclusion 232 1.1 Research Summary of Findings 232 1.2 Theoretical Implications 235 1.3 Policy Implications 239 1.4 Research Limitations 244 References 248 Appendix A. 267 Abstract (Korean) 272 Abstract (Chinese) 278 ; Doctor
학위논문 (박사) -- 서울대학교 대학원 : 사회과학대학 사회복지학과, 2020. 8. 홍백의. ; This study characterizes 15 countries' pension reform trajectories and statistically examines how these pension reform trajectories affect pension effort during the CRP (Compound Reform Period 1990-2015). This study defines pension reform are either contractionary and expansionary reforms; pension effort refers to both pension expenditure and pension generosity. Conventionally, studies have often examined how socio-influential factors (e.g. socio-economic, institutional, and political factors) affect pension effort. However, these discourses have heavily emphasized contractionary pension reforms and pension expenditure, but have overlooked expansionary pension reforms and pension generosity. This study argues that the traditional retrenchment-focused approach to pension policy research is rooted largely in inherited theories of the 'Welfare State Crisis' and macro-socio-economics, that are not reflective of the recent post-industrial policy shifts occurring in the world. In particular to pension policy, in response to the 20th century old and new social risks, traditional Bismarckian and Beveridgean countries have implemented a mix of contractionary and expansionary reforms. These reforms were designed to deal with pension financial sustainability and adequacy against old-age poverty. Consequently, two primary limitations of previous studies have become apparent. The austerity-oriented and macro view of pension effort using socio-influential factors overlooks an important building block within the dynamic pension reform process. In addition, existing quantitative and qualitative studies have centered around institutions that examine pension policies from a static perspective - overlooking pension policy dynamic changes. During the CRP, pension systems have experienced two interconnected components - retrenchment and expansionary reforms - that ultimately define pension effort. Accordingly, it is necessary to comprehensively investigate how these components of dynamic pension reform affect pension effort in the context of both pension expenditure and pension generosity. This study organized expansionary and retrenchment pension reforms using ten pension reform variables based on the work Häusermann (2010): insurance (e.g. parametric pension reforms), capitalization (e.g. DB to DC shifts), targeting (e.g. means-tested), and recalibration (e.g. pension credits). In order to evaluate how these pension reforms affected pension effort, this study utilized two analytical methods: unsupervised clustering characterizes pension reform trajectories, and an LMM (Mixed Effect Model) statistically evaluates their effectiveness with respect to pension expenditure and pension generosity. Pension reforms were categorized into four pension reform clusters: labor-activated pension (LAP) reforms, extended privatization pension (EPP) reforms, latecomer structural pension (LSP) reforms, and extensive retrenchment pension (ERP) reforms. The labor-activated pension reform (LAP) cluster is generally composed of advanced welfare states that experienced the highest unemployment rates and most pressing demographic changes prior to the CRP. However, their transition into the CRP has been met with significant GDP growth and high employment rates. At the same time, this cluster is facing the highest level of new social risks in regions like women's labor participation, employment in services, and economic openness. In response to both old and new social risks, most of the countries in this cluster made significant reforms meant to mitigate their effects. Various parametric pension reforms (e.g. increasing the retirement age, penalizing early retirement, etc.) encourage individuals near retirement to continue working or re-enter the workforce, thus increasing labor supply. In addition, targeting and recalibration reforms incentivize participation in the labor market by lowering pension eligibility requirements. The extended privatization pension reform (EPP) cluster is very similar in its Marco-socio-economic structure to the labor-activated pension reform (LAP) cluster, in that it is defined by developed nations that experienced drastic macro-socio-economic changes before the CRP. However, in the CRP this cluster has the highest levels of aged 65 years and older individuals, coupled with a moderately high economic growth. Growth compared to the labor activated pension reform cluster may be lower due to this aging. When a higher proportion of a total population is elderly, a larger proportion of economic expenses must be spent on retirement care. However, another additional feature of this cluster's socio-economics is lower birth rates. Some new social risks of interest that have had a particular effect on this cluster are increasing service sector employment rates and higher economic openness. However, pension reform strategies are vastly different from the labor-activated pension reform (LAP) reform strategies. This reform cluster shifts enrollment in occupational or individual pension programs from voluntary to mandatory and these programs then work in conjunction with existing public pension systems. However, in order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem; for example, means-tested pension benefits, tax reductions or earnings-related subsidies to employers, employees or individuals. The latecomer structural pension reform cluster (LSP) is uniquely composed of countries that had transitioned from centrally planned economies to widespread market-based economies at the inception of their original pension programs. Their transition to market based-economies was not smooth and this was reflected in their relatively slow economic growth. Structural changes are not the only facet that describes the struggles these countries have had during the CRP; demographic issues have also played an outsized role in their economies. Not only had their relative population aged, but at the same time, there was a dramatic drop in their fertility rates. New social risks have been reflected in their rising proportion of service sector employment and the swift opening of their economies. This cluster turned to structural-based reforms as a countermeasure to the ballooning pension expenditures that ensued, because of these different macro-socio-economic hardships. In order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem with contractionary reforms (ex. targeting reform), but recalibration reforms were not implemented. The extensive retrenchment pension reform cluster (ERP), is composed of countries that demographically aged the most, and experienced the greatest long-term economic hardships because of economic crises during the CRP. Another critical issue was the decline of birth rates in these countries. New social risks have also added stress to their economic hardships with increases in atypical workers, women's labor participation rates, and serious issues with low employment rates. Under these increasing new social risks and problematic pension structures, the extensive retrenchment pension (ERP) reform cluster retrenched inherited asymmetric pension systems through radical parametric reforms, then means-tested programs were additionally added to compensate low-income groups and impoverished elderly. Each pension reform clusters' socio-economic backgrounds provide insight into the underlying indicators that are correlated with their adoption of different pension reform policies. Using these pension reform clusters as independent variables, this study demonstrates that different pension reforms have diversified the existing architecture of pension effort. According to the Linear Mixed Effect Model (LMM) results, the labor-activated pension reform (LAP) cluster statistically reduced pension expenditure relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). The extended privatization pension (EPP) reform cluster significantly reduced pension generosity relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). While the labor-activated pension (LAP) reform cluster maintained the highest standard pension retirement age and most restrictions on early retirement, the extended privatization pension (EPP) reform cluster created a more direct link between pension benefits and an individual's pension contributions, by shifting to mandatory enrollment in occupational or individual pension programs. This study asserts that pension reforms are the key to understanding pension effort (pension expenditure and pension generosity), and that contractionary and expansionary pension reform policies should be studied together. In addition, existing comparative studies have often excluded East-Asian countries, in particular, China, Japan, and Korea. They should be included in comparative policy analysis that will allow researchers to determine if they are empirically different, and thus compensate or address those differences more effectively in future research. In comparative social policy research, from the new institutionalism perspective, policy classifications should consider the process of policy change, from a dynamic perspective rather than static characteristics. This study suggests that policymakers may need to be concerned about each pension reform's pros and cons in the context of pension expenditure and generosity when adopting a pension reform. In future pension reforms, policymakers need to explicitly design their policies around increasing new profiles who, if not considered more carefully, are at higher risk of poverty in this post-industrialized global economy. The most sensible means of doing this is if policymakers avoid reducing benefits for these groups when legislating future pension reforms. Take Korean pension reforms as an example. Korea adopted an extensive parametric pension (ERP) reforms that may prove to be an effective way of curbing costs, while means-tested incentives provide more generous benefits to the growing population of at-risk individuals. However, extensive retrenchment pension (ERP) reforms have a high risk of providing inadequate pension benefits to at-risk groups without seriously resolving issues with program expenditure. Since extensive retrenchment pension (ERP) reforms do not sufficiently meet the needs of the Korean pension system, the next step is to look at alternative clusters to resolve these issues. Extended privatization pension reforms (EPP) generally supplement pension benefits by adopting a market-based pension component. However, adopting a reform from this cluster will also likely result in stagnated pension coverage, deteriorated pension benefits, and increased gender and income inequality. Adoption of a latecomer structural pension reform (LSP) (e.g. NDC) is also not realistic, because there are a large number of atypical workers in Korea (e.g. self-employed, part-time workers) who are unable to shoulder considerable financial burdens (double payment issues). This study suggests that adopting a labor-activated pension reform (LAP) may be the most effective pension strategy to strengthen Korean public pension system security. This strategy takes into account new career profiles that were previously overlooked by the system; the goal of including these workers to the system would be to reduce the occurrence of old-age poverty. ; 本论文定量比较分析了15个国家在1990-2015 (compound reform period, CRP:1990-2015)综合改革期间的养老金改革轨迹,及其对养老金努力(pension effort)的影响。本文定义了养老金改革包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform),养老金努力(pension effort)包括养老金支出(pension expenditure)和养老金慷慨度(pension generosity)。受"福利国家危机论"的影响,现存的大部分相关学术主要分析了宏观社会・经济因素(包括经济,政治和制度因素)对养老金政策的影响。这些研究集中在研究养老金支出而忽视了对养老金慷慨度的分析. 宏观社会经济背景及制度的遗产(institutional legacy)或历史轨迹等对养老金努力(pension effort)影响效应息息相关,但是本研究认为基于宏观理论并限定于养老金支出的传统文献没有充分的的分析到后工业社会下(post-industrialization)的养老金改革轨迹和特征。尤其是从20世纪末,为了应对新旧社会风险(old and new social risks)的压力,综合型养老金改革(compound pension reform),即消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)被纷纷采纳去同时解决养老金财政可持续性和抵御老年贫困的两个问题。本文认为传统文献在研究养老金政策的影响因素中存在两个主要局限性问题:第一,忽视了核心变量-养老金改革对老金支出(pension expenditure)和养老金慷慨度(pension generosity)的影响。第二,现有的定量和定性社会政策比较或聚类研究只从围绕静态角度(static perspective)的政策特征却忽视了政策的动态变化(policy dynamic change)。 本文以Häusermann (2010)的养老金改革理论为基础,分析了包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)养老金改革的十个变量:保险参数(parametric reform参数改革),市场化(例如: 从DB 改革成 DC),目标化(targeting) (例如: 经济能力审查:means-tested), 再调整(recalibration) (例如:养老金补贴: pension credits)。为了从统计学上评估分析这些养老金改革对养老金努力(pension effort)对影响效应,本文采用了两种分析方法:K均值无监督聚类分析(clustering analysis)和线性混合效应模型(linear mixed effect model, LMM)。根据聚类分析(clustering analysis)结果,15国家在1990-2015期间的养老金改革可分为四个改革类型:劳动激励改革型(labor-activated pension reform, LAP), 扩展私有化改革型(extended privatization pension reform, EPP), 后发结构改革型(latecomer structural pension reform, LSP),和激进消减改革型(extensive retrenchment pension reform, ERP). 基于定量统计数据比较分析,线性混合效应模型(linear mixed effect model, LMM)分析结果发现不同的改革轨迹对养老金支出和养老金慷慨度影响不同。 劳动激励改革型(labor-activated pension reform, LAP)是由发达福利国家组成,这些国家在CRP(1990-2015)之前遭遇过经济衰退和前所未有的失业率增加和人口转变问题,但是在CRP(1990-2015)的过度期间实现了GDP和就业率的总体水平回升。相比于其他的改革类型,这些国家面临着最高水平的社会新风险(new social risks): 女性劳动就业和服务性就业者不断增加。为了应对新旧社会风险(old and new social risks)和减轻养老金财政压力,这些国家采取了大力度的养老金参数改革。主要包括参数改革(例如: 延后退休, 处罚提前退休等),鼓励接近退休等人继续工作或重新加入劳动市场。此外利用扩张性的目标化(targeting)和再调整(recalibration)改革鼓励人们参与劳动市场并通过养老金水平等。 扩展私有化改革型(extended privatization pension reform, EPP)的宏观社会经济结构背景和劳动激励改革型(labor-activated pension reform, LAP)比较相似,但是他们的养老金改革决策却大相径庭。在CRP前期,这些国家也是经历过宏观经济巨变的发达福利国家.低生育率和最高的老年人口比例,这个改革类型的国家面临养老金支出巨大失衡的压力。另外不规则就业者(atypical worker)和服务性就业者的比例不断上升也威胁着养老金政策的长期可持续性。扩展私有化改革型(extended privatization pension reform, EPP)的主要决策是通过强制性策略提高参加职业和商业养老保险并且采取相对应的公共养老金参数改革方案。扩张型改革(expansionary pension reform)主要是为了弥补弱势和底薪群体,例如,对雇主,雇员或个人就行减税并且给以适当的补贴,经济能力审查的(means-tested)养老金补贴改革也是尤为突出。 后发结构改革型(latecomer structural pension reform cluster, LSP)的国家在养老金改革初期经历了市场经济转型独特社会变化。特别是在市场经济转型初期经济增长还没有真正的崛起,养老金制度不仅面临经济转型的挑战,人口转变包括人口老龄化和生育率下降问题更是加剧了养老金制度的财政失衡。另外新社会风险(new social risks)和全球化更激化了服务性劳动者的增加。为了扩大政府财政来源和弥补养老金缺口,这些社会背景推动了这些国家以结构改革(structural pension reform)为主线。为弱势群体也提供一定的社会补助,例如,经济能力审查的(means-tested)养老金补贴,但是后发结构改革型(latecomer structural pension reform cluster, LSP)目前缺乏再调整(recalibration)的扩张型改革(expansionary pension reform)。 激进消减改革型(extensive retrenchment pension reform, ERP)在CRP初期临最严重的老龄化增长和经济危机带来的长期经济困难。人口转变(生育率急剧下降,老龄化进程加速)更是加剧了养老金的经济持续性问题。同时,这些国家更面临着由迅速的现代化进程所带来的挑战:服务性劳动者,女性劳动市场的参与与日俱增,就业率急剧下降等新社会风险(new social risks)。在这种社会背景下,激进消减改革型 (extensive retrenchment pension reform, ERP)采用了大幅度的参数改革(parametric pension reform)为消减现存的养老金财政问题。资格审核(means-tested)的社会救助被采用去补助低收入人群和老人的养老金收入。 本文把以上的四个改革类型作为自变量研究分析了各个改革类型对养老金努力(pension effort: pension expenditure, pension generosity)的影响效果。根据线性混合效应模型(linear mixed effect model, LMM)的分析结果,相对于激进消减改革型 (extensive retrenchment pension reform, ERP), 劳动激励改革型(labor-activated pension reform, LAP)有效的消减了养老金支出; 扩展私有化改革型(extended privatization pension reform, EPP)有效的得降低了养老金的慷慨度。相比之下,劳动激励改革型(labor-activated pension reform, LAP)维持了最高标准的养老金退休年龄和提前退休的最大限制,而扩展私有化改革型(extended privatization pension reform, EPP)则是通过强制参与职业和商业退休金制度加大紧缩养老金和缴费之间的直接关系。 理论层面,第一,本研究强调养老金改革变量是理解养老金努力(pension effort)的关键。第二,1990年以来的养老金改革应该同时考虑消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)。第三,从新制度主义的理论角度来看,社会政策比较更应该考虑动态政策变化(pension dynamic change),不应该只限于静态视角(static perspective)的政策特征。第四,传统的社会政策比较研究文献经常忽略了东亚国家,比如,中国,日本和韩国。本文认为,尤其是比较研究更应该把这些国家包括在内因为通过比较可以更有效的分析这些制度改革决策的差异性。 政策层面,在制定养老金改革方案时需要同时考虑改革对养老金支出和养老金慷慨度影响的利弊。考虑到后工业化所带来的新风险和现存的旧社会风险,在未来的养老金改革方案中养老金长期可持续性需要要均衡养老金支出可持续性和慷慨度。以韩国养老金改革为例,激进消减改革型(extensive retrenchment pension reform, ERP)可能有助于控制养老金支出,另外经济审查性的社会补助(means-tested)是可以填充贫穷老人的养老金水平;但是其改革方案很可能让高风险群体(ex. atypical workers, lower-income)面临养老金严重不足的问题。由于激进消减改革型(extensive retrenchment pension reform, ERP)不能充分满足韩国养老金制度的需求,本文总结分析了其他三个改革方案的可取性。扩展私有化改革型(extended privatization pension reform, EPP)方案主要是通过市场养老金组成部分来补充养老金福利慷慨水平,但是此改革方案可能导致韩国养老金覆盖率停滞,并恶化高风险群体(ex. atypical workers, lower-income group)的养老金慷慨度并且加剧性别福利水平不平等等问题。后发结构改革型(latecomer structural pension reform cluster, LSP) (ex. NDC) 方案对于韩国的现状更不现实。由于韩国的独特的工业及劳动市场结构,绝大部分的非典型就业者 (atypical workers) 会很难负担双重付费 (double payment issue) 问题。采用劳动激励改革型 (labor-activated pension reform, LAP) 方案可以加固韩国的公共养老金体系并有效的提高新型职业 (new career profiles) 人员的养老金覆盖率且减少老年贫困。 ; 본 연구는 15개 국가를 대상으로 1990-2015년 사이 발생한 다양한 연금개혁의 궤적을 군집화하고 이러한 연금개혁궤적 군집이 연금노력(Pension Effort)에 미치는 영향에 대해 분석하고자 한다. 본 연구에서 연금개혁은 축소개혁(Contractionary Reform) 과 확장개혁(Expansionary Reform)을 동시에 고려하며 연금노력(Pension Effort)은 연금지출(Pension Expenditure)과 연금관대성 (Pension Generosity)을 나타낸다. "복지국가의 위기론"의 영향으로 기존 대부분의 연구들은 연금노력(Pension Effort)과 관련하여 주로 거시적 관점에서사회・경제・정치 영향 요인이 연금지출에 미치는 영향에 대해서만 분석이 이뤄졌다. 특히 핵심적 연금정책수단인 연금개혁에 대한 연구가 부족했으며 연금노력(Pension Effort)에 연금관대성을 살펴본 연구는 많지 않았다. 또한 실질적으로 전통적인 "복지국가 축소론"을 기반으로 분석한 연구들은 脫산업화로 인해 복지정책의 다양한 변화 및 특징을 충분히 포착하지 못했다. 지난 20세기말부터 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 동시에 대응하기 위해 많은 국가들은 연금제도의 지속가능성 개선을 위해 축소개혁(Contractionary Reform)뿐만 아니라 확장개혁(Expansionary Reform)도 같이 도입했다. 다시 말해, 기존의 연구들은 크게 두 가지 한계점을 뚜렷하게 나타내고 있었다. 첫째, 거시적 관점에서 분석한 기존연구들은 사회・경제・제도적 영향 요인이 연금노력(Pension Effort)에 미치는 영향과 연금관대성에 대해 연구가 부족하다. 또한 가장 중요한 영향요인 변수인 연금개혁에 대해 분석하지 못했다. 둘째, 기존의 질적 및 양적 비교정책연구들은 주로 연금제도의 정태적(靜態的) 특성만 포착했으며 동태적(動態的) 개혁과정에 대한 연구가 부족했다. 따라서, 동태적(動態的)인 연금개혁이 연금지출과 연금관대성에 대해 어떤 영향을 미치는가에 대한 연구가 시급하고 중요하다. 본 연구는 Häusermann (2010)의 연금개혁을 이론적 기반으로10가지 연금개혁 변수를 포함하며 15개 국가를 대상으로 26년 동안 연금개혁궤적에 대해 분석하고자 한다. 구체적으로 연금개혁 변수는 주로 보험(Insurance), 적립화(Capitalization) (예: DB에서 DC로 전환), 표적화(Targeting) (예: Means-Tested)과 再조준화(Recalibration) (예: 연금크레딧 혹은 교육크레딧)를 포함한다. 우선, 군집분석(Cluster Analysis)을 통해서 다양한 축소 및 확장 연금개혁을 연금개혁궤적으로 규명하였고, 선형혼합효과모형 (Linear Mixed Effect Model, LMM)을 통해 각 연금개혁궤적이 연금노력(Pension Effort), 즉 연금지출(Pension Expenditure)과 연금관대성(Pension Generosity)에 대한 영향을 분석하였다. 분석결과에 따라, 4가지 연금개혁 궤적 유형으로 구분할 수 있다: 노동활성화개혁(Labor-Activated Pension, LAP), 민영화확장개혁(Extended Privatization Pension, EPP)개혁, 후발구조적개혁(Latecomer Structural Pension, LSP) 그리고 긴축연금개혁(Extensive Retrenchment Pension, ERP). 노동활성화개혁(LAP)은CRP(1990-2015) 기간 이전의 매우 높은 실업률과 급진적인 인구학적 변화를 겪은 선진 복지국가로 구성되어 있다. CRP(1990-2015)기간에 진입하여 GDP 성장과 고용률 증가세를 점차적으로 확인할 수 있지만 新사회위험(New Social risk)에 가장 심각한 국면을 직면하고 있었다. 예를 들어, 높은 여성의 노동시장 참가율, 높은 세계화 지수 및 서비스업의 증가 등 있다. 이러한 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 대응하기 위해 대부분 국가들은 다양한 모수적연금개혁을 실시했다. 특히 은퇴에 근접한 연령인 개인들은 계속 노동시장에 남을 수 있도록 많은 연금개혁을 노력해왔다. 예를 들어, 은퇴연령을 높이고 조기은퇴 연령 축소 및 조기은퇴의 감액을 강화하여 노동시장 참여를 유발하기 위한 많은 연금개혁을 했다. 동시에 표적화(Targeting)와 再조준화(Recalibration)등 확장개혁(Expansionary Reform)을 통해 연금 수급여건을 낮춤으로써 서비스업을 비롯한 저임금 노동자들의 노동시장 참여를 장려하기 위한 개혁을 실시하였다. 민영화확장개혁(EPP)은 거시적 사회경제 변화를 경험한 선진국으로 노동활성화개혁(LAP) 클러스터와 비슷한 거시적 사회변화 구조를 경험하였다. 이 클러스터는 CRP(1990-2015) 기간에 높은 서비스업 취업률과 더 높은 경제적 개방성을 나타낸다. 또한 65세 이상 인구 비율이 가장 높고 저출산 문제를 함께 경험하고 있다. 연금개혁 전략은 노동활성화개혁(LAP)의 채택 전략과 뚜렷한 차이가 존재하고 있다. 민영화확장개혁(EPP)은 직업 또는 개인연금의 가입을 자발적 가입에서 강제가입으로 확정하며 기존 공적연금시스템에 대한 축소개혁을 함께 진행해왔다. 저임금 노동자를 보상화기 위하여 자산조사 (Means-Test)를 통해 연금 혜택이나 연금 크레딧 (Pension Credit)과 같은 다양한 확장연금개혁(Expansionary Reform)도 이뤄졌다. 후발구조적개혁(LSP)은 기존의 연금제도는 중앙계획경제에서 광범위한 시장경제로의 이행을 경험한 국가들로 이루어졌다는 독특한 성격을 지닌다. 이러한 국가가 시장경제로 전환한 초기에는 비교적 느리게 경제가 성장하였으며 거시 경제적 전환뿐만 아니라 인구 구조적인 변화도 같이 직면하고 있었다. 또한 빠른 시장경제개방과 脫산업화로 인해 산업구조도 급격한 변화를 겪고 있기 때문에 기존의 연금제도의 골격을 유지하기 힘든 조건에 직면하고 있다. 후발구조적개혁(LSP)은 이처럼 다양한 거시 사회경제적 구조변화로 인해 급등한 연금비용 지출에 대한 대책으로 구조적개혁을 선택하였다. 취약한 집단을 보상하기 위해 여러 표적화(Targeting)와 같은 확장 연금개혁(Expansionary Reform)을 했지만 再조준화(Recalibration) 개혁은 아직 도입되지 않았다. 긴축형연금개혁(ERP)은 가장 빠른 고령화를 겪었으며 출산율이 급격히 하락한 것을 경험하고 있는 국가로 구성되었다. 新사회위험(New Social Risk) 역시 비정규직 노동자, 여성 노동시장 참여율 그리고 낮은 취업률을 포함하는 심각한 사회 및 경제적 어려움을 겪고 있다. 긴축형연금개혁(ERP)은 이처럼 점차 늘어나는 新사회위험 (New Social Risk)과 전통적인 '고급여, 저분담' 연금구조의 어려움에 직면하기 때문에 포괄적인 모수개혁을 통해 기존의 관대한 연금시스템을 축소하려고 한다. 저소득 집단과 고령 빈곤층에 대한 자산조사 (Means-test) 와 같은 표적화 (Targeting) 개혁을 통해 노후소득보장의 보조적 역할을 추가하였다. 본 연구는 위에 도출한 4가지 연금개혁 클러스터를 독립변수로 혼합효과모형(Linear Mixed Effect Model, LMM)에 투입하여 각 연금개혁이 연금노력 (Pension Effort)에 대해 통계적으로 분석하였다. 분석결과, 긴축형연금개혁(ERP)에 비해 노동활성화개혁(LAP)은 통계적으로 연금지출(Pension Expenditure)을 감소시켰으며, 반면에 민영화확장개혁(EPP)은 연금관대성(Pension Generosity)을 통계적으로 감소시켰다. 노동활성화개혁(LAP)의 연금개혁 특징을 보면 은퇴연령과 조기은퇴에 대해 가장 많이 강화했고, 한편 긴축형연금개혁(ERP)은 직업 또는 개인연금 가입을 강제가입으로 확장하여 연금 기여와 혜택 간의 더 직접적인 연결고리를 강조했다. 본 연구의 이론적 함의는 다음과 같다. 첫째, 본 연구는 연금개혁이 연금노력 (연금 지출 및 연금 관대성)에 대한 영향의 가장 핵심적인 변수라고 강조하며 또한 연금개혁은 축소형과 확장형 연금개혁을 함께 연구해야 한다고 주장한다. 둘째, 대부분 기존의 비교연구는 중국, 일본과 한국 등 동아시아 국가들을 제외해왔다. 하지만 비교정책에서 이러한 국가들을 실증적분석을 통해 차이점을 도출하여 미래 연구에서 더 효과적으로 다룰 수 있도록 해야 한다. 셋째, 이 연구는 비교사회정책 연구의 복지정책 및 제도를 분류에 대한 정태적(靜態的)인 관점이 아닌 정책변화를 반영할 수 있는 동태적(動態的)인 관점으로 보는 것을 더 타당하며 심층적으로 분석할 수 있다고 주장한다. 정책적 함의는 다음과 같이 제시하였다. 개혁 클러스터마다 각 장단점이 존재하며 정책 입안가들은 연금개혁 정책을 도입할 때 연금지출과 연금관대성을 모두 고려해야 한다. 특히 脫산업화로 인해 일시적・장기적 실업의 증가, 비정규직고용과 여성고용의 증가 등 新사회위험 및 舊사회위험을 고려해서 미래 연금개혁에서 연금지출과 연금 관대성을 동시에 고려해야한다. 이를 신중하게 고려하지 않으면 脫산업화 이후의 저소득 및 취약계층은 더 높은 노인 빈곤에 직면할 수 있다. 한국 연금개혁의 예를 들면, 긴축형연금개혁(ERP)은 장기적으로 연금지출을 낮추고 또한 자산조사(Means-Test)와 같은 표적화(Targeting)개혁을 통해 사회부조형 연금으로 노인빈곤을 해소할 수 있지만 이러한 포괄적인 축소 개혁은 특히 미래 세대의 저소득층의 심각한 연금부족의 문제를 초래할 수 있다. 또 다른 세 가지 한국의 연금개혁에 대한 시사점을 다음과 같이 제시한다. 민영화확장개혁(EPP)은 주로 개인연금 및 직업연금의 강제가입을 통해 연금의 관대성을 제고하기 때문에 이와 같은 개혁전략을 채택하면 한국의 연금의 보장성을 악화시킬 가능성이 매우 크다. 특히 비전형 노동자와 저소득층의 연금수준을 악화시킬 가능성이 매우 크다. 또한 후발구조적개혁(LSP)은 한국의 연금제도의 현황에 현실적이지 않다고 본다. 한국의 독특한 산업구조 및 脫산업사회적 요구와 수요로 인해 비정규직 노동자의 증가로 많은 가입자가 이중부담(Double Payment)을 직면해야 하는 실정이다. 노동활성화개혁(LAP)은 한국의 공적연금제도를 강화하며 한국의 노인 빈곤 및 新사회위험(New Social Risk) 등 문제를 완화하는데 있어 도움이 될 수 있다고 판단한다. ; Chapter One: Introduction 1 1.1 The Purpose of this Study 1 1.2 Limitations of Contemporary Literature 7 1.3 Identifying Dynamic Pension Reform and Pension Effort 13 1.4 Research Scope and Research Questions 15 Chapter Two: Theoretical Framework and Literature Review 18 1.1 Pension Reform Background 19 1.1.1 Demographic Pressures 19 1.1.2 Macro-economic Pressures 24 2.1 Pension Reforms Trends and Pension Structures 27 2.1.1 Trend 1: Convergence between Bismarckian and Beveridgean Structures 28 2.1.2 Trend 2: Retrenchment of Inherited Pension Systems 41 2.1.3 Summary 43 3.1 What Influences Changes in Pension Effort? Existing Arguments 45 3.1.1 Socio-economic Factors 46 3.1.2 Institutional Factors 50 3.1.3 Political Factors 52 4.1 Pension Reform Implementation - The Linchpin of Pension Effort 59 5.1 Characterizing Pension Reform – Four Pension Reform Dimensions 63 5.1.1 Insurance 69 5.1.2 Capitalization 70 5.1.3 Targeting 71 5.1.4 Recalibration 72 6.1 Empirical Research Overview 73 7.1 Analytical Framework 79 Chapter Three: Research Methodology 81 1.1 Data and Scope 81 2.1 Operational Definition of Variables 82 2.1.1 Dependent Variables 84 2.1.2 Independent Variables 87 2.1.3 Control Variables 98 3.1 Methodology 107 3.1.1 Part One: Pension Reform Classification 110 3.1.2 Part Two: Evaluation for Pension Effort - Linear Mixed-effect Model (LMM) 114 Chapter Four: Empirical Analysis 119 1.1 Descriptive Analysis 120 1.1.1 Data 120 1.1.2 Macro-socio-economic Changes 122 1.1.3 Tendencies of Pension Expenditure and Pension Generosity 127 1.1.4 Pension Reform across Countries from 1990 to 2015 132 1.1.5 Summary 151 2.2 Cluster Analysis Results 152 2.1.1 Identifying Pension Reform Clusters 152 2.1.2 Pension Reform Cluster Descriptive Statistics 156 2.1.3 Pension Expenditure and Pension Generosity 164 3.1 Pension Reform Characteristics in Four Pension Reform Clusters 166 3.1.1 Labor-activated pension (LAP) Reforms 166 3.1.2 Extended Privatization Pension (EPP) Reforms 175 3.1.3 Latecomer Structural Pension (LSP) Reforms 190 3.1.4 Extensive Retrenchment Pension (ERP) Reforms 198 3.1.5 Summary 207 4.1 Mixed Effect Model Analytical Results 211 4.1.1 Pension Expenditure 218 4.1.2 Pension Generosity 226 Chapter Five: Conclusion 232 1.1 Research Summary of Findings 232 1.2 Theoretical Implications 235 1.3 Policy Implications 239 1.4 Research Limitations 244 References 248 Appendix A. 267 Abstract (Korean) 272 Abstract (Chinese) 278 ; Doctor
In: Alzheimer Europe. Position Paper on the Use of Advance Directives. 06 August 2009. Online verfügbar unter: http://www.alzheimer-europe.org/Policy-in-Practice2/Our-opinion-on/Advance-directives [20.2.2013].
In: Ammicht-Quinn R. Würde als Verletzbarkeit. Eine theologisch-ethische Grundkategorie im Kontext zeitgenössischer Kultur. Theologische Quartalschrift. 2004;184:37-48.
In: Baier F. Der Einfluss von Demenzerkrankungen auf das Rehabilitationspotential von Patienten mit Oberschenkelfraktur [Dissertation]. Erlangen, Nürnberg: Friedrich-Alexander-Universität; 2004.
In: Beckford M. Baroness Warnock: Dementia sufferers may have a 'duty to die'. The Telegraph. 18 Sep 2008. Online verfügbar unter: http://www.telegraph.co.uk/news/uknews/2983652/Baroness-Warnock-Dementia-sufferers-may-have-a-duty-to-die.html [20.2.2013].
In: Cochrane A. Undignified bioethics. Bioethics. 2010 Jun;24(5):234-41. DOI:10.1111/j.1467-8519.2009.01781.x
In: Cooley DR. A Kantian moral duty for the soon-to-be demented to commit suicide. Am J Bioeth. 2007 Jun;7(6):37-44. DOI:10.1080/15265160701347478
In: Deutsche Gesellschaft für Psychiatrie, Psychotherapie und Nervenheilkunde (DGPPN), Deutsche Gesellschaft für Neurologie (DGN). Diagnose und Behandlungsleitlinie Demenz. Interdisziplinäre S3-Praxisleitlinie. Berlin, Heidelberg, New York: Springer-Verlag; 2010.
In: Deutsches Institut für Medizinische Dokumentation und Information - DIMDI, WHO-Kooperationszentrum für das System Internationaler Klassifikationen, Hrsg. ICF: Internationale Klassifikation der Funktionsfähigkeit, Behinderung und Gesundheit. Genf: World Health Organization; 2005. Online verfügbar unter: http://www.dimdi.de/dynamic/de/klassi/downloadcenter/icf/endfassung/ [11.02.2013].
In: Espinel CH. de Kooning's late colours and forms: dementia, creativity, and the healing power of art. Lancet. 1996 Apr;347(9008):1096-8. DOI:10.1016/S0140-6736(96)90285-8
In: Franzmann J, Haberstroh J, Krause K, Sahlender S, Jakob M, Kümmel A, Bähr A, Pantel J. TANDEM-Trainerausbildung: Multiplikation und Nachhaltigkeitsförderung von Trainings für Altenpflegekräfte in der stationären Betreuung demenzkranker Menschen [Abstract-CD]. Deutsche Gesellschaft für Psychiatrie, Psychotherapie und Nervenheilkunde (DGPPN) Kongress; 24.-27. November 2010; Berlin.
In: Gassmann K. Geriatrische Rehabilitation vor der Gesundheitsreform - Beispiele aus Bayern: Qualitätssicherung von größtem Interesse. In: Füsgen I, Hrsg. Zukunftsforum Demenz: Geriatrische Rehabilitation: Vom Ermessen zur Pflicht - auch für den dementen Patienten. Wiesbaden: Medical Tribune Verlagsgesellschaft mbH; 2008. ISBN 978-3-938748-10-7. S. 27-35.
In: Geiger A. Der alte König in seinem Exil. München: Carl Hanser; 2011.
In: Graff MJ, Vernooij-Dassen MJ, Thijssen M, Dekker J, Hoefnagels WH, Olderikkert MG. Effects of community occupational therapy on quality of life, mood, and health status in dementia patients and their caregivers: a randomized controlled trial. J Gerontol A Biol Sci Med Sci. 2007 Sep;62(9):1002-9. DOI:10.1093/gerona/62.9.1002
In: Graff MJ, Vernooij-Dassen MJ, Thijssen M, Dekker J, Hoefnagels WH, Rikkert MG. Community based occupational therapy for patients with dementia and their care givers: randomised controlled trial. BMJ. 2006 Dec 9;333(7580):1196. DOI:10.1136/bmj.39001.688843.BE
In: Graumann S. Assistierte Freiheit. Von einer Behindertenpolitik der Wohltätigkeit zu einer Politik der Menschenrechte. Frankfurt a.M.: Campus; 2011.
In: Graumann S. Assistierte Freiheit und Anerkennung von Differenz - die neue UN-Konvention für die Rechte behinderter Menschen. Berlin: Heinrich-Böll-Stiftung; 2009. Online verfügbar unter: http://www.boell.de/stiftung/akademie/akademie-6361.html [20.2.2013].
In: Gregersen S. Gesundheitsrisiken in ambulanten Pflegediensten. In: Badura B, Schellschmidt H, Vetter C, Hrsg. Fehlzeiten-Report 2004. Berlin: Springer-Verlag; 2004. S. 183-201.
In: Haberstroh J, Neumeyer K, Pantel J. Kommunikation bei Demenz. Ein Ratgeber für Angehörige und Pflegende. Berlin, Heidelberg: Springer Verlag; 2011. ISBN 978-3-642-16842-0.
In: Haberstroh J, Neumeyer K, Schmitz B, Pantel J. Evaluation eines Kommunikationstrainings für Altenpfleger in der stationären Betreuung demenzkranker Menschen (Tandem im Pflegeheim). Z Gerontol Geriat. 2009;42(2):108-16. DOI:10.1007/s00391-008-0527-x
In: Haberstroh J, Ehret S, Kruse A, Schröder J, Pantel J. Qualifizierungsmaßnahmen zur Steigerung der Lebensqualität demenzkranker Menschen über eine Förderung der Kommunikation und Kooperation in der ambulanten Altenpflege (Quadem). Zeitschrift für Gerontopsychologie & -psychiatrie. 2008;21(3):191-7. DOI:10.1024/1011-6877.21.3.191
In: Haberstroh J, Neumeyer K, Schmitz B, Perels F, Pantel J. Kommunikations-TAnDem: Entwicklung, Durchführung und Evaluation eines Kommunikations-Trainings für pflegende Angehörige von Demenzpatienten. Z Gerontol Geriatr. 2006;39(5):358-64. DOI:10.1007/s00391-006-0381-7
In: Haberstroh J, Pantel J. Kommunikation bei Demenz - TANDEM-Trainingsmanual. Berlin, Heidelberg: Springer Verlag; 2011. ISBN 978-3-642-16921-2.
In: Haberstroh J. Berufliche psychische Belastungen, Ressourcen und Beanspruchungen von Altenpflegern in der stationären Dementenbetreuung. Berlin: Logos; 2008.
In: Haberstroh J, Pantel J. Demenz psychosozial behandeln. Heidelberg: AKA Verlag; 2011. ISBN 978-3-89838-638-8.
In: Hallauer JF, Schons M, Smala A, Berger K. Untersuchung von Krankheitskosten bei Patienten mit Alzheimer-Erkrankung in Deutschland. Gesundheitsökon Qualitätsmanag. 2000;5:73-9.
In: Hauer K, Schwenk M, Zieschang T, Becker C, Oster P. Körperliches Training bei Patienten mit demenzieller Erkrankung - motorische Effekte [Posterbeitrag]. Gemeinsamer Kongress "Alter(n) gestalten" der Deutschen Gesellschaft für Geriatrie, der Österreichischen Gesellschaft für Geriatrie und Gerontologie und der Deutschen Gesellschaft für Gerontologie und Geriatrie; 3.-6.12.2008; Potsdam.
In: Huusko TM, Karppi P, Avikainen V, Kautiainen H, Sulkava R. Randomised, clinically controlled trial of intensive geriatric rehabilitation in patients with hip fracture: subgroup analysis of patients with dementia. BMJ. 2000 Nov 4;321(7269):1107-11. DOI:10.1136/bmj.321.7269.1107
In: IQWiG - Institut für Qualität und Wirtschaftlichkeit im Gesundheitswesen, Hrsg. Nichtmedikamentöse Behandlung der Alzheimer Demenz - Vorbericht (vorläufige Nutzenbewertung). A05-19D. Köln: IQWIG; 2008.
In: Jens T. Demenz. Abschied von meinem Vater. München: Goldmann; 2009.
In: Kant I. Grundlegung zur Metaphysik der Sitten. BA 53/54.
In: Kant I. Vorlesungen über Moralphilosophie 1. Berlin: de Gruyter; 1974. (Kant's gesammelte Schriften. Hrsg. v. d. Akademie der Wissenschaften Göttingen; Abt. 4, Bd.4/1)
In: Kant I. Metaphysik der Sitten. A 75.
In: Korczak D, Steinhauser G, Kuczera C. Effektivität der ambulanten und stationären geriatrischen Rehabilitation bei Patienten mit der Nebendiagnose Demenz. Köln: DIMDI; 2012. (Schriftenreihe Health Technology Assessment; 122). DOI:10.3205/hta000105L
In: Krause K, Haberstroh J, Jakob M, Sahlender S, Roth I, Franzmann J, Kruse A, Schröder J, Pantel J. Leuchtturmprojekt QUADEM: Pflegepersonen demenzkranker Menschen effektiv unterstützen. Geriatrie-Report: Forschung und Praxis in der Altersmedizin. 2011;6(1):45-6.
In: Lübke N, Meinck M, Riquelme H. Ergebnisse zum Fachgebiet Geriatrie (KCG). In: Medizinischer Dienst des Spitzenverbandes Bund der Krankenkassen e.V., Hrsg. Grundsatzstellungsnahme: Leistungen mit rehabilitativer Zielsetzung für demenziell Erkrankte. Essen: MDS; 2009. S. 92-129.
In: Macklin R. Dignity is a useless concept. BMJ. 2003 Dec 20;327(7429):1419-20. DOI:10.1136/bmj.327.7429.1419
In: Maurer K, Prvulovic D. Paintings of an artist with Alzheimer's disease: visuoconstructural deficits during dementia. J Neural Transm (Vienna). 2004 Mar;111(3):235-45. DOI:10.1007/s00702-003-0046-2
In: Maurer K, Volk S, Gerbaldo H. Auguste D and Alzheimer's disease. Lancet. 1997 May;349(9064):1546-9. DOI:10.1016/S0140-6736(96)10203-8
In: Maurer K, Maurer U. Alzheimer und Kunst. Carolus Horn - Wie aus Wolken Spiegeleier werden. Frankfurt: Frankfurt University Press; 2009.
In: Maurer K, Frölich L. Paintings of an artist with progressive Alzheimer's disease. How clouds are transformed into fried eggs. Alzheimer Insights. 2000;6:4-7.
In: Medizinischer Dienst des Spitzenverbandes Bund der Krankenkassen e.V., Hrsg. Begutachtungs-Richtlinie Vorsorge und Rehabilitation. Oktober 2005, mit aktualisierten Verweisen Januar 2011. Essen: MDS; 2005. Online verfügbar unter: http://www.mds-ev.de/1683.htm [08.02.2013].
In: Naglie G, Tansey C, Kirkland JL, Ogilvie-Harris DJ, Detsky AS, Etchells E, Tomlinson G, O'Rourke K, Goldlist B. Interdisciplinary inpatient care for elderly people with hip fracture: a randomized controlled trial. CMAJ. 2002 Jul 9;167(1):25-32. Online verfügbar unter: http://www.cmaj.ca/content/167/1/25.long
In: Neumeyer K. Entwicklung, Durchführung und Evaluation eines Trainings für versorgende Angehörige von Menschen mit Demenz (TanDem). Berlin: Logos Verlag; 2012. (Psychosoziale Interventionen zur Prävention und Therapie der Demenz; 6). ISBN 978-3-8325-3129-4.
In: Pantel, J, Bockenheimer-Lucius G, Ebsen I, Müller R, Hustedt P, Diehm A. Psychopharmakaversorgung im Altenpflegeheim: Eine interdisziplinäre Studie unter Berücksichtigung medizinischer, ethischer und juristischer Aspekte. Frankfurt: Lang-Verlag; 2006.
In: Pantel J. Strukturelle Bildgebung bei der Alzheimer Demenz. In: Förstl H, Hrsg. Demenzen - Perspektiven in Praxis und Forschung. München: Elsevier - Urban und Fischer; 2005. S. 87-101.
In: Pantel J, Schröder J. Therapie der Demenzen. In: Hartwich P, Barocka A, Hrsg. Organisch bedingte Störungen: Diagnostik und Therapie. Sternenfels: Verlag Wissenschaft und Praxis; 2006. S. 165-74.
In: Pantel J. Neuroleptika für demente Heimpatienten - Möglichst vermeiden, auf keinen Fall Langzeittherapie. KHV Aktuell Pharmakotherapie. 2012:17(2);12-4.
In: Pantel J. Akute organische Psychosen. In: Hampel H, Rupprecht R, Hrsg. Roter Faden Psychiatrie und Psychotherapie. Stuttgart: Wissenschaftliche Verlagsgesellschaft; 2006. S. 150-6.
In: Pantel J, Schröder J. Zerebrale Korrelate klinischer und neuropsychologischer Veränderungen in den Verlaufsstadien der Alzheimer-Demenz. Darmstadt: Steinkopff; 2006. (Monographien aus dem Gesamtgebiet der Psychiatrie; 111). ISBN 3-7985-1603-0.
In: Pantel J, Haberstroh J. Psychopharmakaverordnung im Altenpflegeheim: Zwischen indikationsgeleiteter Therapie und "Chemical Restraint". Ethik Med. 2007;4:258-69. DOI:10.1007/s00481-007-0536-0
In: Pauen M. Illusion Freiheit. Mögliche und unmögliche Konsequenzen der Hirnforschung. Frankfurt a.M.: S. Fischer; 2004.
In: Pickl C. Selbstregulation und Transfer. Weinheim: Beltz Verlag; 2004.
In: Post F. Creativity and psychopathology. A study of 291 world-famous men. Br J Psychiatry. 1994 Jul;165(1):22-34. DOI:10.1192/bjp.165.1.22
In: Romero B, Wenz M. Konzept und Wirksamkeit eines Behandlungsprogrammes für Demenzkranke und deren Angehörige - Ergebnisse aus dem Alzheimer Therapiezentrum Bad Aibling. Z Gerontol Geriatr. 2002 Apr;35(2):118-28. DOI:10.1007/s003910200016
In: Romero B, Seeher K, Wenz M, Berner A. Erweiterung der Inanspruchnahme ambulanter und sozialer Hilfen als Wirkung eines stationären multimodalen Behandlungsprogramms für Demenzkranke und deren betreuende Angehörige. NeuroGeriatrie. 2007;4(4):170-6.
In: Schröder J, Pantel J, Förstl H. Demenzielle Erkrankungen - Ein Überblick. In: Kruse A, Martin M, Hrsg. Enzyklopädie der Gerontologie. Alternsprozesse in multidisziplinärer Sicht. Bern: Huber; 2004. S. 224-39.
In: Schröder J, Haberstroh J, Pantel J. Früherkennung und Diagnostik demenzieller Erkrankungen. In: Kruse A, Hrsg. Lebensqualität bei Demenz. Heidelberg: AKA Verlag; 2010. S. 297-315.
In: Schröder J, Pantel J. Die leichte kognitive Beeinträchtigung. Klinik, Diagnostik, Therapie und Prävention im Vorfeld der Alzheimer-Demenz. Stuttgart: Schattauer Verlag; 2011. ISBN 978-3-7945-2656-7.
In: Schwarzkopf L, Menn P, Leidl R, Wunder S, Mehlig H, Marx P, Graessel E, Holle R. Excess costs of dementia disorders and the role of age and gender - an analysis of German health and long-term care insurance claims data. BMC Health Serv Res. 2012 Jun 19;12:165. DOI:10.1186/1472-6963-12-165
In: Ska B, Poissant A, Joanette Y. Line orientation judgment in normal elderly and subjects with dementia of Alzheimer's type. J Clin Exp Neuropsychol. 1990 Oct;12(5):695-702. DOI:10.1080/01688639008401012
In: Spitzenverbände der gesetzlichen Krankenkassen, Hrsg. Rahmenempfehlungen zur ambulanten geriatrischen Rehabilitation vom 01.01.2004. Online verfügbar unter: http://www.vdek.com/vertragspartner/vorsorge-rehabilitation/amb_reha/_jcr_content/par/download/file.res/rahmenempfehlungen_amb_ger_version11_12_03.pdf [08.02.2013].
In: Stähelin HB. Kognitive Voraussetzungen der geriatrischen Rehabilitation [Cognitive prerequisites of geriatric rehabilitation]. Z Gerontol Geriatr. 2000;33 Suppl 1:24-7. DOI:10.1007/s003910070004
In: van Halteren-van Tilborg IA, Scherder EJ, Hulstijn W. Motor-skill learning in Alzheimer's disease: a review with an eye to the clinical practice. Neuropsychol Rev. 2007 Sep;17(3):203-12. DOI:10.1007/s11065-007-9030-1
In: Wijk H, Berg S, Sivik L, Steen B. Colour discrimination, colour naming and colour preferences among individuals with Alzheimer's disease. Int J Geriatr Psychiatry. 1999 Dec;14(12):1000-5. DOI:10.1002/(SICI)1099-1166(199912)14:123.0.CO;2-E
In einer Bevölkerung mit immer älteren und auch kränkeren Patienten nimmt die Zahl der Menschen mit Demenz deutlich zu. Damit stellen sie eine zunehmende Herausforderung an die Betreuung aller Beteiligten dar, sowohl in medizinischer als auch in pflegerischer sowie ethischer und sozialmedizinischer Sicht. Wie stellen wir uns dieser Herausforderung? Wie sehen wir diese Menschen in unserer Mitte? Inwieweit werden und können sie in unsere Gesellschaft integriert werden? Wie gehen wir mit ihnen in Praxis und Krankenhaus um? Wie behandeln wir sie, wie müssten, wie sollten wir sie behandeln? Der 6. Ärztetag am Dom will versuchen, aus medizinischer, medizinisch-psychologischer, sozialer und ethischer Sicht hierzu die Fragen einzugrenzen und erste Antworten zu geben.Grußworte (Bischof Dr. Franz-Peter Tebartz-van Elst, Limburg)Der Blick des Gläubigen führt die notwendige Differenzierung der wissenschaftlichen Fachdisziplinen wieder zusammen: Der ganze Mensch, in jedem Stadium des Lebens, ist einmalig; er besitzt einen Namen, nicht nur ein Krankheitsbild. Ungeachtet seiner körperlich-geistigen Einbußen besitzt er eine Würde, die in seiner Bundespartnerschaft mit Gott wurzelt. Alle Menschen sind aufgerufen, demente Personen als selbstverständlichen Teil unserer Gemeinschaft anzunehmen. Auch Demenz ist Leben.Medizinische Grundlagen und Behandlungsmöglichkeiten der Demenz (Prof. Dr. med. Johannes Pantel und Dr. rer. nat. Julia Haberstroh, Arbeitsbereich Altersmedizin mit Schwerpunkt Psychogeriatrie und klinische Gerontologie, Institut für Allgemeinmedizin der Johann Wolfgang Goethe-Universität Frankfurt am Main)Die Demenzen zählen zu den häufigsten neuropsychiatrischen Erkrankungen des höheren Lebensalters. Demenz ist ein klinisch definiertes Syndrom, dessen Leitsymptomatik eine chronische und zumeist im Alter erworbene organisch bedingte Beeinträchtigung der intellektuellen Leistungsfähigkeit darstellt. In den fortgeschrittenen Stadien geht diese mit einem erheblichen Verlust an Autonomie und der Fähigkeit zur ...
Breast cancer (BC) risk for BRCA1 and BRCA2 mutation carriers varies by genetic and familial factors. About 50 common variants have been shown to modify BC risk for mutation carriers. All but three, were identified in general population studies. Other mutation carrier-specific susceptibility variants may exist but studies of mutation carriers have so far been underpowered. We conduct a novel case-only genome-wide association study comparing genotype frequencies between 60,212 general population BC cases and 13,007 cases with BRCA1 or BRCA2 mutations. We identify robust novel associations for 2 variants with BC for BRCA1 and 3 for BRCA2 mutation carriers, P < 10-8, at 5 loci, which are not associated with risk in the general population. They include rs60882887 at 11p11.2 where MADD, SP11 and EIF1, genes previously implicated in BC biology, are predicted as potential targets. These findings will contribute towards customising BC polygenic risk scores for BRCA1 and BRCA2 mutation carriers. ; BCAC acknowledgements. We thank all the individuals who took part in these studies and all the researchers, clinicians, technicians and administrative staff who have enabled this work to be carried out. ABCFS thank Maggie Angelakos, Judi Maskiell, Gillian Dite. ABCS thanks the Blood bank Sanquin, The Netherlands. ABCTB Investigators: Christine Clarke, Deborah Marsh, Rodney Scott, Robert Baxter, Desmond Yip, Jane Carpenter, Alison Davis, Nirmala Pathmanathan, Peter Simpson, J. Dinny Graham, Mythily Sachchithananthan. Samples are made available to researchers on a non-exclusive basis. BBCS thanks Eileen Williams, Elaine Ryder-Mills, Kara Sargus. BCEES thanks Allyson Thomson, Christobel Saunders, Terry Slevin, BreastScreen Western Australia, Elizabeth Wylie, Rachel Lloyd. The BCINIS study would not have been possible without the contributions of Dr. K. Landsman, Dr. N. Gronich, Dr. A. Flugelman, Dr. W. Saliba, Dr. E. Liani, Dr. I. Cohen, Dr. S. Kalet, Dr. V. Friedman, Dr. O. Barnet of the NICCC in Haifa, and all the contributing family medicine, surgery, pathology and oncology teams in all medical institutes in Northern Israel. The BREOGAN study would not have been possible without the contributions of the following: Manuela Gago-Dominguez, Jose Esteban Castelao, Angel Carracedo, Victor Munoz Garzon, Alejandro Novo Dominguez, Maria Elena Martinez, Sara Miranda Ponte, Carmen Redondo Marey, Maite Pena Fernandez, Manuel Enguix Castelo, Maria Torres, Manuel Calaza (BREOGAN), Jose Antunez, Maximo Fraga and the staff of the Department of Pathology and Biobank of the University Hospital Complex of Santiago-CHUS, Instituto de Investigacion Sanitaria de Santiago, IDIS, Xerencia de Xestion Integrada de Santiago-SERGAS; Joaquin Gonzalez-Carrero and the staff of the Department of Pathology and Biobank of University Hospital Complex of Vigo, Instituto de Investigacion Biomedica Galicia Sur, SERGAS, Vigo, Spain. BSUCH thanks Peter Bugert, Medical Faculty Mannheim. CBCS thanks study participants, co-investigators, collaborators and staff of the Canadian Breast Cancer Study, and project coordinators Agnes Lai and Celine Morissette. CCGP thanks Styliani Apostolaki, Anna Margiolaki, Georgios Nintos, Maria Perraki, Georgia Saloustrou, Georgia Sevastaki, Konstantinos Pompodakis. CGPS thanks staff and participants of the Copenhagen General Population Study. For the excellent technical assistance: Dorthe Uldall Andersen, Maria Birna Arnadottir, Anne Bank, Dorthe Kjeldgard Hansen. The Danish Cancer Biobank is acknowledged for providing infrastructure for the collection of blood samples for the cases. CNIO-BCS thanks Guillermo Pita, Charo Alonso, Nuria alvarez, Pilar Zamora, Primitiva Menendez, the Human Genotyping-CEGEN Unit (CNIO). The CTS Steering Committee includes Leslie Bernstein, Susan Neuhausen, James Lacey, Sophia Wang, Huiyan Ma, and Jessica Clague DeHart at the Beckman Research Institute of City of Hope, Dennis Deapen, Rich Pinder, and Eunjung Lee at the University of Southern California, Pam Horn-Ross, Peggy Reynolds, Christina Clarke Dur and David Nelson at the Cancer Prevention Institute of California, Hoda Anton-Culver, Argyrios Ziogas, and Hannah Park at the University of California Irvine, and Fred Schumacher at Case Western University. DIETCOMPLYF thanks the patients, nurses and clinical staff involved in the study. The DietCompLyf study was funded by the charity Against Breast Cancer (Registered Charity Number 1121258) and the NCRN. We thank the participants and the investigators of EPIC (European Prospective Investigation into Cancer and Nutrition). ESTHER thanks Hartwig Ziegler, Sonja Wolf, Volker Hermann, Christa Stegmaier, Katja Butterbach. GC-HBOC thanks Stefanie Engert, Heide Hellebrand, Sandra Krober and LIFE - Leipzig Research Centre for Civilization Diseases (Markus Loeffler, Joachim Thiery, Matthias Nuchter, Ronny Baber). The GENICA Network: Dr. Margarete Fischer-Bosch-Institute of Clinical Pharmacology, Stuttgart, and University of Tubingen, Germany [HB, Wing-Yee Lo], German Cancer Consortium (DKTK) and German Cancer Research Center (DKFZ) Partner Site Tubingen [[HB], gefordert durch die Deutsche Forschungsgemeinschaft (DFG) im Rahmen der Exzellenzstrategie des Bundes und der Lander - EXC 2180 - 390900677 [HB], Department of Internal Medicine, Evangelische Kliniken Bonn gGmbH, Johanniter Krankenhaus, Bonn, Germany [YDK, Christian Baisch], Institute of Pathology, University of Bonn, Germany [Hans-Peter Fischer], Molecular Genetics of Breast Cancer, Deutsches Krebsforschungszentrum (DKFZ), Heidelberg, Germany [Ute Hamann], Institute for Prevention and Occupational Medicine of the German Social Accident Insurance, Institute of the Ruhr University Bochum (IPA), Bochum, Germany [Thomas Bruning, Beate Pesch, Sylvia Rabstein, Anne Lotz]; and Institute of Occupational Medicine and Maritime Medicine, University Medical Center Hamburg-Eppendorf, Germany [Volker Harth]. HABCS thanks Michael Bremer. HEBCS thanks Kirsimari Aaltonen, Irja Erkkila. HUBCS thanks Shamil Gantsev. KARMA and SASBAC thank the Swedish Medical Research Counsel. KBCP thanks Eija Myohanen, Helena Kemilainen. kConFab/AOCS wish to thank Heather Thorne, Eveline Niedermayr, all the kConFab research nurses and staff, the heads and staff of the Family Cancer Clinics, and the Clinical Follow-Up Study (which has received funding from the NHMRC, the National Breast Cancer Foundation, Cancer Australia, and the National Institute of Health (USA)) for their contributions to this resource, and the many families who contribute to kConFab. LMBC thanks Gilian Peuteman, Thomas Van Brussel, EvyVanderheyden and Kathleen Corthouts. MARIE thanks Petra Seibold, Dieter Flesch-Janys, Judith Heinz, Nadia Obi, Alina Vrieling, Sabine Behrens, Ursula Eilber, Muhabbet Celik, Til Olchers and Stefan Nickels. MBCSG (Milan Breast Cancer Study Group): Mariarosaria Calvello, Davide Bondavalli, Aliana Guerrieri Gonzaga, Monica Marabelli, Irene Feroce, and the personnel of the Cogentech Cancer Genetic Test Laboratory. The MCCS was made possible by the contribution of many people, including the original investigators, the teams that recruited the participants and continue working on follow-up, and the many thousands of Melbourne residents who continue to participate in the study. We thank the coordinators, the research staff and especially the MMHS participants for their continued collaboration on research studies in breast cancer. MSKCC thanks Marina Corines, Lauren Jacobs. MTLGEBCS would like to thank Martine Tranchant (CHU de Quebec - Universite Laval Research Center), Marie-France Valois, Annie Turgeon and Lea Heguy (McGill University Health Center, Royal Victoria Hospital; McGill University) for DNA extraction, sample management and skilful technical assistance. J.S. is Chair holder of the Canada Research Chair in Oncogenetics. NBHS and SBCGS thank study participants and research staff for their contributions and commitment to the studies. For NHS and NHS2 the study protocol was approved by the institutional review boards of the Brigham and Women's Hospital and Harvard T.H. Chan School of Public Health, and those of participating registries as required. We would like to thank the participants and staff of the NHS and NHS2 for their valuable contributions as well as the following state cancer registries for their help: A.L., A.Z., A.R., C.A., C.O., C.T., D.E., F.L., G.A., I.D., I.L., I.N., I.A., K.Y., L.A., M.E., M.D., M.A., M.I., N.E., N.H., N.J., N.Y., N.C., N.D., O.H., O.K., O.R., P.A., R.I., S.C., T.N., T.X., V.A., W.A., and W.Y. The authors assume full responsibility for analyses and interpretation of these data. OFBCR thanks Teresa Selander, Nayana Weerasooriya. ORIGO thanks E. Krol-Warmerdam, and J. Blom for patient accrual, administering questionnaires, and managing clinical information. PBCS thanks Louise Brinton, Mark Sherman, Neonila Szeszenia-Dabrowska, Beata Peplonska, Witold Zatonski, Pei Chao, Michael Stagner. The ethical approval for the POSH study is MREC /00/6/69, UKCRN ID: 1137. We thank staff in the Experimental Cancer Medicine Centre (ECMC) supported Faculty of Medicine Tissue Bank and the Faculty of Medicine DNA Banking resource. RBCS thanks Jannet Blom, Saskia Pelders, Annette Heemskerk and the Erasmus MC Family Cancer Clinic. We thank the SEARCH and EPIC teams. SKKDKFZS thanks all study participants, clinicians, family doctors, researchers and technicians for their contributions and commitment to this study. SZBCS thanks Ewa Putresza. UCIBCS thanks Irene Masunaka. UKBGS thanks Breast Cancer Now and the Institute of Cancer Research for support and funding of the Breakthrough Generations Study, and the study participants, study staff, and the doctors, nurses and other health care providers and health information sources who have contributed to the study. We acknowledge NHS funding to the Royal Marsden/ICR NIHR Biomedical Research Centre. We acknowledge funding to the Manchester NIHR Biomedical Research Centre (IS-BRC-1215-20007). The authors thank the WHI investigators and staff for their dedication and the study participants for making the program possible. CIMBA acknowledgments. All the families and clinicians who contribute to the studies; Catherine M. Phelan for her contribution to CIMBA until she passed away on 22 September 2017; Sue Healey, in particular taking on the task of mutation classification with the late Olga Sinilnikova; Maggie Angelakos, Judi Maskiell, Gillian Dite, Helen Tsimiklis; members and participants in the New York site of the Breast Cancer Family Registry; members and participants in the Ontario Familial Breast Cancer Registry; Vilius Rudaitis and Laimonas Grikeviius; Drs Janis Eglitis, Anna Krilova and Aivars Stengrevics; Yuan Chun Ding and Linda Steele for their work in participant enrollment and biospecimen and data management; Bent Ejlertsen and Anne-Marie Gerdes for the recruitment and genetic counseling of participants; Alicia Barroso, Rosario Alonso and Guillermo Pita; all the individuals and the researchers who took part in CONSIT TEAM (Consorzio Italiano Tumori Ereditari Alla Mammella), in particular: Bernard Peissel, Dario Zimbalatti, Daniela Zaffaroni, Alessandra Viel, Giuseppe Giannini Liliana Varesco, Viviana Gismondi, Maria Grazia Tibiletti, Daniela Furlan, Antonella Savarese, Aline Martayan, Stefania Tommasi, Brunella Pilato and the personnel of the Cogentech Cancer Genetic Test Laboratory, Milan, Italy. Ms. JoEllen Weaver and Dr. Betsy Bove; FPGMX: members of the Cancer Genetics group (IDIS): Marta Santamarina, Miguel Aguado and Olivia Rios; IFE - Leipzig Research Centre for Civilization Diseases (Markus Loeffler, Joachim Thiery, Matthias Nuchter, Ronny Baber); We thank all participants, clinicians, family doctors, researchers, and technicians for their contributions and commitment to the DKFZ study and the collaborating groups in Lahore, Pakistan (Noor Muhammad, Sidra Gull, Seerat Bajwa, Faiz Ali Khan, Humaira Naeemi, Saima Faisal, Asif Loya, Mohammed Aasim Yusuf) and Bogota, Colombia (Ignacio Briceno, Fabian Gil). Genetic Modifiers of Cancer Risk in BRCA1/2 Mutation Carriers (GEMO) study is a study from the National Cancer Genetics Network UNICANCER Genetic Group, France. We wish to pay a tribute to Olga M. Sinilnikova, who with Dominique Stoppa-Lyonnet initiated and coordinated GEMO until she sadly passed away on the 30th June 2014. The team in Lyon (Olga Sinilnikova, Melanie Leone, Laure Barjhoux, Carole Verny-Pierre, Sylvie Mazoyer, Francesca Damiola, Valerie Sornin) managed the GEMO samples until the biological resource centre was transferred to Paris in December 2015 (Noura Mebirouk, Fabienne Lesueur, Dominique Stoppa-Lyonnet). We want to thank all the GEMO collaborating groups for their contribution to this study: Coordinating Centre, Service de Genetique, Institut Curie, Paris, France: Muriel Belotti, Ophelie Bertrand, Anne-Marie Birot, Bruno Buecher, Sandrine Caputo, Anais Dupre, Emmanuelle Fourme, Marion Gauthier-Villars, Lisa Golmard, Claude Houdayer, Marine Le Mentec, Virginie Moncoutier, Antoine de Pauw, Claire Saule, Dominique Stoppa-Lyonnet, and Inserm U900, Institut Curie, Paris, France: Fabienne Lesueur, Noura Mebirouk. Contributing Centres: Unite Mixte de Genetique Constitutionnelle des Cancers Frequents, Hospices Civils de Lyon - Centre Leon Berard, Lyon, France: Nadia Boutry-Kryza, Alain Calender, Sophie Giraud, Melanie Leone. Institut Gustave Roussy, Villejuif, France: Brigitte Bressac-de-Paillerets, Olivier Caron, Marine Guillaud-Bataille. Centre Jean Perrin, Clermont-Ferrand, France: Yves-Jean Bignon, Nancy Uhrhammer. Centre Leon Berard, Lyon, France: Valerie Bonadona, Christine Lasset. Centre Francois Baclesse, Caen, France: Pascaline Berthet, Laurent Castera, Dominique Vaur. Institut Paoli Calmettes, Marseille, France: Violaine Bourdon, Catherine Nogues, Tetsuro Noguchi, Cornel Popovici, Audrey Remenieras, Hagay Sobol. CHU Arnaud-de-Villeneuve, Montpellier, France: Isabelle Coupier, Pascal Pujol. Centre Oscar Lambret, Lille, France: Claude Adenis, Aurelie Dumont, Francoise Revillion. Centre Paul Strauss, Strasbourg, France: Daniele Muller. Institut Bergonie, Bordeaux, France: Emmanuelle Barouk-Simonet, Francoise Bonnet, Virginie Bubien, Michel Longy, Nicolas Sevenet, Institut Claudius Regaud, Toulouse, France: Laurence Gladieff, Rosine Guimbaud, Viviane Feillel, Christine Toulas. CHU Grenoble, France: Helene Dreyfus, Christine Dominique Leroux, Magalie Peysselon, Rebischung. CHU Dijon, France: Amandine Baurand, Geoffrey Bertolone, Fanny Coron, Laurence Faivre, Caroline Jacquot, Sarab Lizard. CHU St-Etienne, France: Caroline Kientz, Marine Lebrun, Fabienne Prieur. Hotel Dieu Centre Hospitalier, Chambery, France: Sandra Fert Ferrer. Centre Antoine Lacassagne, Nice, France: Veronique Mari. CHU Limoges, France: Laurence Venat-Bouvet. CHU Nantes, France: Stephane Bezieau, Capucine Delnatte. CHU Bretonneau, Tours and Centre Hospitalier de Bourges France: Isabelle Mortemousque. Groupe Hospitalier Pitie-Salpetriere, Paris, France: Chrystelle Colas, Florence Coulet, Florent Soubrier, Mathilde Warcoin. CHU Vandoeuvre-les-Nancy, France: Myriam Bronner, Johanna Sokolowska. CHU Besancon, France: Marie-Agnes Collonge-Rame, Alexandre Damette. CHU Poitiers, Centre Hospitalier d'Angouleme and Centre Hospitalier de Niort, France: Paul Gesta. Centre Hospitalier de La Rochelle: Hakima Lallaoui. CHU Nimes Caremeau, France: Jean Chiesa. CHI Poissy, France: Denise Molina-Gomes. CHU Angers, France: Olivier Ingster; Ilse Coene en Brecht Crombez; Ilse Coene and Brecht Crombez; Alicia Tosar and Paula Diaque; Drs.Sofia Khan, Taru A. Muranen, Carl Blomqvist, Irja Erkkila and Virpi Palola; The Hereditary Breast and Ovarian Cancer Research Group Netherlands (HEBON) consists of the following Collaborating Centers: Coordinating center: Netherlands Cancer Institute, Amsterdam, NL: M.A. Rookus, F.B.L. Hogervorst, F.E. van Leeuwen, S. Verhoef, M.K. Schmidt, N.S. Russell, D.J. Jenner; Erasmus Medical Center, Rotterdam, NL: J.M. Collee, A.M.W. van den Ouweland, M.J. Hooning, C. Seynaeve, C.H.M. van Deurzen, I.M. Obdeijn; Leiden University Medical Center, NL: C.J. van Asperen, J.T. Wijnen, R.A.E.M. Tollenaar, P. Devilee, T.C.T.E.F. van Cronenburg; Radboud University Nijmegen Medical Center, NL: C.M. Kets, A.R. Mensenkamp; University Medical Center Utrecht, NL: M.G.E.M. Ausems, R.B. van der Luijt, C.C. van der Pol; Amsterdam Medical Center, NL: C.M. Aalfs, T.A.M. van Os; VU University Medical Center, Amsterdam, NL: J.J.P. Gille, Q. Waisfisz, H.E.J. Meijers-Heijboer; University Hospital Maastricht, NL: E.B. Gomez-Garcia, M.J. Blok; University Medical Center Groningen, NL: J.C. Oosterwijk, A.H. van der Hout, M.J. Mourits, G.H. de Bock; The Netherlands Foundation for the detection of hereditary tumours, Leiden, NL: H.F. Vasen; The Netherlands Comprehensive Cancer Organization (IKNL): S. Siesling, J.Verloop; the ICO Hereditary Cancer Program team led by Dr. Gabriel Capella; the ICO Hereditary Cancer Program team led by Dr. Gabriel Capella; Dr Martine Dumont for sample management and skillful assistance; Ana Peixoto, Catarina Santos and Pedro Pinto; members of the Center of Molecular Diagnosis, Oncogenetics Department and Molecular Oncology Research Center of Barretos Cancer Hospital; Heather Thorne, Eveline Niedermayr, all the kConFab research nurses and staff, the heads and staff of the Family Cancer Clinics, and the Clinical Follow-Up Study (which has received funding from the NHMRC, the National Breast Cancer Foundation, Cancer Australia, and the National Institute of Health (USA)) for their contributions to this resource, and the many families who contribute to kConFab; the investigators of the Australia New Zealand NRG Oncology group; members and participants in the Ontario Cancer Genetics Network; Leigha Senter, Kevin Sweet, Caroline Craven, Julia Cooper, Amber Aielts, and Michelle O'Conor; HVH: acknowledgments to the Cellex Foundation for providing research facilities and equipment. Dr Juliette Coignard was supported by a fellowship of INCa Institut National du Cancer N degrees 2015-181, la Ligue Nationale contre le Cancer IP/SC-15229 and Olga Sinilnikova's fellowship (2016). BCAC Funding. BCAC is funded by Cancer Research UK [C1287/A16563, C1287/A10118], the European Union's Horizon 2020 Research and Innovation Programme (grant numbers 634935 and 633784 for BRIDGES and B-CAST respectively), and by the European Communitys Seventh Framework Programme under grant agreement number 223175 (grant number HEALTH-F2-2009-223175) (COGS). The EU Horizon 2020 Research and Innovation Programme funding source had no role in study design, data collection, data analysis, data interpretation or writing of the report. Genotyping of the OncoArray was funded by the NIH Grant U19 CA148065, and Cancer UK Grant C1287/A16563 and the PERSPECTIVE project supported by the Government of Canada through Genome Canada and the Canadian Institutes of Health Research (grant GPH-129344) and, the Ministere de l'Economie, Science et Innovation du Quebec through Genome Quebec and the PSRSIIRI-701 grant, and the Quebec Breast Cancer Foundation. The Australian Breast Cancer Family Study (ABCFS) was supported by grant UM1 CA164920 from the National Cancer Institute (USA). The content of this manuscript does not necessarily reflect the views or policies of the National Cancer Institute or any of the collaborating centers in the Breast Cancer Family Registry (BCFR), nor does mention of trade names, commercial products, or organizations imply endorsement by the USA Government or the BCFR. The ABCFS was also supported by the National Health and Medical Research Council of Australia, the New South Wales Cancer Council, the Victorian Health Promotion Foundation (Australia) and the Victorian Breast Cancer Research Consortium. J.L.H. is a National Health and Medical Research Council (NHMRC) Senior Principal Research Fellow. M.C.S. is a NHMRC Senior Research Fellow. The ABCS study was supported by the Dutch Cancer Society [grants NKI 2007-3839; 2009 4363]. The Australian Breast Cancer Tissue Bank (ABCTB) was supported by the National Health and Medical Research Council of Australia, The Cancer Institute NSW and the National Breast Cancer Foundation. The work of the BBCC was partly funded by ELAN-Fond of the University Hospital of Erlangen. The BBCS is funded by Cancer Research UK and Breast Cancer Now and acknowledges NHS funding to the NIHR Biomedical Research Centre, and the National Cancer Research Network (NCRN). The BCEES was funded by the National Health and Medical Research Council, Australia and the Cancer Council Western Australia and acknowledges funding from the National Breast Cancer Foundation (JS). For the BCFR-NY, BCFR-PA, BCFR-UT this work was supported by grant UM1 CA164920 from the National Cancer Institute. The content of this manuscript does not necessarily reflect the views or policies of the National Cancer Institute or any of the collaborating centers in the Breast Cancer Family Registry (BCFR), nor does mention of trade names, commercial products, or organizations imply endorsement by the US Government or the BCFR. The BREast Oncology GAlician Network (BREOGAN) is funded by Accion Estrategica de Salud del Instituto de Salud Carlos III FIS PI12/02125/Cofinanciado FEDER; Accion Estrategica de Salud del Instituto de Salud Carlos III FIS Intrasalud (PI13/01136); Programa Grupos Emergentes, Cancer Genetics Unit, Instituto de Investigacion Biomedica Galicia Sur. Xerencia de Xestion Integrada de Vigo-SERGAS, Instituto de Salud Carlos III, Spain; Grant 10CSA012E, Conselleria de Industria Programa Sectorial de Investigacion Aplicada, PEME I + D e I + D Suma del Plan Gallego de Investigacion, Desarrollo e Innovacion Tecnologica de la Conselleria de Industria de la Xunta de Galicia, Spain; Grant EC11-192. Fomento de la Investigacion Clinica Independiente, Ministerio de Sanidad, Servicios Sociales e Igualdad, Spain; and Grant FEDER-Innterconecta. Ministerio de Economia y Competitividad, Xunta de Galicia, Spain. The BSUCH study was supported by the Dietmar-Hopp Foundation, the Helmholtz Society and the German Cancer Research Center (DKFZ). CBCS is funded by the Canadian Cancer Society (grant # 313404) and the Canadian Institutes of Health Research. CCGP is supported by funding from the University of Crete. The CECILE study was supported by Fondation de France, Institut National du Cancer (INCa), Ligue Nationale contre le Cancer, Agence Nationale de Securite Sanitaire, de l'Alimentation, de l'Environnement et du Travail (ANSES), Agence Nationale de la Recherche (ANR). The CGPS was supported by the Chief Physician Johan Boserup and Lise Boserup Fund, the Danish Medical Research Council, and Herlev and Gentofte Hospital. The CNIO-BCS was supported by the Instituto de Salud Carlos III, the Red Tematica de Investigacion Cooperativa en Cancer and grants from the Asociacion Espanola Contra el Cancer and the Fondo de Investigacion Sanitario (PI11/00923 and PI12/00070). The CTS was initially supported by the California Breast Cancer Act of 1993 and the California Breast Cancer Research Fund (contract 97-10500) and is currently funded through the National Institutes of Health (R01 CA77398, UM1 CA164917, and U01 CA199277). Collection of cancer incidence data was supported by the California Department of Public Health as part of the statewide cancer reporting program mandated by California Health and Safety Code Section 103885. The University of Westminster curates the DietCompLyf database funded by Against Breast Cancer Registered Charity No. 1121258 and the NCRN. The coordination of EPIC is financially supported by the European Commission (DG-SANCO) and the International Agency for Research on Cancer. The national cohorts are supported by: Ligue Contre le Cancer, Institut Gustave Roussy, Mutuelle Generale de l'Education Nationale, Institut National de la Sante et de la Recherche Medicale (INSERM) (France); German Cancer Aid, German Cancer Research Center (DKFZ), Federal Ministry of Education and Research (BMBF) (Germany); the Hellenic Health Foundation, the Stavros Niarchos Foundation (Greece); Associazione Italiana per la Ricerca sul Cancro-AIRC-Italy and National Research Council (Italy); Dutch Ministry of Public Health, Welfare and Sports (VWS), Netherlands Cancer Registry (NKR), LK Research Funds, Dutch Prevention Funds, Dutch ZON (Zorg Onderzoek Nederland), World Cancer Research Fund (WCRF), Statistics Netherlands (The Netherlands); Health Research Fund (FIS), PI13/00061 to Granada, PI13/01162 to EPIC-Murcia, Regional Governments of Andalucia, Asturias, Basque Country, Murcia and Navarra, ISCIII RETIC (RD06/0020) (Spain); Cancer Research UK (14136 to EPIC-Norfolk; C570/A16491 and C8221/A19170 to EPIC-Oxford), Medical Research Council (1000143 to EPIC-Norfolk, MR/M012190/1 to EPIC-Oxford) (United Kingdom). The ESTHER study was supported by a grant from the Baden Wurttemberg Ministry of Science, Research and Arts. Additional cases were recruited in the context of the VERDI study, which was supported by a grant from the German Cancer Aid (Deutsche Krebshilfe). The GC-HBOC (German Consortium of Hereditary Breast and Ovarian Cancer) is supported by the German Cancer Aid (grant no 110837, coordinator: Rita K. Schmutzler, Cologne). This work was also funded by the European Regional Development Fund and Free State of Saxony, Germany (LIFE - Leipzig Research Centre for Civilization Diseases, project numbers 713-241202, 713-241202, 14505/2470, 14575/2470). The GENICA was funded by the Federal Ministry of Education and Research (BMBF) Germany grants 01KW9975/5, 01KW9976/8, 01KW9977/0 and 01KW0114, the Robert Bosch Foundation, Stuttgart, Deutsches Krebsforschungszentrum (DKFZ), Heidelberg, the Institute for Prevention and Occupational Medicine of the German Social Accident Insurance, Institute of the Ruhr University Bochum (IPA), Bochum, as well as the Department of Internal Medicine, Evangelische Kliniken Bonn gGmbH, Johanniter Krankenhaus, Bonn, Germany. The GESBC was supported by the Deutsche Krebshilfe e. V. [70492] and the German Cancer Research Center (DKFZ). The HABCS study was supported by the Claudia von Schilling Foundation for Breast Cancer Research, by the Lower Saxonian Cancer Society, and by the Rudolf Bartling Foundation. The HEBCS was financially supported by the Helsinki UniversityHospital Research Fund, the Finnish Cancer Society, and the Sigrid Juselius Foundation. The HUBCS was supported by a grant from the German Federal Ministry of Research and Education (RUS08/017), and by the Russian Foundation for Basic Research and the Federal Agency for Scientific Organizations for support the Bioresource collections and RFBR grants 14-04-97088, 17-29-06014 and 17-44-020498. Financial support for KARBAC was provided through the regional agreement on medical training and clinical research (ALF) between Stockholm County Council and Karolinska Institutet, the Swedish Cancer Society, The Gustav V Jubilee foundation and Bert von Kantzows foundation. The KARMA study was supported by Marit and Hans Rausings Initiative Against Breast Cancer. The KBCP was financially supported by the special Government Funding (EVO) of Kuopio University Hospital grants, Cancer Fund of North Savo, the Finnish Cancer Organizations, and by the strategic funding of the University of Eastern Finland. kConFab is supported by a grant from the National Breast Cancer Foundation, and previously by the National Health and Medical Research Council (NHMRC), the Queensland Cancer Fund, the Cancer Councils of New South Wales, Victoria, Tasmania and South Australia, and the Cancer Foundation of Western Australia. Financial support for the AOCS was provided by the United States Army Medical Research and Materiel Command [DAMD17-01-1-0729], Cancer Council Victoria, Queensland Cancer Fund, Cancer Council New South Wales, Cancer Council South Australia, The Cancer Foundation of Western Australia, Cancer Council Tasmania and the National Health and Medical Research Council of Australia (NHMRC; 400413, 400281, 199600). G.C.T. and P.W. are supported by the NHMRC. RB was a Cancer Institute NSW Clinical Research Fellow. LMBC is supported by the 'Stichting tegen Kanker'. The MARIE study was supported by the Deutsche Krebshilfe e.V. [70-2892-BR I, 106332, 108253, 108419, 110826, 110828], the Hamburg Cancer Society, the German Cancer Research Center (DKFZ) and the Federal Ministry of Education and Research (BMBF) Germany [01KH0402]. MBCSG is supported by grants from the Italian Association for Cancer Research (AIRC; IG2014 no.15547) to P. Radice. The MCBCS was supported by the NIH grants CA192393, CA116167, CA176785 an NIH Specialized Program of Research Excellence (SPORE) in Breast Cancer [CA116201], and the Breast Cancer Research Foundation and a generous gift from the David F. and Margaret T. Grohne Family Foundation. The Melbourne Collaborative Cohort Study (MCCS) cohort recruitment was funded by VicHealth and Cancer Council Victoria. The MCCS was further augmented by Australian National Health and Medical Research Council grants 209057, 396414 and 1074383 and by infrastructure provided by Cancer Council Victoria. Cases and their vital status were ascertained through the Victorian Cancer Registry and the Australian Institute of Health and Welfare, including the National Death Index and the Australian Cancer Database. The MEC was support by NIH grants CA63464, CA54281, CA098758, CA132839 and CA164973. The MISS study is supported by funding from ERC-2011-294576 Advanced grant, Swedish Cancer Society, Swedish Research Council, Local hospital funds, Berta Kamprad Foundation, Gunnar Nilsson. The MMHS study was supported by NIH grants CA97396, CA128931, CA116201, CA140286 and CA177150. MSKCC is supported by grants from the Breast Cancer Research Foundation and Robert and Kate Niehaus Clinical Cancer Genetics Initiative. The work of MTLGEBCS was supported by the Quebec Breast Cancer Foundation, the Canadian Institutes of Health Research for the CIHR Team in Familial Risks of Breast Cancer program - grant # CRN-87521 and the Ministry of Economic Development, Innovation and Export Trade - grant # PSR-SIIRI-701. The NBHS was supported by NIH grant R01CA100374. Biological sample preparation was conducted the Survey and Biospecimen Shared Resource, which is supported by P30 CA68485. The Northern California Breast Cancer Family Registry (NC-BCFR) and Ontario Familial Breast Cancer Registry (OFBCR) were supported by grant UM1 CA164920 from the National Cancer Institute (USA). The content of this manuscript does not necessarily reflect the views or policies of the National Cancer Institute or any of the collaborating centers in the Breast Cancer Family Registry (BCFR), nor does mention of trade names, commercial products, or organizations imply endorsement by the USA Government or the BCFR. The Carolina Breast Cancer Study was funded by Komen Foundation, the National Cancer Institute (P50 CA058223, U54 CA156733, U01 CA179715), and the North Carolina University Cancer Research Fund. The NHS was supported by NIH grants P01 CA87969, UM1 CA186107, and U19 CA148065. The NHS2 was supported by NIH grants UM1 CA176726 and U19 CA148065. The ORIGO study was supported by the Dutch Cancer Society (RUL 1997-1505) and the Biobanking and Biomolecular Resources Research Infrastructure (BBMRI-NL CP16). The PBCS was funded by Intramural Research Funds of the National Cancer Institute, Department of Health and Human Services, USA. Genotyping for PLCO was supported by the Intramural Research Program of the National Institutes of Health, NCI, Division of Cancer Epidemiology and Genetics. The PLCO is supported by the Intramural Research Program of the Division of Cancer Epidemiology and Genetics and supported by contracts from the Division of Cancer Prevention, National Cancer Institute, National Institutes of Health. The POSH study is funded by Cancer Research UK (grants C1275/A11699, C1275/C22524, C1275/A19187, C1275/A15956 and Breast Cancer Campaign 2010PR62, 2013PR044. The RBCS was funded by the Dutch Cancer Society (DDHK 2004-3124, DDHK 2009-4318. SEARCH is funded by Cancer Research UK [C490/A10124, C490/A16561] and supported by the UK National Institute for Health Research Biomedical Research Centre at the University of Cambridge. The University of Cambridge has received salary support for PDPP from the NHS in the East of England through the Clinical Academic Reserve. The Sister Study (SISTER) is supported by the Intramural Research Program of the NIH, National Institute of Environmental Health Sciences (Z01-ES044005 and Z01-ES049033). The Two Sister Study (2SISTER) was supported by the Intramural Research Program of the NIH, National Institute of Environmental Health Sciences (Z01-ES044005 and Z01-ES102245), and, also by a grant from Susan G. Komen for the Cure, grant FAS0703856. SKKDKFZS is supported by the DKFZ. The SMC is funded by the Swedish Cancer Foundation and the Swedish Research Council (VR 2017-00644) grant for the Swedish Infrastructure for Medical Population-based Life-course Environmental Research (SIMPLER). The SZBCS and IHCC were supported by Grant PBZ_KBN_122/P05/2004 and the program of the Minister of Science and Higher Education under the name Regional Initiative of Excellence in 2019-2022 project number 002/RID/2018/19 amount of financing 12 000 000 PLN. The TNBCC was supported by: a Specialized Program of Research Excellence (SPORE) in Breast Cancer (CA116201), a grant from the Breast Cancer Research Foundation, a generous gift from the David F. and Margaret T. Grohne Family Foundation. The UCIBCS component of this research was supported by the NIH [CA58860, CA92044] and the Lon V Smith Foundation [LVS39420]. The UKBGS is funded by Breast Cancer Now and the Institute of Cancer Research (ICR), London. The UKOPS study was funded by The Eve Appeal (The Oak Foundation) and supported by the National Institute for Health Research University College London Hospitals Biomedical Research Centre. CIMBA Funding. CIMBA: The CIMBA data management and data analysis were supported by Cancer Research - UK grants C12292/A20861, C12292/A11174. GCT and ABS are NHMRC Research Fellows. iCOGS: the European Community's Seventh Framework Programme under grant agreement no 223175 (HEALTH-F2-2009-223175) (COGS), Cancer Research UK (C1287/A10118, C1287/A 10710, C12292/A11174, C1281/A12014, C5047/A8384, C5047/A15007, C5047/A10692, C8197/A16565), the National Institutes of Health (CA128978) and Post-Cancer GWAS initiative (1U19 CA148537, 1U19 CA148065 and 1U19 CA148112 - the GAME-ON initiative), the Department of Defence (W81XWH-10-1-0341), the Canadian Institutes of Health Research (CIHR) for the CIHR Team in Familial Risks of Breast Cancer (CRN-87521), and the Ministry of Economic Development, Innovation and Export Trade (PSR-SIIRI-701), Komen Foundation for the Cure, the Breast Cancer Research Foundation, and the Ovarian Cancer Research Fund. The PERSPECTIVE project was supported by the Government of Canada through Genome Canada and the Canadian Institutes of Health Research, the Ministry of Economy, Science and Innovation through Genome Quebec, and The Quebec Breast Cancer Foundation. BCFR: UM1 CA164920 from the National Cancer Institute. The content of this manuscript does not necessarily reflect the views or policies of the National Cancer Institute or any of the collaborating centers in the Breast Cancer Family Registry (BCFR), nor does mention of trade names, commercial products, or organizations imply endorsement by the US Government or the BCFR. BIDMC: Breast Cancer Research Foundation. CNIO: Spanish Ministry of Health PI16/00440 supported by FEDER funds, the Spanish Ministry of Economy and Competitiveness (MINECO) SAF2014-57680-R and the Spanish Research Network on Rare diseases (CIBERER). COH-CCGCRN: Research reported in this publication was supported by the National Cancer Institute of the National Institutes of Health under grant number R25CA112486, and RC4CA153828 (PI: J. Weitzel) from the National Cancer Institute and the Office of the Director, National Institutes of Health. The content is solely the responsibility of the authors and does not necessarily represent the official views of the National Institutes of Health. CONSIT TEAM: Funds from Italian citizens who allocated the 5x1000 share of their tax payment in support of the Fondazione IRCCS Istituto Nazionale Tumori, according to Italian laws (INT-Institutional strategic projects '5x1000') to S. Manoukian. Associazione Italiana Ricerca sul Cancro (AIRC; IG2015 no.16732) to P. Peterlongo. DEMOKRITOS: European Union (European Social Fund - ESF) and Greek national funds through the Operational Program Education and Lifelong Learning of the National Strategic Reference Framework (NSRF) - Research Funding Program of the General Secretariat for Research & Technology: SYN11_10_19 NBCA. Investing in knowledge society through the European Social Fund. DKFZ: German Cancer Research Center. EMBRACE: Cancer Research UK Grants C1287/A10118 and C1287/A11990. D. Gareth Evans and Fiona Lalloo are supported by an NIHR grant to the Biomedical Research Centre, Manchester. The Investigators at The Institute of Cancer Research and The Royal Marsden NHS Foundation Trust are supported by an NIHR grant to the Biomedical Research Centre at The Institute of Cancer Research and The Royal Marsden NHS Foundation Trust. Ros Eeles and Elizabeth Bancroft are supported by Cancer Research UK Grant C5047/A8385. Ros Eeles is also supported by NIHR support to the Biomedical Research Centre at The Institute of Cancer Research and The Royal Marsden NHS Foundation Trust. FCCC: A.K.G. was in part funded by the NCI (R01 CA214545), The University of Kansas Cancer Center Support Grant (P30 CA168524), The Kansas Institute for Precision Medicine (P20 GM130423), and the Kansas Bioscience Authority Eminent Scholar Program. A.K.G. is the Chancellors Distinguished Chair in Biomedical Sciences Professorship. A.Vega is supported by the Spanish Health Research Foundation, Instituto de Salud Carlos III (ISCIII), partially supported by FEDER funds through Research Activity Intensification Program (contract grant numbers: INT15/00070, INT16/00154, INT17/00133), and through Centro de Investigacion Biomedica en Red de Enferemdades Raras CIBERER (ACCI 2016: ER17P1AC7112/2018); Autonomous Government of Galicia (Consolidation and structuring program: IN607B), and by the Fundacion Mutua Madrilena (call 2018). GC-HBOC: German Cancer Aid (grant no 110837, Rita K. Schmutzler) and the European Regional Development Fund and Free State of Saxony, Germany (LIFE - Leipzig Research Centre for Civilization Diseases, project numbers 713-241202, 713-241202, 14505/2470, 14575/2470). GEMO: Ligue Nationale Contre le Cancer; the Association Le cancer du sein, parlons-en! Award, the Canadian Institutes of Health Research for the CIHR Team in Familial Risks of Breast Cancer program and the French National Institute of Cancer (INCa grants 2013-1-BCB-01-ICH-1 and SHS-E-SP 18-015). GEORGETOWN: the Non-Therapeutic Subject Registry Shared Resource at Georgetown University (NIH/NCI grant P30-CA051008), the Fisher Center for Hereditary Cancer and Clinical Genomics Research, and Swing Fore the Cure. G-FAST: Bruce Poppe is a senior clinical investigator of FWO. Mattias Van Heetvelde obtained funding from IWT. HCSC: Spanish Ministry of Health PI15/00059, PI16/01292, and CB-161200301 CIBERONC from ISCIII (Spain), partially supported by European Regional Development FEDER funds. HEBCS: Helsinki University Hospital Research Fund, the Finnish Cancer Society and the Sigrid Juselius Foundation. HEBON: the Dutch Cancer Society grants NKI1998-1854, NKI2004-3088, NKI2007-3756, the Netherlands Organization of Scientific Research grant NWO 91109024, the Pink Ribbon grants 110005 and 2014-187.WO76, the BBMRI grant NWO 184.021.007/CP46 and the Transcan grant JTC 2012 Cancer 12-054. HEBON thanks the registration teams of Dutch Cancer Registry (IKNL; S. Siesling, J. Verloop) and the Dutch Pathology database (PALGA; L. Overbeek) for part of the data collection. ICO: The authors would like to particularly acknowledge the support of the Asociacion Espanola Contra el Cancer (AECC), the Instituto de Salud Carlos III (organismo adscrito al Ministerio de Economia y Competitividad) and Fondo Europeo de Desarrollo Regional (FEDER), una manera de hacer Europa (PI10/01422, PI13/00285, PIE13/00022, PI15/00854, PI16/00563 and CIBERONC) and the Institut Catala de la Salut and Autonomous Government of Catalonia (2009SGR290, 2014SGR338 and PERIS Project MedPerCan). INHERIT: Canadian Institutes of Health Research for the CIHR Team in Familial Risks of Breast Cancer program - grant # CRN-87521 and the Ministry of Economic Development, Innovation and Export Trade - grant # PSR-SIIRI-701. IOVHBOCS: Ministero della Salute and 5x1000 Istituto Oncologico Veneto grant. kConFab: The National Breast Cancer Foundation, and previously by the National Health and Medical Research Council (NHMRC), the Queensland Cancer Fund, the Cancer Councils of New South Wales, Victoria, Tasmania and South Australia, and the Cancer Foundation of Western Australia. MAYO: NIH grants CA116167, CA192393 and CA176785, an NCI Specialized Program of Research Excellence (SPORE) in Breast Cancer (CA116201),and a grant from the Breast Cancer Research Foundation. MCGILL: Jewish General Hospital Weekend to End Breast Cancer, Quebec Ministry of Economic Development, Innovation and Export Trade. Marc Tischkowitz is supported by the funded by the European Union Seventh Framework Program (2007Y2013)/European Research Council (Grant No. 310018). MSKCC: the Breast Cancer Research Foundation, the Robert and Kate Niehaus Clinical Cancer Genetics Initiative, the Andrew Sabin Research Fund and a Cancer Center Support Grant/Core Grant (P30 CA008748). NCI: the Intramural Research Program of the US National Cancer Institute, NIH, and by support services contracts NO2-CP-11019-50, N02-CP-21013-63 and N02-CP-65504 with Westat, Inc, Rockville, MD. NNPIO: the Russian Foundation for Basic Research (grants 17-00-00171, 18-515-45012 and 19-515-25001). NRG Oncology: U10 CA180868, NRG SDMC grant U10 CA180822, NRG Administrative Office and the NRG Tissue Bank (CA 27469), the NRG Statistical and Data Center (CA 37517) and the Intramural Research Program, NCI. OSUCCG: Ohio State University Comprehensive Cancer Center. PBCS: Italian Association of Cancer Research (AIRC) [IG 2013 N.14477] and Tuscany Institute for Tumours (ITT) grant 2014-2015-2016. SMC: the Israeli Cancer Association. SWE-BRCA: the Swedish Cancer Society. UCHICAGO: NCI Specialized Program of Research Excellence (SPORE) in Breast Cancer (CA125183), R01 CA142996, 1U01CA161032 and by the Ralph and Marion Falk Medical Research Trust, the Entertainment Industry Fund National Women's Cancer Research Alliance and the Breast Cancer research Foundation. UCSF: UCSF Cancer Risk Program and Helen Diller Family Comprehensive Cancer Center. UPENN: Breast Cancer Research Foundation; Susan G. Komen Foundation for the cure, Basser Research Center for BRCA. UPITT/MWH: Hackers for Hope Pittsburgh. VFCTG: Victorian Cancer Agency, Cancer Australia, National Breast Cancer Foundation. WCP: Dr Karlan is funded by the American Cancer Society Early Detection Professorship (SIOP-06-258-01-COUN) and the National Center for Advancing Translational Sciences (NCATS), Grant UL1TR000124. HVH: Supported by the Carlos III National Health Institute funded by FEDER funds - a way to build Europe - PI16/11363. MT Parsons is supported by a grant from Newcastle University. Kelly-Anne Phillips is an Australian National Breast Cancer Foundation Fellow. ; Sí
Publisher's version (útgefin grein) ; Breast cancer is a common disease partially caused by genetic risk factors. Germline pathogenic variants in DNA repair genes BRCA1, BRCA2, PALB2, ATM, and CHEK2 are associated with breast cancer risk. FANCM, which encodes for a DNA translocase, has been proposed as a breast cancer predisposition gene, with greater effects for the ER-negative and triple-negative breast cancer (TNBC) subtypes. We tested the three recurrent protein-truncating variants FANCM:p.Arg658*, p.Gln1701*, and p.Arg1931* for association with breast cancer risk in 67,112 cases, 53,766 controls, and 26,662 carriers of pathogenic variants of BRCA1 or BRCA2. These three variants were also studied functionally by measuring survival and chromosome fragility in FANCM−/− patient-derived immortalized fibroblasts treated with diepoxybutane or olaparib. We observed that FANCM:p.Arg658* was associated with increased risk of ER-negative disease and TNBC (OR = 2.44, P = 0.034 and OR = 3.79; P = 0.009, respectively). In a country-restricted analysis, we confirmed the associations detected for FANCM:p.Arg658* and found that also FANCM:p.Arg1931* was associated with ER-negative breast cancer risk (OR = 1.96; P = 0.006). The functional results indicated that all three variants were deleterious affecting cell survival and chromosome stability with FANCM:p.Arg658* causing more severe phenotypes. In conclusion, we confirmed that the two rare FANCM deleterious variants p.Arg658* and p.Arg1931* are risk factors for ER-negative and TNBC subtypes. Overall our data suggest that the effect of truncating variants on breast cancer risk may depend on their position in the gene. Cell sensitivity to olaparib exposure, identifies a possible therapeutic option to treat FANCM-associated tumors. ; Peterlongo laboratory is supported by Associazione Italiana Ricerca sul Cancro (AIRC; IG2015 no.16732) to P. Peterlongo and by a fellowship from Fondazione Umberto Veronesi to G. Figlioli. Surrallés laboratory is supported by the ICREA-Academia program, the Spanish Ministry of Health (projects FANCOSTEM and FANCOLEN), the Spanish Ministry of Economy and Competiveness (projects CB06/07/0023 and RTI2018-098419-B-I00), the European Commission (EUROFANCOLEN project HEALTH-F5-2012-305421 and P-SPHERE COFUND project), the Fanconi Anemia Research Fund Inc, and the "Fondo Europeo de Desarrollo Regional, una manera de hacer Europa" (FEDER). CIBERER is an initiative of the Instituto de Salud Carlos III, Spain. BCAC: we thank all the individuals who took part in these studies and all the researchers, clinicians, technicians and administrative staff who have enabled this work to be carried out. ABCFS thank Maggie Angelakos, Judi Maskiell, Tu Nguyen-Dumont is a National Breast Cancer Foundation (Australia) Career Development Fellow. ABCS thanks the Blood bank Sanquin, The Netherlands. Samples are made available to researchers on a non-exclusive basis. BCEES thanks Allyson Thomson, Christobel Saunders, Terry Slevin, BreastScreen Western Australia, Elizabeth Wylie, Rachel Lloyd. The BCINIS study would not have been possible without the contributions of Dr. Hedy Rennert, Dr. K. Landsman, Dr. N. Gronich, Dr. A. Flugelman, Dr. W. Saliba, Dr. E. Liani, Dr. I. Cohen, Dr. S. Kalet, Dr. V. Friedman, Dr. O. Barnet of the NICCC in Haifa, and all the contributing family medicine, surgery, pathology and oncology teams in all medical institutes in Northern Israel. The BREOGAN study would not have been possible without the contributions of the following: Manuela Gago-Dominguez, Jose Esteban Castelao, Angel Carracedo, Victor Muñoz Garzón, Alejandro Novo Domínguez, Maria Elena Martinez, Sara Miranda Ponte, Carmen Redondo Marey, Maite Peña Fernández, Manuel Enguix Castelo, Maria Torres, Manuel Calaza (BREOGAN), José Antúnez, Máximo Fraga and the staff of the Department of Pathology and Biobank of the University Hospital Complex of Santiago-CHUS, Instituto de Investigación Sanitaria de Santiago, IDIS, Xerencia de Xestion Integrada de Santiago-SERGAS; Joaquín González-Carreró and the staff of the Department of Pathology and Biobank of University Hospital Complex of Vigo, Instituto de Investigacion Biomedica Galicia Sur, SERGAS, Vigo, Spain. BSUCH thanks Peter Bugert, Medical Faculty Mannheim. CBCS thanks study participants, co-investigators, collaborators and staff of the Canadian Breast Cancer Study, and project coordinators Agnes Lai and Celine Morissette. CCGP thanks Styliani Apostolaki, Anna Margiolaki, Georgios Nintos, Maria Perraki, Georgia Saloustrou, Georgia Sevastaki, Konstantinos Pompodakis. CGPS thanks staff and participants of the Copenhagen General Population Study. For the excellent technical assistance: Dorthe Uldall Andersen, Maria Birna Arnadottir, Anne Bank, Dorthe Kjeldgård Hansen. The Danish Cancer Biobank is acknowledged for providing infrastructure for the collection of blood samples for the cases. Investigators from the CPS-II cohort thank the participants and Study Management Group for their invaluable contributions to this research. They also acknowledge the contribution to this study from central cancer registries supported through the Centers for Disease Control and Prevention National Program of Cancer Registries, as well as cancer registries supported by the National Cancer Institute Surveillance Epidemiology and End Results program. The CTS Steering Committee includes Leslie Bernstein, Susan Neuhausen, James Lacey, Sophia Wang, Huiyan Ma, and Jessica Clague DeHart at the Beckman Research Institute of City of Hope, Dennis Deapen, Rich Pinder, and Eunjung Lee at the University of Southern California, Pam Horn-Ross, Peggy Reynolds, Christina Clarke Dur and David Nelson at the Cancer Prevention Institute of California, Hoda Anton-Culver, Argyrios Ziogas, and Hannah Park at the University of California Irvine, and Fred Schumacher at Case Western University. DIETCOMPLYF thanks the patients, nurses and clinical staff involved in the study. The DietCompLyf study was funded by the charity Against Breast Cancer (Registered Charity Number 1121258) and the NCRN. We thank the participants and the investigators of EPIC (European Prospective Investigation into Cancer and Nutrition). ESTHER thanks Hartwig Ziegler, Sonja Wolf, Volker Hermann, Christa Stegmaier, Katja Butterbach. FHRISK thanks NIHR for funding. GC-HBOC thanks Stefanie Engert, Heide Hellebrand, Sandra Kröber and LIFE - Leipzig Research Centre for Civilization Diseases (Markus Loeffler, Joachim Thiery, Matthias Nüchter, Ronny Baber). The GENICA Network: Dr. Margarete Fischer-Bosch-Institute of Clinical Pharmacology, Stuttgart, and University of Tübingen, Germany [HB, Wing-Yee Lo], German Cancer Consortium (DKTK) and German Cancer Research Center (DKFZ) [HB], Deutsche Forschungsgemeinschaft (DFG, German Research Foundation) under Germany's Excellence Strategy - EXC 2180 - 390900677 [HB], Department of Internal Medicine, Evangelische Kliniken Bonn gGmbH, Johanniter Krankenhaus, Bonn, Germany [Yon-Dschun Ko, Christian Baisch], Institute of Pathology, University of Bonn, Germany [Hans-Peter Fischer], Molecular Genetics of Breast Cancer, Deutsches Krebsforschungszentrum (DKFZ), Heidelberg, Germany [Ute Hamann], Institute for Prevention and Occupational Medicine of the German Social Accident Insurance, Institute of the Ruhr University Bochum (IPA), Bochum, Germany [TB, Beate Pesch, Sylvia Rabstein, Anne Lotz]; and Institute of Occupational Medicine and Maritime Medicine, University Medical Center Hamburg-Eppendorf, Germany [Volker Harth]. HABCS thanks Michael Bremer. HEBCS thanks Heidi Toiminen, Kristiina Aittomäki, Irja Erkkilä and Outi Malkavaara. HMBCS thanks Peter Hillemanns, Hans Christiansen and Johann H. Karstens. HUBCS thanks Shamil Gantsev. KARMA thanks the Swedish Medical Research Counsel. KBCP thanks Eija Myöhänen, Helena Kemiläinen. LMBC thanks Gilian Peuteman, Thomas Van Brussel, EvyVanderheyden and Kathleen Corthouts. MABCS thanks Milena Jakimovska (RCGEB "Georgi D. Efremov), Katerina Kubelka, Mitko Karadjozov (Adzibadem-Sistina" Hospital), Andrej Arsovski and Liljana Stojanovska (Re-Medika" Hospital) for their contributions and commitment to this study. MARIE thanks Petra Seibold, Dieter Flesch-Janys, Judith Heinz, Nadia Obi, Alina Vrieling, Sabine Behrens, Ursula Eilber, Muhabbet Celik, Til Olchers and Stefan Nickels. MBCSG (Milan Breast Cancer Study Group) thanks Daniela Zaffaroni, Irene Feroce, and the personnel of the Cogentech Cancer Genetic Test Laboratory. We thank the coordinators, the research staff and especially the MMHS participants for their continued collaboration on research studies in breast cancer. MSKCC thanks Marina Corines and Lauren Jacobs. MTLGEBCS would like to thank Martine Tranchant (CHU de Québec Research Center), Marie-France Valois, Annie Turgeon and Lea Heguy (McGill University Health Center, Royal Victoria Hospital; McGill University) for DNA extraction, sample management and skillful technical assistance. J.S. is Chairholder of the Canada Research Chair in Oncogenetics. NBHS thanks study participants and research staff for their contributions and commitment to the studies. We would like to thank the participants and staff of the Nurses' Health Study and Nurses' Health Study II for their valuable contributions as well as the following state cancer registries for their help: AL, AZ, AR, CA, CO, CT, DE, FL, GA, ID, IL, IN, IA, KY, LA, ME, MD, MA, MI, NE, NH, NJ, NY, NC, ND, OH, OK, OR, PA, RI, SC, TN, TX, VA, WA, WY. The study protocol was approved by the institutional review boards of the Brigham and Women's Hospital and Harvard T.H. Chan School of Public Health, and those of participating registries as required. The authors assume full responsibility for analyses and interpretation of these data. OFBCR thanks Teresa Selander and Nayana Weerasooriya. ORIGO thanks E. Krol-Warmerdam, and J. Blom for patient accrual, administering questionnaires, and managing clinical information. PBCS thanks Louise Brinton, Mark Sherman, Neonila Szeszenia-Dabrowska, Beata Peplonska, Witold Zatonski, Pei Chao and Michael Stagner. The ethical approval for the POSH study is MREC /00/6/69, UKCRN ID: 1137. We thank staff in the Experimental Cancer Medicine Centre (ECMC) supported Faculty of Medicine Tissue Bank and the Faculty of Medicine DNA Banking resource. PREFACE thanks Sonja Oeser and Silke Landrith. PROCAS thanks NIHR for funding. RBCS thanks Petra Bos, Jannet Blom, Ellen Crepin, Elisabeth Huijskens, Anja Kromwijk-Nieuwlaat, Annette Heemskerk, the Erasmus MC Family Cancer Clinic. We thank the SEARCH and EPIC teams. SKKDKFZS thanks all study participants, clinicians, family doctors, researchers and technicians for their contributions and commitment to this study. We thank the SUCCESS Study teams in Munich, Duessldorf, Erlangen and Ulm. SZBCS thanks Ewa Putresza. UCIBCS thanks Irene Masunaka. UKBGS thanks Breast Cancer Now and the Institute of Cancer Research for support and funding of the Breakthrough Generations Study, and the study participants, study staff, and the doctors, nurses and other health care providers and health information sources who have contributed to the study. We acknowledge NHS funding to the Royal Marsden/ICR NIHR Biomedical Research Centre. CIMBA: we are grateful to all the families and clinicians who contribute to the studies; Sue Healey, in particular taking on the task of mutation classification with the late Olga Sinilnikova; Maggie Angelakos, Judi Maskiell, Helen Tsimiklis; members and participants in the New York site of the Breast Cancer Family Registry; members and participants in the Ontario Familial Breast Cancer Registry; Vilius Rudaitis and Laimonas Griškevičius; Yuan Chun Ding and Linda Steele for their work in participant enrollment and biospecimen and data management; Bent Ejlertsen and Anne-Marie Gerdes for the recruitment and genetic counseling of participants; Alicia Barroso, Rosario Alonso and Guillermo Pita; all the individuals and the researchers who took part in CONSIT TEAM (Consorzio Italiano Tumori Ereditari Alla Mammella), thanks in particular: Giulia Cagnoli, Roberta Villa, Irene Feroce, Mariarosaria Calvello, Riccardo Dolcetti, Giuseppe Giannini, Laura Papi, Gabriele Lorenzo Capone, Liliana Varesco, Viviana Gismondi, Maria Grazia Tibiletti, Daniela Furlan, Antonella Savarese, Aline Martayan, Stefania Tommasi, Brunella Pilato, Isabella Marchi, Elena Bandieri, Antonio Russo, Daniele Calistri and the personnel of the Cogentech Cancer Genetic Test Laboratory, Milan, Italy. FPGMX: members of the Cancer Genetics group (IDIS): Ana Blanco, Miguel Aguado, Uxía Esperón and Belinda Rodríguez. We thank all participants, clinicians, family doctors, researchers, and technicians for their contributions and commitment to the DKFZ study and the collaborating groups in Lahore, Pakistan (Noor Muhammad, Sidra Gull, Seerat Bajwa, Faiz Ali Khan, Humaira Naeemi, Saima Faisal, Asif Loya, Mohammed Aasim Yusuf) and Bogota, Colombia (Diana Torres, Ignacio Briceno, Fabian Gil). Genetic Modifiers of Cancer Risk in BRCA1/2 Mutation Carriers (GEMO) study is a study from the National Cancer Genetics Network UNICANCER Genetic Group, France. We wish to pay a tribute to Olga M. Sinilnikova, who with Dominique Stoppa-Lyonnet initiated and coordinated GEMO until she sadly passed away on the 30th June 2014. The team in Lyon (Olga Sinilnikova, Mélanie Léoné, Laure Barjhoux, Carole Verny-Pierre, Sylvie Mazoyer, Francesca Damiola, Valérie Sornin) managed the GEMO samples until the biological resource centre was transferred to Paris in December 2015 (Noura Mebirouk, Fabienne Lesueur, Dominique Stoppa-Lyonnet). We want to thank all the GEMO collaborating groups for their contribution to this study. Drs.Sofia Khan, Irja Erkkilä and Virpi Palola; The Hereditary Breast and Ovarian Cancer Research Group Netherlands (HEBON) consists of the following Collaborating Centers: Netherlands Cancer Institute (coordinating center), Amsterdam, NL: M.A. Rookus, F.B.L. Hogervorst, F.E. van Leeuwen, M.A. Adank, M.K. Schmidt, N.S. Russell, D.J. Jenner; Erasmus Medical Center, Rotterdam, NL: J.M. Collée, A.M.W. van den Ouweland, M.J. Hooning, C.M. Seynaeve, C.H.M. van Deurzen, I.M. Obdeijn; Leiden University Medical Center, NL: C.J. van Asperen, P. Devilee, T.C.T.E.F. van Cronenburg; Radboud University Nijmegen Medical Center, NL: C.M. Kets, A.R. Mensenkamp; University Medical Center Utrecht, NL: M.G.E.M. Ausems, M.J. Koudijs; Amsterdam Medical Center, NL: C.M. Aalfs, H.E.J. Meijers-Heijboer; VU University Medical Center, Amsterdam, NL: K. van Engelen, J.J.P. Gille; Maastricht University Medical Center, NL: E.B. Gómez-Garcia, M.J. Blok; University of Groningen, NL: J.C. Oosterwijk, A.H. van der Hout, M.J. Mourits, G.H. de Bock; The Netherlands Comprehensive Cancer Organisation (IKNL): S. Siesling, J.Verloop; The nationwide network and registry of histo- and cytopathology in The Netherlands (PALGA): A.W. van den Belt-Dusebout. HEBON thanks the study participants and the registration teams of IKNL and PALGA for part of the data collection. Overbeek; the Hungarian Breast and Ovarian Cancer Study Group members (Janos Papp, Aniko Bozsik, Zoltan Matrai, Miklos Kasler, Judit Franko, Maria Balogh, Gabriella Domokos, Judit Ferenczi, Department of Molecular Genetics, National Institute of Oncology, Budapest, Hungary) and the clinicians and patients for their contributions to this study; HVH (University Hospital Vall d'Hebron) the authors acknowledge the Oncogenetics Group (VHIO) and the High Risk and Cancer Prevention Unit of the University Hospital Vall d'Hebron, Miguel Servet Progam (CP10/00617), and the Cellex Foundation for providing research facilities and equipment; the ICO Hereditary Cancer Program team led by Dr. Gabriel Capella; the ICO Hereditary Cancer Program team led by Dr. Gabriel Capella; Dr Martine Dumont for sample management and skillful assistance; Catarina Santos and Pedro Pinto; members of the Center of Molecular Diagnosis, Oncogenetics Department and Molecular Oncology Research Center of Barretos Cancer Hospital; Heather Thorne, Eveline Niedermayr, all the kConFab investigators, research nurses and staff, the heads and staff of the Family Cancer Clinics, and the Clinical Follow Up Study (which has received funding from the NHMRC, the National Breast Cancer Foundation, Cancer Australia, and the National Institute of Health (USA)) for their contributions to this resource, and the many families who contribute to kConFab; the investigators of the Australia New Zealand NRG Oncology group; members and participants in the Ontario Cancer Genetics Network; Kevin Sweet, Caroline Craven, Julia Cooper, Amber Aielts, and Michelle O'Conor; Christina Selkirk; Helena Jernström, Karin Henriksson, Katja Harbst, Maria Soller, Ulf Kristoffersson; from Gothenburg Sahlgrenska University Hospital: Anna Öfverholm, Margareta Nordling, Per Karlsson, Zakaria Einbeigi; from Stockholm and Karolinska University Hospital: Anna von Wachenfeldt, Annelie Liljegren, Annika Lindblom, Brita Arver, Gisela Barbany Bustinza; from Umeå University Hospital: Beatrice Melin, Christina Edwinsdotter Ardnor, Monica Emanuelsson; from Uppsala University: Hans Ehrencrona, Maritta Hellström Pigg, Richard Rosenquist; from Linköping University Hospital: Marie Stenmark-Askmalm, Sigrun Liedgren; Cecilia Zvocec, Qun Niu; Joyce Seldon and Lorna Kwan; Dr. Robert Nussbaum, Beth Crawford, Kate Loranger, Julie Mak, Nicola Stewart, Robin Lee, Amie Blanco and Peggy Conrad and Salina Chan; Carole Pye, Patricia Harrington and Eva Wozniak. OSUCCG thanks Kevin Sweet, Caroline Craven, Julia Cooper, Michelle O'Conor and Amber Aeilts. BCAC is funded by Cancer Research UK [C1287/A16563, C1287/A10118], the European Union's Horizon 2020 Research and Innovation Programme (grant numbers 634935 and 633784 for BRIDGES and B-CAST respectively), and by the European Community´s Seventh Framework Programme under grant agreement number 223175 (grant number HEALTH-F2-2009-223175) (COGS). The EU Horizon 2020 Research and Innovation Programme funding source had no role in study design, data collection, data analysis, data interpretation or writing of the report. Genotyping of the OncoArray was funded by the NIH Grant U19 CA148065, and Cancer UK Grant C1287/A16563 and the PERSPECTIVE project supported by the Government of Canada through Genome Canada and the Canadian Institutes of Health Research (grant GPH-129344) and, the Ministère de l'Économie, Science et Innovation du Québec through Genome Québec and the PSRSIIRI-701 grant, and the Quebec Breast Cancer Foundation. The Australian Breast Cancer Family Study (ABCFS) was supported by grant UM1 CA164920 from the National Cancer Institute (USA). The content of this manuscript does not necessarily reflect the views or policies of the National Cancer Institute or any of the collaborating centers in the Breast Cancer Family Registry (BCFR), nor does mention of trade names, commercial products, or organizations imply endorsement by the USA Government or the BCFR. The ABCFS was also supported by the National Health and Medical Research Council of Australia, the New South Wales Cancer Council, the Victorian Health Promotion Foundation (Australia) and the Victorian Breast Cancer Research Consortium. J.L.H. is a National Health and Medical Research Council (NHMRC) Senior Principal Research Fellow. M.C.S. is a NHMRC Senior Research Fellow. The ABCS study was supported by the Dutch Cancer Society [grants NKI 2007-3839; 2009 4363]. The Australian Breast Cancer Tissue Bank (ABCTB) was supported by the National Health and Medical Research Council of Australia, The Cancer Institute NSW and the National Breast Cancer Foundation. The AHS study is supported by the intramural research program of the National Institutes of Health, the National Cancer Institute (grant number Z01-CP010119), and the National Institute of Environmental Health Sciences (grant number Z01-ES049030). The work of the BBCC was partly funded by ELAN-Fond of the University Hospital of Erlangen. The BBCS is funded by Cancer Research UK and Breast Cancer Now and acknowledges NHS funding to the NIHR Biomedical Research Centre, and the National Cancer Research Network (NCRN). The BCEES was funded by the National Health and Medical Research Council, Australia and the Cancer Council Western Australia. For the BCFR-NY, BCFR-PA, BCFR-UT this work was supported by grant UM1 CA164920 from the National Cancer Institute. The content of this manuscript does not necessarily reflect the views or policies of the National Cancer Institute or any of the collaborating centers in the Breast Cancer Family Registry (BCFR), nor does mention of trade names, commercial products, or organizations imply endorsement by the US Government or the BCFR. BCINIS study was funded by the BCRF (The Breast Cancer Research Foundation, USA). The BREast Oncology GAlician Network (BREOGAN) is funded by Acción Estratégica de Salud del Instituto de Salud Carlos III FIS PI12/02125/Cofinanciado FEDER; Acción Estratégica de Salud del Instituto de Salud Carlos III FIS Intrasalud (PI13/01136); Programa Grupos Emergentes, Cancer Genetics Unit, Instituto de Investigacion Biomedica Galicia Sur. Xerencia de Xestion Integrada de Vigo-SERGAS, Instituto de Salud Carlos III, Spain; Grant 10CSA012E, Consellería de Industria Programa Sectorial de Investigación Aplicada, PEME I + D e I + D Suma del Plan Gallego de Investigación, Desarrollo e Innovación Tecnológica de la Consellería de Industria de la Xunta de Galicia, Spain; Grant EC11-192. Fomento de la Investigación Clínica Independiente, Ministerio de Sanidad, Servicios Sociales e Igualdad, Spain; and Grant FEDER-Innterconecta. Ministerio de Economia y Competitividad, Xunta de Galicia, Spain. The BSUCH study was supported by the Dietmar-Hopp Foundation, the Helmholtz Society and the German Cancer Research Center (DKFZ). Sample collection and processing was funded in part by grants from the National Cancer Institute (NCI R01CA120120 and K24CA169004). CBCS is funded by the Canadian Cancer Society (grant # 313404) and the Canadian Institutes of Health Research. CCGP is supported by funding from the University of Crete. The CECILE study was supported by Fondation de France, Institut National du Cancer (INCa), Ligue Nationale contre le Cancer, Agence Nationale de Sécurité Sanitaire, de l'Alimentation, de l'Environnement et du Travail (ANSES), Agence Nationale de la Recherche (ANR). The CGPS was supported by the Chief Physician Johan Boserup and Lise Boserup Fund, the Danish Medical Research Council, and Herlev and Gentofte Hospital. The American Cancer Society funds the creation, maintenance, and updating of the CPS-II cohort. The CTS was initially supported by the California Breast Cancer Act of 1993 and the California Breast Cancer Research Fund (contract 97-10500) and is currently funded through the National Institutes of Health (R01 CA77398, K05 CA136967, UM1 CA164917, and U01 CA199277). Collection of cancer incidence data was supported by the California Department of Public Health as part of the statewide cancer reporting program mandated by California Health and Safety Code Section 103885. The University of Westminster curates the DietCompLyf database funded by Against Breast Cancer Registered Charity No. 1121258 and the NCRN. The coordination of EPIC is financially supported by the European Commission (DG-SANCO) and the International Agency for Research on Cancer. The national cohorts are supported by: Ligue Contre le Cancer, Institut Gustave Roussy, Mutuelle Générale de l'Education Nationale, Institut National de la Santé et de la Recherche Médicale (INSERM) (France); German Cancer Aid, German Cancer Research Center (DKFZ), Federal Ministry of Education and Research (BMBF) (Germany); the Hellenic Health Foundation, the Stavros Niarchos Foundation (Greece); Associazione Italiana per la Ricerca sul Cancro-AIRC-Italy and National Research Council (Italy); Dutch Ministry of Public Health, Welfare and Sports (VWS), Netherlands Cancer Registry (NKR), LK Research Funds, Dutch Prevention Funds, Dutch ZON (Zorg Onderzoek Nederland), World Cancer Research Fund (WCRF), Statistics Netherlands (The Netherlands); Health Research Fund (FIS), PI13/00061 to Granada, PI13/01162 to EPIC-Murcia, Regional Governments of Andalucía, Asturias, Basque Country, Murcia and Navarra, ISCIII RETIC (RD06/0020) (Spain); Cancer Research UK (14136 to EPIC-Norfolk; C570/A16491 and C8221/A19170 to EPIC-Oxford), Medical Research Council (1000143 to EPIC-Norfolk, MR/M012190/1 to EPIC-Oxford) (United Kingdom). The ESTHER study was supported by a grant from the Baden Württemberg Ministry of Science, Research and Arts. Additional cases were recruited in the context of the VERDI study, which was supported by a grant from the German Cancer Aid (Deutsche Krebshilfe). FHRISK is funded from NIHR grant PGfAR 0707-10031. The GC-HBOC (German Consortium of Hereditary Breast and Ovarian Cancer) is supported by the German Cancer Aid (grant no 110837, coordinator: Rita K. Schmutzler, Cologne). This work was also funded by the European Regional Development Fund and Free State of Saxony, Germany (LIFE - Leipzig Research Centre for Civilization Diseases, project numbers 713-241202, 713-241202, 14505/2470, 14575/2470). The GENICA was funded by the Federal Ministry of Education and Research (BMBF) Germany grants 01KW9975/5, 01KW9976/8, 01KW9977/0 and 01KW0114, the Robert Bosch Foundation, Stuttgart, Deutsches Krebsforschungszentrum (DKFZ), Heidelberg, the Institute for Prevention and Occupational Medicine of the German Social Accident Insurance, Institute of the Ruhr University Bochum (IPA), Bochum, as well as the Department of Internal Medicine, Evangelische Kliniken Bonn gGmbH, Johanniter Krankenhaus, Bonn, Germany. The GEPARSIXTO study was conducted by the German Breast Group GmbH. The GESBC was supported by the Deutsche Krebshilfe e. V. [70492] and the German Cancer Research Center (DKFZ). The HABCS study was supported by the Claudia von Schilling Foundation for Breast Cancer Research, by the Lower Saxonian Cancer Society, and by the Rudolf Bartling Foundation. The HEBCS was financially supported by the Helsinki University Central Hospital Research Fund, Academy of Finland (266528), the Finnish Cancer Society, and the Sigrid Juselius Foundation. The HMBCS was supported by a grant from the German Research Foundation (Do 761/10-1). The HUBCS was supported by a grant from the German Federal Ministry of Research and Education (RUS08/017), and by the Russian Foundation for Basic Research and the Federal Agency for Scientific Organizations for support the Bioresource collections and RFBR grants 14-04-97088, 17-29-06014 and 17-44-020498. E.K was supported by the program for support the bioresource collections №007-030164/2 and study was performed as part of the assignment of the Ministry of Science and Higher Education of Russian Federation (№АААА-А16-116020350032-1). Financial support for KARBAC was provided through the regional agreement on medical training and clinical research (ALF) between Stockholm County Council and Karolinska Institutet, the Swedish Cancer Society, The Gustav V Jubilee foundation and Bert von Kantzows foundation. The KARMA study was supported by Märit and Hans Rausings Initiative Against Breast Cancer. The KBCP was financially supported by the special Government Funding (EVO) of Kuopio University Hospital grants, Cancer Fund of North Savo, the Finnish Cancer Organizations, and by the strategic funding of the University of Eastern Finland. LMBC is supported by the 'Stichting tegen Kanker'. DL is supported by the FWO. The MABCS study is funded by the Research Centre for Genetic Engineering and Biotechnology "Georgi D. Efremov" and supported by the German Academic Exchange Program, DAAD. The MARIE study was supported by the Deutsche Krebshilfe e.V. [70-2892-BR I, 106332, 108253, 108419, 110826, 110828], the Hamburg Cancer Society, the German Cancer Research Center (DKFZ) and the Federal Ministry of Education and Research (BMBF) Germany [01KH0402]. MBCSG is supported by grants from the Italian Association for Cancer Research (AIRC) and by funds from the Italian citizens who allocated the 5/1000 share of their tax payment in support of the Fondazione IRCCS Istituto Nazionale Tumori, according to Italian laws (INT-Institutional strategic projects "5 × 1000"). The MCBCS was supported by the NIH grants CA192393, CA116167, CA176785 an NIH Specialized Program of Research Excellence (SPORE) in Breast Cancer [CA116201], and the Breast Cancer Research Foundation and a generous gift from the David F. and Margaret T. Grohne Family Foundation. MCCS cohort recruitment was funded by VicHealth and Cancer Council Victoria. The MCCS was further supported by Australian NHMRC grants 209057 and 396414, and by infrastructure provided by Cancer Council Victoria. Cases and their vital status were ascertained through the Victorian Cancer Registry (VCR) and the Australian Institute of Health and Welfare (AIHW), including the National Death Index and the Australian Cancer Database. The MEC was support by NIH grants CA63464, CA54281, CA098758, CA132839 and CA164973. The MISS study is supported by funding from ERC-2011-294576 Advanced grant, Swedish Cancer Society, Swedish Research Council, Local hospital funds, Berta Kamprad Foundation, Gunnar Nilsson. The MMHS study was supported by NIH grants CA97396, CA128931, CA116201, CA140286 and CA177150. MSKCC is supported by grants from the Breast Cancer Research Foundation and Robert and Kate Niehaus Clinical Cancer Genetics Initiative. The work of MTLGEBCS was supported by the Quebec Breast Cancer Foundation, the Canadian Institutes of Health Research for the "CIHR Team in Familial Risks of Breast Cancer" program – grant # CRN-87521 and the Ministry of Economic Development, Innovation and Export Trade – grant # PSR-SIIRI-701. The NBHS was supported by NIH grant R01CA100374. Biological sample preparation was conducted the Survey and Biospecimen Shared Resource, which is supported by P30 CA68485. The Northern California Breast Cancer Family Registry (NC-BCFR) and Ontario Familial Breast Cancer Registry (OFBCR) were supported by grant UM1 CA164920 from the National Cancer Institute (USA). The content of this manuscript does not necessarily reflect the views or policies of the National Cancer Institute or any of the collaborating centers in the Breast Cancer Family Registry (BCFR), nor does mention of trade names, commercial products, or organizations imply endorsement by the USA Government or the BCFR. The Carolina Breast Cancer Study was funded by Komen Foundation, the National Cancer Institute (P50 CA058223, U54 CA156733, U01 CA179715), and the North Carolina University Cancer Research Fund. The NHS was supported by NIH grants P01 CA87969, UM1 CA186107, and U19 CA148065. The NHS2 was supported by NIH grants UM1 CA176726 and U19 CA148065. The ORIGO study was supported by the Dutch Cancer Society (RUL 1997-1505) and the Biobanking and Biomolecular Resources Research Infrastructure (BBMRI-NL CP16). The PBCS was funded by Intramural Research Funds of the National Cancer Institute, Department of Health and Human Services, USA. Genotyping for PLCO was supported by the Intramural Research Program of the National Institutes of Health, NCI, Division of Cancer Epidemiology and Genetics. The PLCO is supported by the Intramural Research Program of the Division of Cancer Epidemiology and Genetics and supported by contracts from the Division of Cancer Prevention, National Cancer Institute, National Institutes of Health. The POSH study is funded by Cancer Research UK (grants C1275/A11699, C1275/C22524, C1275/A19187, C1275/A15956 and Breast Cancer Campaign 2010PR62, 2013PR044. PROCAS is funded from NIHR grant PGfAR 0707-10031. The RBCS was funded by the Dutch Cancer Society (DDHK 2004-3124, DDHK 2009-4318). SEARCH is funded by Cancer Research UK [C490/A10124, C490/A16561] and supported by the UK National Institute for Health Research Biomedical Research Centre at the University of Cambridge. The University of Cambridge has received salary support for PDPP from the NHS in the East of England through the Clinical Academic Reserve. The Sister Study (SISTER) is supported by the Intramural Research Program of the NIH, National Institute of Environmental Health Sciences (Z01-ES044005 and Z01-ES049033). The Two Sister Study (2SISTER) was supported by the Intramural Research Program of the NIH, National Institute of Environmental Health Sciences (Z01-ES044005 and Z01-ES102245), and, also by a grant from Susan G. Komen for the Cure, grant FAS0703856. SKKDKFZS is supported by the DKFZ. The SMC is funded by the Swedish Cancer Foundation and the Swedish Research Council [grant 2017-00644 for the Swedish Infrastructure for Medical Population-based Life-course Environmental Research (SIMPLER)]. The SZBCS is financially supported under the program of Minister of Science and Higher Education "Regional Initiative of Excellence" in years 2019-2022, Grant No 002/RID/2018/19. The TNBCC was supported by: a Specialized Program of Research Excellence (SPORE) in Breast Cancer (CA116201), a grant from the Breast Cancer Research Foundation, a generous gift from the David F. and Margaret T. Grohne Family Foundation. The UCIBCS component of this research was supported by the NIH [CA58860, CA92044] and the Lon V Smith Foundation [LVS39420]. The UKBGS is funded by Breast Cancer Now and the Institute of Cancer Research (ICR), London. ICR acknowledges NHS funding to the NIHR Biomedical Research Centre. The UKOPS study was funded by The Eve Appeal (The Oak Foundation) and supported by the National Institute for Health Research University College London Hospitals Biomedical Research Centre. The USRT Study was funded by Intramural Research Funds of the National Cancer Institute, Department of Health and Human Services, USA. CIMBA CIMBA: The CIMBA data management and data analysis were supported by Cancer Research – UK grants C12292/A20861, C12292/A11174. ACA is a Cancer Research -UK Senior Cancer Research Fellow. GCT and ABS are NHMRC Research Fellows. The PERSPECTIVE project was supported by the Government of Canada through Genome Canada and the Canadian Institutes of Health Research, the Ministry of Economy, Science and Innovation through Genome Québec, and The Quebec Breast Cancer Foundation. BCFR: UM1 CA164920 from the National Cancer Institute. The content of this manuscript does not necessarily reflect the views or policies of the National Cancer Institute or any of the collaborating centers in the Breast Cancer Family Registry (BCFR), nor does mention of trade names, commercial products, or organizations imply endorsement by the US Government or the BCFR. BFBOCC: Lithuania (BFBOCC-LT): Research Council of Lithuania grant SEN-18/2015 and Nr. P-MIP-19-164. BIDMC: Breast Cancer Research Foundation. BMBSA: Cancer Association of South Africa (PI Elizabeth J. van Rensburg). CNIO: Spanish Ministry of Health PI16/00440 supported by FEDER funds, the Spanish Ministry of Economy and Competitiveness (MINECO) SAF2014-57680-R and the Spanish Research Network on Rare diseases (CIBERER). COH-CCGCRN: Research reported in this publication was supported by the National Cancer Institute of the National Institutes of Health under grant number R25CA112486, and RC4CA153828 (PI: J. Weitzel) from the National Cancer Institute and the Office of the Director, National Institutes of Health. The content is solely the responsibility of the authors and does not necessarily represent the official views of the National Institutes of Health. CONSIT TEAM: Associazione Italiana Ricerca sul Cancro (AIRC; IG2014 no.15547) to P. Radice. Funds from Italian citizens who allocated the 5 × 1000 share of their tax payment in support of the Fondazione IRCCS Istituto Nazionale Tumori, according to Italian laws (INT-Institutional strategic projects '5 × 1000') to S. Manoukian. UNIROMA1: Italian Association for Cancer Research (AIRC; grant no. 21389) to L. Ottini. DFKZ: German Cancer Research Center. EMBRACE: Cancer Research UK Grants C1287/A10118 and C1287/A11990. D. Gareth Evans and Fiona Lalloo are supported by an NIHR grant to the Biomedical Research Centre, Manchester (IS-BRC-1215-20007). The Investigators at The Institute of Cancer Research and The Royal Marsden NHS Foundation Trust are supported by an NIHR grant to the Biomedical Research Centre at The Institute of Cancer Research and The Royal Marsden NHS Foundation Trust. Ros Eeles and Elizabeth Bancroft are supported by Cancer Research UK Grant C5047/A8385. Ros Eeles is also supported by NIHR support to the Biomedical Research Centre at The Institute of Cancer Research and The Royal Marsden NHS Foundation Trust. FCCC: NIH/NCI grant P30-CA006927. The University of Kansas Cancer Center (P30 CA168524) and the Kansas Bioscience Authority Eminent Scholar Program. A.K.G. was funded by R0 1CA140323, R01 CA214545, and by the Chancellors Distinguished Chair in Biomedical Sciences Professorship. Ana Vega is supported by the Spanish Health Research Foundation, Instituto de Salud Carlos III (ISCIII), partially supported by FEDER funds through Research Activity Intensification Program (contract grant numbers: INT15/00070, INT16/00154, INT17/00133), and through Centro de Investigación Biomédica en Red de Enferemdades Raras CIBERER (ACCI 2016: ER17P1AC7112/2018); Autonomous Government of Galicia (Consolidation and structuring program: IN607B), and by the Fundación Mutua Madrileña (call 2018). GC-HBOC: German Cancer Aid (grant no 110837, Rita K. Schmutzler) and the European Regional Development Fund and Free State of Saxony, Germany (LIFE - Leipzig Research Centre for Civilization Diseases, project numbers 713-241202, 713-241202, 14505/2470, 14575/2470). GEMO: Ligue Nationale Contre le Cancer; the Association "Le cancer du sein, parlons-en!" Award, the Canadian Institutes of Health Research for the "CIHR Team in Familial Risks of Breast Cancer" program, the French National Institute of Cancer (INCa) (grants AOR 01 082, 2013-1-BCB-01-ICH-1 and SHS-E-SP 18-015) and the Fondation ARC pour la recherche sur le cancer (grant PJA 20151203365). GEORGETOWN: the Survey, Recruitment and Biospecimen Shared Resource at Georgetown University (NIH/NCI grant P30-CA051008) and the Fisher Center for Hereditary Cancer and Clinical Genomics Research. HCSC: Spanish Ministry of Health PI15/00059, PI16/01292, and CB-161200301 CIBERONC from ISCIII (Spain), partially supported by European Regional Development FEDER funds. HEBCS: Helsinki University Hospital Research Fund, Academy of Finland (266528), the Finnish Cancer Society and the Sigrid Juselius Foundation. HEBON: the Dutch Cancer Society grants NKI1998-1854, NKI2004-3088, NKI2007-3756, the Netherlands Organization of Scientific Research grant NWO 91109024, the Pink Ribbon grants 110005 and 2014-187.WO76, the BBMRI grant NWO 184.021.007/CP46 and the Transcan grant JTC 2012 Cancer 12-054. HUNBOCS: Hungarian Research Grants KTIA-OTKA CK-80745 and NKFI_OTKA K-112228. HVH (University Hospital Vall d'Hebron) This work was supported by Spanish Instituto de Salud Carlos III (ISCIII) funding, an initiative of the Spanish Ministry of Economy and Innovation partially supported by European Regional Development FEDER Funds: FIS PI12/02585 and PI15/00355. ICO: The authors would like to particularly acknowledge the support of the Asociación Española Contra el Cáncer (AECC), the Instituto de Salud Carlos III (organismo adscrito al Ministerio de Economía y Competitividad) and "Fondo Europeo de Desarrollo Regional (FEDER), una manera de hacer Europa" (PI10/01422, PI13/00285, PIE13/00022, PI15/00854, PI16/00563, P18/01029, and CIBERONC) and the Institut Català de la Salut and Autonomous Government of Catalonia (2009SGR290, 2014SGR338, 2017SGR449, and PERIS Project MedPerCan), and CERCA program. IHCC: PBZ_KBN_122/P05/2004. ILUH: Icelandic Association "Walking for Breast Cancer Research" and by the Landspitali University Hospital Research Fund. INHERIT: Canadian Institutes of Health Research for the "CIHR Team in Familial Risks of Breast Cancer" program – grant # CRN-87521 and the Ministry of Economic Development, Innovation and Export Trade – grant # PSR-SIIRI-701. IOVHBOCS: Ministero della Salute and "5 × 1000" Istituto Oncologico Veneto grant. IPOBCS: Liga Portuguesa Contra o Cancro. kConFab: The National Breast Cancer Foundation, and previously by the National Health and Medical Research Council (NHMRC), the Queensland Cancer Fund, the Cancer Councils of New South Wales, Victoria, Tasmania and South Australia, and the Cancer Foundation of Western Australia. MAYO: NIH grants CA116167, CA192393 and CA176785, an NCI Specialized Program of Research Excellence (SPORE) in Breast Cancer (CA116201), and a grant from the Breast Cancer Research Foundation. MCGILL: Jewish General Hospital Weekend to End Breast Cancer, Quebec Ministry of Economic Development, Innovation and Export Trade. Marc Tischkowitz is supported by the funded by the European Union Seventh Framework Program (2007Y2013)/European Research Council (Grant No. 310018). MSKCC: the Breast Cancer Research Foundation, the Robert and Kate Niehaus Clinical Cancer Genetics Initiative, the Andrew Sabin Research Fund and a Cancer Center Support Grant/Core Grant (P30 CA008748). NCI: the Intramural Research Program of the US National Cancer Institute, NIH, and by support services contracts NO2-CP-11019-50, N02-CP-21013-63 and N02-CP-65504 with Westat, Inc, Rockville, MD. NNPIO: the Russian Foundation for Basic Research (grants 17-54-12007, 17-00-00171 and 18-515-45012). NRG Oncology: U10 CA180868, NRG SDMC grant U10 CA180822, NRG Administrative Office and the NRG Tissue Bank (CA 27469), the NRG Statistical and Data Center (CA 37517) and the Intramural Research Program, NCI. OSUCCG: was funded by the Ohio State University Comprehensive Cancer Center. PBCS: Italian Association of Cancer Research (AIRC) [IG 2013 N.14477] and Tuscany Institute for Tumors (ITT) grant 2014-2015-2016. SMC: the Israeli Cancer Association. SWE-BRCA: the Swedish Cancer Society. UCHICAGO: NCI Specialized Program of Research Excellence (SPORE) in Breast Cancer (CA125183), R01 CA142996, 1U01CA161032 and by the Ralph and Marion Falk Medical Research Trust, the Entertainment Industry Fund National Women's Cancer Research Alliance and the Breast Cancer research Foundation. UCSF: UCSF Cancer Risk Program and Helen Diller Family Comprehensive Cancer Center. UKFOCR: Cancer Researc h UK. UPENN: National Institutes of Health (NIH) (R01-CA102776 and R01-CA083855; Breast Cancer Research Foundation; Susan G. Komen Foundation for the cure, Basser Research Center for BRCA. UPITT/MWH: Hackers for Hope Pittsburgh. VFCTG: Victorian Cancer Agency, Cancer Australia, National Breast Cancer Foundation. WCP: Dr Karlan is funded by the American Cancer Society Early Detection Professorship (SIOP-06-258-01-COUN) and the National Center for Advancing Translational Sciences (NCATS), Grant UL1TR000124. ; Peer Reviewed
The Situation In The Middle East Report Of The Secretary-General On The Implementation Of Security Council Resolutions 2139 (2014), 2165 (2014), 2191 (2014), 2258 (2015), 2332 (2016) And 2393 (2017) ; United Nations S/PV.8206 Security Council Seventy-third year 8206th meeting Friday, 16 March 2018, 10 a.m. New York Provisional President: Mr. Van Oosterom. . (Netherlands) Members: Bolivia (Plurinational State of). . Mr. Inchauste Jordán China. . Mr. Ma Zhaoxu Côte d'Ivoire. . Mr. Tanoh-Boutchoue Equatorial Guinea. . Mr. Esono Mbengono Ethiopia. . Ms. Guadey France. . Mr. Delattre Kazakhstan. . Mr. Umarov Kuwait. . Mr. Alotaibi Peru. . Mr. Tenya Poland. . Ms. Wronecka Russian Federation. . Mr. Nebenzia Sweden . Mr. Skoog United Kingdom of Great Britain and Northern Ireland . Mr. Allen United States of America. . Mr. Miller Agenda The situation in the Middle East This record contains the text of speeches delivered in English and of the translation of speeches delivered in other languages. The final text will be printed in the Official Records of the Security Council. Corrections should be submitted to the original languages only. They should be incorporated in a copy of the record and sent under the signature of a member of the delegation concerned to the Chief of the Verbatim Reporting Service, room U-0506 (verbatimrecords@un.org). Corrected records will be reissued electronically on the Official Document System of the United Nations (http://documents.un.org). 18-07334 (E) *1807334* S/PV.8206 The situation in the Middle East 16/03/2018 2/10 18-07334 The meeting was called to order at 10.10 a.m. Adoption of the agenda The agenda was adopted. The situation in the Middle East The President: In accordance with rule 39 of the Council's provisional rules of procedure, I invite Mr. Staffan de Mistura, Special Envoy of the Secretary- General for Syria, to participate in this meeting. Mr. De Mistura is joining the meeting via video-teleconference from Brussels. The Security Council will now begin its consideration of the item on its agenda. Recalling the Security Council's latest note 507 on its working methods (S/2017/507), I wish to encourage all participants, both members and non-members of the Council, to deliver their statements in five minutes or less. Note 507 also encourages briefers to be succinct and to focus on key issues. Briefers are further encouraged to limit initial remarks to 15 minutes or less. I now give the floor to Mr. De Mistura. Mr. De Mistura: We have been constantly, around the clock, in touch with the Secretary-General, my colleagues in the field and all those with influence because, as the Security Council knows, many events, some of which are very worrisome, have taken place in the past few days. On 7 March, I briefed the Council in consultations on the status of the implementation of resolution 2401 (2018). At that time, I said that there had not been any sustained ceasefire or adequate humanitarian access at that stage. On 12 March, the Secretary-General himself orally reported to the Council on the implementation of resolution 2401 (2018) and United Nations efforts to create such conditions by using his own good offices or those of his own team, including ourselves (see S/PV.8201). The Secretary-General also underscored that it was incumbent on all the parties and on all those with influence in the Council, in the Astana process and in the broader International Syria Support Group to act on the resolution throughout Syria without delay. Allow me to update the Council on where we stand on the matter since then — that is, since the Secretary- General gave a very comprehensive report — on the very day after the sad anniversary of the beginning of the conflict. We are entering the eighth year. In everything that we are doing in the horrific conflict, our compass — and I know the Council feels the same — has been, is and should be the Syrian people, wherever they are, who are telling us that they are fed up with the conflict and the way in which civilians are being affected in the cross-fighting. That is our compass. So whatever we do these days and whatever we suggest, including our current facilitation role, is constantly framed by the urgent needs of ordinary civilians — women, children and men. Since the briefing by the Secretary-General, in the past few days further meetings have taken place between the Russian Federation and Jaysh Al-Islam on the outskirts of Douma, which is the northernmost of the three opposition-controlled enclaves in eastern Ghouta. The result of that engagement is a tenuous and fragile ceasefire between the Government, the Russian military and the Jaysh Al-Islam forces, which has now largely continued to hold for the sixth day. We hope that it will continue to do so, notwithstanding the engagement between Government forces and Jaysh Al-Islam in other areas outside Douma, such as the village of Reihan. In other words, the talks, the discussions and the ceasefire have been effected and implemented with Jaysh Al-Islam in Douma but not beyond. However, that is only one part of eastern Ghouta. For example, the ceasefire is not being replicated in the rest of eastern Ghouta or elsewhere, and it is extremely fragile. While I speak, I understand that at this very moment there are some delicate meetings taking place regarding the follow-up to the arrangement regarding Douma. Let us therefore hope that the ceasefire holds because that would be at least one good piece of news among very bad news. The United Nations has been practicably offering its good offices but efforts to facilitate meaningful contacts between the Russian Federation and Faylaq Al-Rahman or Ahrar Al-Sham have not yet produced results. They are dominant forces in the two other enclaves in eastern Ghouta — in Harasta and around Kafr Batna, Ayn Tarma, Arbin, Zamalka and Jobar, respectively. In those two other areas, we have not seen any ceasefire to speak of. Rather we have seen Government forces and their allies pursue a concerted escalation against those two enclaves with rapid ground offensives, accompanied by shelling and airstrikes. Reports of a public market in Kafr Batna having been 16/03/2018 The situation in the Middle East S/PV.8206 18-07334 3/10 hit are just coming in. Of course, we need to verify them, since they are new reports. Again, regrettably, there are numerous civilian casualties. We have also seen continuous shelling coming from those areas of eastern Ghouta inside civilian areas of Damascus again. We are also hearing from people inside eastern Ghouta, asking the United Nations, the Council and Member States with influence to pressure the armed opposition groups to let civilians leave and to pressure all parties for a ceasefire and protection for those who do not want to leave but want to stay. The bottom line of all this is that too many civilians are suffering and too many have died in that area. Let me first say that it need not be that way. Negotiations in Douma in the past few days show that there is a way to create the conditions to advance the implementation of resolution 2401 (2018). As we have done so far, the United Nations therefore stands ready to offer its good offices to all parties to facilitate further engagement of that kind so as to make a concrete contribution to the implementation of resolution 2401 (2018) in all areas of eastern Ghouta. The United Nations is not ready to facilitate ultimatums from either side. It stands ready to facilitate discussion, a ceasefire and evacuations. Meanwhile, violence has escalated across many other parts of Syria, where there is no ceasefire to speak of. In Afrin, the Turkish Government forces and their armed allies continue to gain ground rapidly. We have also received reports of shelling in besieged Fo'ah and Kafraya — two villages which, for a long time, have been held by the opposition. There have also been air strikes in Idlib and a new armed-opposition offensive in Hama. Clashes and air strikes have also occurred in Dar'a, southern Syria. If now is the time for de-escalation, the Security Council had better convince me that de-escalation is indeed taking place. What we see on the map looks like the opposite — escalation. Let me re-emphasize that resolution 2401 (2018) cannot be applied piecemeal. It is not an à la carte menu. It applies to all non-Security- Council-listed terrorist groups across Syria. Let me also reiterate the words of the Secretary-General who stated that even efforts to combat terrorist groups identified by the Council do not supersede obligations under international law. I am sure that members of the Council will have the opportunity to hear a briefing from Mr. Mark Lowcock. Meanwhile, since I have the opportunity to brief the Council today, let me provide some information about the humanitarian situation. On 13 March, the United Nations observed the evacuation of 147 civilians, including 10 critical medical cases — the majority of them women and children from Douma who sought shelter in rural Damascus. Based on the outcome of discussions and meetings between the Russian military and Jaysh al-Islam, facilitated by the United Nations, on 15 March, United Nations colleagues also delivered a convoy of food assistance to Douma for 26,100 people in need. Additional medical cases were also evacuated. Let us be honest and admit that positive efforts are generally welcome and long overdue, but remain limited. Civilians require much more, including medical and health-care supplies, the restoration of water, commercial access and freedom of movement. Members of the Council must have seen the report in which Mr. Peter Maurer, who had been meeting with some of the people in eastern Ghouta, stated they were simply asking for water. They just needed water. Humanitarian colleagues who entered those areas spoke of having seen hunger, dire want, poverty, haggard faces and despair all around. Even for experienced people, such as my own humanitarian colleagues, it is an unsustainable situation in which people are on the brink of collapse a few kilometres — 20 minutes' drive — from Damascus. Let me be clear, that is only in Douma — an area which has seen a few days of ceasefire and positive movement on humanitarian access. Can we imagine the situation elsewhere? In other words, in the other two enclaves of eastern Ghouta further south, we have seen no ceasefire to speak of and to borrow the words of the Secretary-General, people are still living in hell on Earth. Scores of people have been killed and the injured left unattended because health workers could not reach them due to the relentless air strikes. We have heard fresh allegations about the use of incendiary weapons in various urban areas and the targeting of medical facilities since 12 March, as well as new and disturbing allegations of chlorine use in those areas. As the Secretary-General has stated, we cannot independently verify those allegations but we also cannot and should not ignore them. We have also received reports of thousands of people displaced, some moving further into eastern Ghouta and many others exiting en masse in large groups, as a result of the advances of the Syrian Government in Hama, Noria and in Saqba. S/PV.8206 The situation in the Middle East 16/03/2018 4/10 18-07334 Evacuations not observed by the United Nations are also reported to have taken place, including from Misraba and other areas. The United Nations was not present to observe those evacuations and is unable to know the precise number of them. We urge parties that all evacuations must take place in accordance with the highest protection standards under international humanitarian law and international human rights law. Whether civilians choose to stay or leave, they must be protected against attacks and have access to the essentials to survive. They must be safe and voluntarily enter a place of their of choosing. The United Nations stands ready to provide assistance to people in need — those who choose to stay and those who want to leave. We are also extremely concerned about the plight of civilians throughout Syria. They include the displaced, as well as almost 3 million in besieged and hard-to-reach areas and those caught up in escalations in Idlib, Hama, Aleppo and Dar'a. Resolution 2401 (2018) demands that all parties immediately lift the sieges of populated areas. To date, that has not occurred. According to my colleagues, the situation in Afrin is particularly worrying. We have received reports of tens of thousands of people displaced within Afrin and to nearby Tell Rifaat and surrounding villages, Nubul and Zahra, and other areas of Aleppo governorate. The United Nations has also received reports of civilian casualties and restrictions on movement for many of the large numbers of civilians seeking to leave the city. I urge all parties to ensure that civilians seeking to leave Afrin be given safe passage. Since 6 March, it has been reported that people in Afrin city have suffered from severe water shortages as its source of water has been damaged by the fighting. Allow me to add a point of particular importance that was revealed in a recent report. The safety of Syrian women in particular is threatened when they are evacuated following the lifting of a siege or end of a battle. Threats include widespread sexual and gender-based violence, which has been widely documented and mentioned by women's groups. The protection and needs of women must be at the forefront of our response. With regard to a separate humanitarian issue, on 14 March my technical team participated in the first meeting of the Working Group on detainees and missing persons that took place in Astana. We pressed the Astana guarantors at that meeting and before to make progress on the crucial issue, which to us, is one of the main reasons we attend meetings in Astana. It is an issue that has been at the forefront of our concerns. We have offered to host a standing secretariat so that information on detainees can be distributed in all meetings of the Working Group. Thus far, the guarantors have simply agreed to consider our proposal about a standing secretariat in Geneva to monitor the issue of detainees, but no final decision has been taken. We will intensify our contact with them and the parties in order to accelerate work on that important — frankly, crucial — humanitarian issue. We should remind ourselves that the issue of detainees and missing persons was first raised in Astana a year ago and, sadly, no concrete progress has been made so far. We owe it to the Syrian families on all sides who have long been awaiting word on the fate of their relatives. Although the logic of war clearly still prevails and resolution 2401 (2018) is not being implemented as it should be, as the Secretary-General stated, we absolutely refuse to give up hope of seeing Syria rising from the ashes. The Syrian people deserve to be helped. The Syrian people are proud. They love their country. We need to help them to go back to having a normal country. There too, it is with the people of Syria in mind and their legitimate aspirations for the long-term shape of their country that we continue our political efforts — in spite of what we see on the ground — for a sustainable settlement of the conflict. And there too, the voices of women across Syria conveying their wish to play a meaningful role — just as with our own civil society — in the next stage of the political process must be heard. Therefore, my team and I have continued to consult, in the context of the political side, widely and intensively on the formation of the constitutional committee in Geneva in an effort to advance the full and complete implementation of resolution 2254 (2015) within the framework of the United Nations-facilitated political process in Geneva. To this end, we seek to leverage the momentum produced by the Sochi final declaration, which emphasizes the fact that we should have a constitutional committee in Geneva with the assistance of the United Nations. We take note, therefore, of the statement issued — today, I believe — by the Astana guarantors in their own ministerial meeting, in which they reaffirmed that "the results of the Sochi Congress, especially to form the constitutional committee and to facilitate the 16/03/2018 The situation in the Middle East S/PV.8206 18-07334 5/10 beginning of its work in Geneva with the assistance of the United Nations Secretary-General's Special Envoy for Syria as soon as possible." However, I have to be frank. I must report that at this stage — more than two weeks beyond one month since the National Dialogue Congress in Sochi — we have not yet received the complete inputs on the pool of candidates for a constitutional committee developed in Sochi, from the three guarantors. It is my intention, in close consultations with all concerned, to look carefully at this pool when we receive it, and at others as required and consistent with resolution 2254 (2015), to facilitate the establishment of the constitutional committee. I must also report, once again, that there is still some serious homework to be done regarding the Syrian Government's readiness to engage on implementing the Sochi final declaration and moving forward with a constitutional committee in Geneva. I have impressed that on the relevant guarantors repeatedly in recent weeks, just as I continue to make clear the readiness of the United Nations to engage the Government of Syria on this matter. We need them to be part of it. We need to have the comprehensive participation of all Syrian parties. In the meantime, we have been proactive in offering creative suggestions as to how to expedite the formation of that constitutional committee. We continue to assess various options on how to advance discussions on all four baskets of the political process in Geneva. In particular, it is clear that there must be more and serious talks with the Government, the opposition and all Syrian and international stakeholders on what is required in order to establish a secure, calm, neutral environment, as per resolution 2254 (2015), in which a constitutional process and United Nations-supervised presidential and parliamentary elections, pursuant to a new constitution, could viably take place. We remained determined to engage all parties. As I said in my most recent briefing, a month ago (see S/PV.8181), conflict is increasingly spilling over Syria's borders, or at least risks doing so. This month we have further incidents of potential and real international confrontation within Syria that we cannot independently verify, but which concern us. That is precisely we need urgent action on the political front. Syrians need to see some positive movement on the political process. On Monday I will be attending a meeting of European Union (EU) Foreign Ministers here in Brussels. On Tuesday, I should be back in Geneva. I will attend the meeting at the invitation of High Representative Mogherini, in the context of the preparatory efforts of the EU and the United Nations for their joint ministerial conference in Brussels at the end of April. I hope that the Conference will provide a significant opportunity to bolster international support for the Syrian people though humanitarian commitments. I also hope that the gathering of a significant number of Foreign Ministers will also provide an opportunity to reinvigorate the collective efforts of the international community towards a sustainable peace through the United Nations-led peace process in Geneva, within the framework of resolution 2254 (2015) and other relevant resolutions. In conclusion, I urge caution. We must recognize that we are witnessing developments of the utmost gravity on the ground. These events demand action, and the world is worried and watching. I remain concerned that concrete matters that we have been trying to advance — resolution 2401 (2018), detainees and a constitutional committee — need to move faster and with more meaningful impact than has so far proven possible. And de-escalation must replace what we are watching at the moment — a clear tendency towards escalation. I will continue, creatively and determinedly, to seek to facilitate the overall political process. As the Secretary-General said on Monday, the ultimate goal is to help the Syrians and to "see a united, democratic Syria able to avoid fragmentation and sectarianism and with its sovereignty and territorial integrity respected, and to see a Syrian people able to freely decide their future and choose their political leadership." (S/PV.8201, p. 5) The President: I thank Mr. De Mistura for his briefing. I now give the floor to those Council members who wish to make statements. Mr. Tenya (Peru) (spoke in Spanish): We thank you, Sir, for convening this meeting and Mr. De Mistura for his briefing. We are grateful for his tireless and important efforts. We agree that the continuation of the conflict and the regrettable humanitarian situation in Syria undermines the prospects of making political S/PV.8206 The situation in the Middle East 16/03/2018 6/10 18-07334 progress. The unpunished lack of compliance with international law, international humanitarian law and Security Council resolutions erode the needed trust for sustainable peacebuilding. While we express our deep sympathy and solidarity with the victims, we would like at the same time to indicate our concern over the impact of the Syrian conflict on regional stability, the Council's credibility and the functioning of an rules-based international system. More specifically, the international community is awaiting an immediate ceasefire throughout Syria, full access to the needed humanitarian assistance, the attainment of a political agreement that could bring about sustainable peace in Syria, and accountability for the heinous crimes committed, including the use of chemical weapons. There can be no more excuses and no more delays. The humanitarian ceasefire, as stipulated in resolution 2401 (2018), must be implemented immediately in eastern Ghouta, Idlib, Afrin, Raqqa, Rukban and throughout Syria. All parties should commit to resolving the conflict peacefully, in accordance with resolution 2254 (2015) and the Geneva communiqué (S/2012/522, annex). That will require the constructive participation of the Syrian Government and the opposition groups in establishing a constitutional committee, as agreed in Sochi. We believe that a new constitution must be drafted to lay the political and institutional groundwork for sustainable peace in Syria. The Syrian Government and all parties to the conflict must rise to the occasion in confronting the gravity of the situation, prevent its further deterioration and escalation, and fulfil their obligations and responsibilities. The Astana guarantors must also meet expectations in terms of the special responsibility entailed by their influence and involvement on the ground. Yesterday's meeting in Astana and the meeting to be held in Istanbul in early April must yield concrete outcomes, including in the matter of those detained and missing. As a member of the Council, Peru believes that its own responsibility vis-à-vis the tragic humanitarian situation in Syria entails requiring all parties involved in the conflict, especially those with greater ability to influence events on the ground, to comply with international law and international humanitarian law. Peru places priority on the protection of civilians, in particular women and children, and stresses the importance of maintaining the unity of the Council concerning this and all other conflicts and humanitarian crises, wherever they might arise. In conclusion, we convey our support for Mr. De Mistura's work to encourage dialogue among the Syrian opposition groups that have expressed their willingness to comply with the ceasefire and expel terrorists from eastern Ghouta and other parties to the Syrian conflict. Mr. Esono Mbengono (Equatorial Guinea) (spoke in Spanish): We appreciate the initiative of convening this meeting owing to the gravity of the situation on the ground. We also thank the Special Envoy of the Secretary-General for Syria, Mr. De Mistura, for his informative briefing. As we continue to seek a solution to the tragic humanitarian situation throughout the country, it is also important to continue pursuing political efforts. We all believe that there is no military solution to the Syrian issue. The international community must continue to support and encourage the intra-Syrian negotiations and impress upon all parties that it is only by sitting around the negotiating table and engaging in frank, direct and inclusive dialogue that a solution can be reached that addresses everyone's concerns. In such a process, we must ensure that the sovereignty and unity of Syria are respected. We support the United Nations in its mission as a mediator in finding a political solution to the Syrian issue, pursuant to resolution 2254 (2015). It is imperative to relaunch negotiations in Geneva and all other peace initiatives, including those in Astana and Sochi, which must lead to the resumption of negotiations in Geneva. The final outcome must ensure the well-being of the Syrian people. Consolidating a political process in Syria will be difficult without eradicating terrorism. The international community must also demonstrate its unfaltering unity by joining forces and following the same criteria to combat the various terrorist organizations operating in Syria. Mr. Umarov (Kazakhstan): We thank Special Envoy De Mistura for his update. The humanitarian situation in Syria remains dire. We echo the United Nations call on all parties to facilitate a ceasefire and unconditional, unimpeded and sustained access to all people in need throughout the country, pursuant to resolution 2401 (2018). It is also vital to take the measures necessary to protect civilians 16/03/2018 The situation in the Middle East S/PV.8206 18-07334 7/10 and civilian infrastructure, including schools and medical facilities, as required under international law and human rights standards. As members of the Security Council are aware, the guarantor States of the agreement on the cessation of hostilities adopted a joint statement on the settlement of the conflict and its future direction at the meeting of Foreign Ministers on 16 March in Astana. Kazakhstan remains committed to bringing peace to Syria. The situation is not simple, but nevertheless we cannot give up. Kazakhstan has taken the following positions. First, we do not believe in a military solution, for that would only aggravate an already difficult situation. We need serious compromises from every side. Any conflict — even the most serious — ends with negotiations, and we must strive to achieve the goal of bringing peace to Syria. We know of many fine examples in which conflicting parties in many other countries have come together despite difficult negotiations so as to find common prosperity for their peoples. Secondly, Kazakhstan calls on the Syrian Government and opposition parties to immediately begin substantive talks on the entire spectrum of issues. Astana does not anticipate any political or international miracles, yet sees great promise in a collective and pragmatic approach. Kazakhstan, for its part, is deeply committed to ending the intense suffering, which has lasted for eight long years. We all know that today Syria is undergoing a significant challenge that must not lead to a deadlock, but offer new opportunities to pave the way to a peaceful and lasting political settlement to the crisis. We hope that the forthcoming ninth round of talks, to be held in Astana in May, will offer an opportunity to end the war. In that regard, we will urge the guarantors and Syrian parties to overcome their differences through dialogue and reach a final agreement covering every aspect of the issue. Mr. Tanoh-Boutchoue (Côte D'Ivoire) (spoke in French): Côte d'Ivoire thanks Mr. De Mistura, Special Envoy of the Secretary-General for Syria, for his briefing on the latest developments in the political process and the situation in the country, and for his work to find a solution to the ongoing crisis. The Ivorian delegation remains concerned about the upsurge in fighting, which with every passing day further distances us from finding a peaceful settlement through political negotiations. Despite the efforts of the international community to establish a ceasefire, we continue to witness indiscriminate attacks and bombardments in eastern Ghouta and other areas in Syria, thereby resulting in a large number of casualties among civilians and the destruction of important infrastructure. My country therefore calls once again for an immediate cessation of hostilities and urges the international community to work together towards the effective implementation of resolution 2401 (2018). That resolution, which was unanimously adopted by the Security Council, calls for establishing a humanitarian cessation of hostilities of at least 30 days so as to allow for the safe, lasting and unhindered access of humanitarian convoys to deliver essential supplies to the people of eastern Ghouta and other areas in Syria. Should it be implemented, such a temporary cessation of hostilities could not only alleviate the suffering of millions of people living in distress and hopelessness, but also allow for the resumption of political talks among Syrian parties in a peaceful environment. In that regard, Côte d'Ivoire hopes that the Astana meeting will lead to a lasting ceasefire, improve the humanitarian situation and establish the conditions for advancing the political process. My country welcomes all initiatives aimed at reviving the inter-Syrian dialogue and encourages Mr. De Mistura to continue undertaking, within the framework of the Geneva process, the steps needed to set up the committee responsible for drafting Syria's new constitution, as agreed at the meeting in Sochi in the Russian Federation. In conclusion, my delegation urges the Syrian parties to give priority to dialogue, which is the only way to advance the political process with a view to a definitive end to the crisis, in accordance with the road map laid out by resolution 2254 (2015). That is Côte d'Ivoire's profound conviction and it is in the interests of the Syrian people. Mr. Inchauste Jordán (Plurinational States of Bolivia) (spoke in Spanish): We appreciate the briefing given by the Special Envoy of the Secretary-General for Syria, Mr. Staffan de Mistura, to whom we reiterate our support in the discharge of his duties. As on previous occasions, my delegation wishes to express its support for the various meetings held in S/PV.8206 The situation in the Middle East 16/03/2018 8/10 18-07334 different contexts and at different levels, which have allowed for the creation of de-escalation zones, the cessation of hostilities and humanitarian access. At the same time, we remain converned over the urgent need to advance in a political process that will help to resolve the conflict in Syria so that the people can return to peace. That is why we again highlight the commitments made at the Syrian National Dialogue Congress, held in Sochi on 30 January. It focused on strengthening the political process led by the United Nations within the framework of resolution 2254 (2015), particularly through the drafting of a new constitution by a constitutional committee, which we believe should be representative and neutral. We underscore in particular that the mandate, terms of reference, powers, rules of procedure and selection criteria for the composition of the committee must be agreed in the United Nations-supported talks held in Geneva. In that regard, we firmly believe that the principles agreed at the Sochi Congress will lead to a strong commitment on the part of the parties to respecting the unity, sovereignty and territorial integrity of Syria, in the context of its right to choose its own political, economic and social systems, without pressure or foreign interference. We are certain that the political process will resume as a result of those dialogues. However, and despite the advances in the political arena, we remain concerned over the critical situation of the Syrian people. In that regard, we welcome the holding of the Astana meeting and its outcome, and we hope that those political agreements will be reflected on the ground. We also express our greatest hopes for the success of the summit to be held shortly among high-level representatives of Turkey, Iran and Russia. We hope that it will serve to reaffirm the Astana agreements and de-escalation zones with a view to reducing violence and addressing the needs of families of detained, kidnapped and disappeared persons. Once again, the Council has the challenge of remaining united and calling on the parties involved to join forces and maintain the impetus of the Astana talks and the political process in Sochi, among others, the outcomes of which, we reiterate, must strengthen the political process in Geneva. We hope that those forums for dialogue will promote points of convergence and consensus in order to reduce violence and allow the humanitarian access that is so necessary, not only for the safe and dignified return of refugees and internally displaced persons, but also to achieve sustainable peace in Syria. To that end, it is crucial for the parties to demonstrate their willingness to seek a settlement to the conflict, which has persisted for more than 8 years. We again call on all parties involved to effectively implement resolution 2401 (2018) throughout the entire Syrian territory in order to achieve unrestricted humanitarian access and permit the necessary urgent medical evacuations. We reject any attempt at fragmentation or sectarianism in Syria, and believe that the Syrian people must be able to freely decide their future and political leadership within the framework of their sovereignty and territorial integrity. In that regard, we reiterate that the only way to resolve the conflict is through an inclusive, negotiated and concerted political process, led by the Syrian people for the Syrian people, which will enable a peaceful solution for all parties involved. The President: In accordance with rule 37 of the Council's provisional rules of procedure, I invite the representative of the Syrian Arab Republic to participate in this meeting. I wish to again remind all speakers to limit their statements to no more than five minutes in order to enable to Council to carry out its work expeditiously. Mr. Ja'afari (Syria) (spoke in Arabic): On 12 March (see S/PV.8201), I informed the members of the Security Council of a number of measures undertaken by the Syrian Government to alleviate the suffering of Syrians throughout my country caused by armed terrorist groups. Today, I assure those present once again that the Government of Syria is indeed most keen to save the lives of its citizens and continues to take all necessary measures to ensure their safety and security. In line with those efforts, the Government of Syria opened the new secure corridor in Hamouriyah village, which was liberated from terrorists yesterday in eastern Ghouta. Its aim is to assist the evacuation of civilians who are being used as human shields by terrorist groups. Just yesterday, Thursday, 15 March, more than 40,000 civilians exited eastern Ghouta through the new additional corridor. They went to the Syrian Government, which coordinated with the Syrian Red Crescent, to facilitate their safe transportation to temporary shelters that are equipped with all the necessary resources. They were not transferred to camps, or tents. The Syrian Army, in coordination with 16/03/2018 The situation in the Middle East S/PV.8206 18-07334 9/10 the Russian Reconciliation Centre for Syria, has opened a total of three corridors in Hamouriyah, Jisreen and Wafideen. Yesterday, the Government of Syria also allowed the entry of a joint assistance convoy of the Red Crescent, the Red Cross and the United Nations, made up of 25 trucks carrying 340 tons of various medical and nutritional supplies. The Syrian Government will continue to allow the passage of such convoys, security conditions permitting. In return for all those efforts undertaken by the Government of Syria to protect its citizens, the armed terrorist groups — upon direct instructions from the Governments of the States supporting them — continue to use civilians as human shields in eastern Ghouta and prevent them from using the corridors as they target them with bullets and missiles. It is quite strange that the Government of Syria is shouldering the huge responsibility of implementing resolution 2401 (2018) and responding to the needs of civilians exiting the inferno of terror in the eastern Ghouta, while the United Nations agencies working in Damascus, including the Office for the Coordination of Humanitarian Affairs, and Governments of other countries that are lamenting the destiny of our civilian population have done nothing materially or morally to alleviate the suffering of tens of thousands of people who have escaped from terrorism. One hundred thousand civilians were displaced in Afrin and around 100,000 fled eastern Ghouta —— a total of almost 200,000 civilians — yet no one has provided them with help. Some States members of the Security Council are abusing the work of the Council in launching campaigns to defame and spread misinformation about the Government of Syria, especially with respect to the unofficial Arria Formula meeting that the Council held on 12 March. However, I recall that the United Nations is an Organization of Governments and not a theatre for the display of power, and that giving the opportunity to terrorist groups, including the so called White Helmets affiliated with the Al-Nusra Front, to use the platform of the Security Council represents a gross violation of Security Council resolutions, especially those on combating terrorism. The biggest scandal is that one of the United Nations agencies working in Damascus has asked for the transfer of 76 White Helmets out of eastern Ghouta. It does not care about the tens of thousands of civilians but it cares about 76 White Helmet terrorists. If the Security Council really wants to know about what is happening in Syria, it should ask some of our people who are still living in the city of Raqqa to talk before the Council about the scandals perpetrated against civilians by the outlaw coalition, and its extreme respect for international law after it completely destroyed their city. The coalition has committed the most terrible massacres against civilians, provided protection to 4,000 terrorists affiliated with Da'esh, and facilitated their exit from the city of Raqqa in order to use them somewhere else in Syria. The city of Raqqa is to us what Dresden is to Germany. The Security Council should also ask to hear from some of our people in Afrin, who could tell its members about the ideal implementation of the provisions of international humanitarian law and resolution 2401 (2018) by the invading Turkish forces that have perpetrated terrible massacres against civilians and displaced tens of thousands of them. The Council should also ask some foreign terrorist fighters who have returned to their countries to explain in an open meeting of the Security Council how the Governments of their countries were actually involved in their recruitment, training and financing and how they provided them with arms and sent them to Syria to commit massacres against the Syrian people. The problem is, however, that these fighters have been recycled, renamed and rebranded as the moderate opposition in Syria. The Security Council should also ask some of our people who have left eastern Ghouta over the past few days to talk about the terrorist practices of Jaysh Al-Islam, Faylaq Al-Rahman and Ahrar Al-Sham, the three groups that have been called the moderate Syrian opposition by the United States, France, Britain and their agents in the Gulf Sheikhdoms, and to talk in particular about how those groups kill anyone who tries to get out. They have seized all forms of humanitarian and medical assistance and sold it at very high prices. The Council should also ask some of our people from Fo'ah and Kafraya to talk about their years of suffering in the ongoing oppressive siege there, which has been conducted by Al-Nusra Front with direct assistance from Turkey and Qatar. However, it seems that those defenders of humanity have no ears and tongues to listen about the suffering of those civilians and talk about it. If Western countries in the Security Council were one part in a thousand as sincere as the Russian Federation in their assertions that they really care about the Syrian people and respect the provisions S/PV.8206 The situation in the Middle East 16/03/2018 10/10 18-07334 of the international law, the purposes and principles of the Charter and the Security Council resolutions, particularly those pertaining to combating terrorism, then terrorism would not have emerged in Syria and in other countries. No civilian would have suffered in eastern Ghouta or in eastern Aleppo or in the old city of Homs, Raqqa or any other Syrian city. Those Western countries have invested in terrorism to bring down Iraq, Libya and Yemen. Now, they have also invested in terrorism in Syria and that investment has failed. It is as if these countries were saying that, given a choice between supporting the demons of terrorism, on one the hand, and the Syrian State, on the other, they, the sponsors of terrorism, would choose the demons. In conclusion, the Government of my country reiterates its principled position that the solution to the Syrian crisis is a political one, based on an intra-Syrian dialogue led by Syria without any foreign interference or preconditions. I have spent hours and hours in negotiations with Mr. De Mistura on those very words in resolution 2254 (2015). I remind Council members that the success of the political track and the tangible enhancement of the humanitarian situation will depend primarily on creating an environment conducive to international and regional commitment to seriously fighting terrorism in Syria and freeing the process from politicization. The President: There are no more names inscribed on the list of speakers. I now invite Council members to informal consultations to continue our discussion on the subject. The meeting rose at 11.05 a.m.
La presente tesi affronta il tema della modulazione degli effetti delle sentenze di accoglimento della Corte costituzionale intrecciandolo con l'analisi dell'esperienza tedesca delle Unvereinbarkeitserklärungen, le quali costituiscono lo strumento privilegiato con cui il Bundesverfassungsgericht modula nel tempo gli effetti della declaratoria di incostituzionalità. L'analisi congiunta del modello italiano e tedesco consente di valutare sotto un diverso angolo prospettico la questione relativa ai limiti dell'efficacia retroattiva delle sentenze di accoglimento, la quale ha interessato l'attività della Consulta sin dai primissimi anni della sua attività. Nel primo capitolo della tesi verrà analizzata la disciplina relativa agli effetti delle sentenze di accoglimento, ragionando in particolar modo sul principio di retroattività che presidia la declaratoria di incostituzionalità; nel secondo capitolo, verrà dedicato ampio spazio alla prassi temporalmente manipolativa della Corte costituzionale, evidenziandone le esigenze sottese e i relativi nodi problematici. Il terzo capitolo ospiterà una ricognizione delle decisioni di incompatibilità tedesche: l'analisi, che prenderà le mosse da una riflessione sul dogma della nullità e dell'annullabilità della norma incostituzionale, interesserà non solo le ragioni che conducono il Bundesverfassungsgericht a scindere il momento dell'accertamento da quello della declaratoria dell'incostituzionalità, ma anche gli effetti che si ricollegano alle diverse varianti decisionali delle Unvereinbarkeitserklärungen. Infine, l'ultimo capitolo sarà dedicato ad un raffronto tra l'esperienza temporalmente italiana e quella tedesca: esso si strutturerà principalmente intorno al profilo relativo al rapporto tra Giudice costituzionale e legislatore, ovverosia il perno intorno al quale si muove (o, meglio, dovrebbe muoversi) la giurisprudenza temporalmente manipolativa. ; The present thesis deals with the issue of modulating the effects of the sentences of the Constitutional Court by intertwining it with the analysis of the German experience of the Unvereinbarkeitserklärungen, which constitute the privileged temporally manipulative instrument with which the Bundesverfassungsgericht modulates over time the effects of the declaration of unconstitutionality. The analysis of German and Italian constitutional justice makes it possible to assess under a different perspective angle the question concerning the limits of the retroactive effectiveness of the declaration of unconstitutionality, which has affected the activity of the Corte Costituzionale since the very first years of its activity. If in the first chapter of the thesis the discipline relative to the effects of the sentences of unconstitutionality will be analyzed, reasoning in particular on the principle of retroactivity which oversees the declaration of unconstitutionality itself, in the second chapter ample space will be dedicated to the temporally modulative practice of the Constitutional Court, highlighting the underlying needs as well as the related problem areas. The third chapter is devoted to the study of the German incompatibility decisions. The analysis, which starts from a reflection on the dogma of nullity and the annulment of the unconstitutional rule, concerns not only the reasons that lead the Bundesverfassungsgericht to split the moment of assessment from that of the declaration of unconstitutionality, but also the effects that relate to the different decision-making variants of the Unvereinbarkeitserklärungen. Finally, the last chapter is devoted to a comparison between the temporally modulative Italian and German experience: it will be structured mainly around the profile relative to the relationship between the constitutional judge and the legislator, which constitutes the pivot around which the temporally modulative case-law moves (or, better, should move). ; In dieser Doktorarbeit wird das Thema der Handhabung der Rechtswirkungen im Verlauf der Zeit der vom Verfassungsgerichts getroffenen Annahmeurteile (die "sentenze di accoglimento") mit besonderer Beachtung der Steuerung der zeitlichen Rechtswirkungen durch das Bundesverfassungsgericht untersucht. Vor der Erläuterung des Inhalts dieser Doktorarbeit erscheint es mehr als notwendig, einleitend kurz die Gründe für diese Überlegung zur deutschen Praxis hervorzuheben. In diesem Sinn ist die Behauptung des Verfassungsrichters Lattanzi zur Rechtsprechung im aktuellen Fall "Cappato" von großer Bedeutung: Es geht hier im Wesentlichen um die Ähnlichkeit des Typs der vom Verfassungsgericht getroffenen Entscheidung mit dem der deutschen Unvereinbarkeitsentscheidungen, die Hauptthema dieser Untersuchung sind, und zwar nicht nur, da diese einen zeitlichen Aufschub der Rechtswirkungen der Verfassungswidrigkeitserklärung (wenn auch auf eine ganz eigne Art) verfügen, sondern auch weil sie, wie in der deutschen Rechtslehre bestätigt, ein wichtiges Mittel zur Untersuchung der Beziehungen zwischen Verfassungsgericht und Gesetzgeber darstellen. Auf der Ebene der Rechtslehre stellen die deutschen Unvereinbarkeitserklärungen den Gegenstand eines erneuten Interesses heute und sorgfältiger Untersuchungen in der Vergangenheit dar: In diesem Sinn ist das Studienseminar über die Modulation der Rechtswirkungen der von demselben Verfassungsgericht gefassten Annahmesprüche, bei denen die maßgebliche Rechtslehre die typischen Merkmale der Unvereinbarkeitsentscheidungen untersuchte, um eine mögliche Übertragung in die Sammlung der Entscheidungshilfen des Verfassungsgerichts zu erwägen, von Bedeutung. Bei jener Gelegenheit wurden viele Probleme eines solchen Entscheidungstyps vorgebracht: Insbesondere betrafen diese erstens die Schwierigkeit, ihre konkreten Rechtswirkungen zu erkennen, zweitens die Schwierigkeit, ihr in dem untätigen italienischen Parlament Folge zu leisten und drittens die abweichende Rolle, die das Bundesverfassungsgericht innerhalb der deutschen Regierungsform innehat. Es handelt sich um drei im letzten Teil dieser Doktorarbeit untersuchte Punkte, die in der Tat nicht wenige Probleme aufwerfen, vor allem angesichts der Aufnahme durch das Verfassungsgericht einiger Urteile, die unter verschiedenen Aspekten den deutschen Unvereinbarkeitserklärungen ähneln. Dabei handelt es sich insbesondere um die Urteile Nr. 243 von 1993, Nr. 170 von 2014, Nr. 10 von 2015 und Nr. 207 von 2018. Ein enger Vergleich mit der Ratio und den Problempunkten der deutschen Unvereinbarkeitserklärungen ist somit nützlich, nicht nur, um deren möglichen Chancen in der italienischen Verfassungsrechtsprechung zu erwägen, sondern auch, um eine noch offene Frage zu erörtern, die das Verfassungsgericht seit Anbeginn ihrer Tätigkeit als Hüter des Grundgesetzes betrifft. Nach dieser Einleitung wird im ersten Kapitel der Doktorarbeit die gesetzliche Regelung der Rechtswirkungen der Annahmeurteile untersucht; das zweite Kapitel ist der Analyse der zeitlich handhabenden Praxis des Verfassungsgerichts gewidmet. Das dritte Kapitel ist der deutschen Praxis der Unvereinbarkeitserklärungen gewidmet, während im vierten Kapitel die wichtigsten Punkte der Vergleichsstudie zwischen der zeitlich steuernden italienischen und der deutschen Praxis behandelt werden. Die Wahl eines solchen Aufbaus erklärt sich angesichts der Möglichkeit einer Analyse ex ante der mit der Handhabung der Rechtswirkungen der Annahmeurteile verbundenen Problempunkte, um dann das Verständnis ex post der Gründe, die diese Doktorarbeit zu einer Untersuchung der "flexiblen" Rechtsprechung des Bundesverfassungsgerichts geführt haben, zu erleichtern. Im letzten Kapitel schließlich wird versucht, einige Aspekte, die mit den heutigen Schwierigkeiten der zeitlich steuernden Rechtsprechung der Verfassungsgerichte zu tun haben, nach der Logik von Ähnlichkeit und Gegensatz hervorzuheben, darunter insbesondere die Beziehung zwischen Verfassungsorgan und Legislativorgan. Das erste Kapitel ist vollkommen der Regelung der Rechtswirkungen der Annahmeurteile gewidmet, die, wie bereits angedeutet durch Art. 136 des ital. GG, Art. 1 des ital. Verfassungsgesetzes Nr. 1 von 1948 und Art. 30, 3. Abs. des ital. Gesetzes L. Nr. 87 von 1953 vorgegeben sind. Das Kapitel ist in acht Abschnitte unterteilt, die teilweise auf den Entscheidungstyp der Unvereinbarkeitserklärungen Bezug nehmen. Der 1. Abschnitt (Rückkehr zu Kelsen zur Neuentdeckung möglicher, vom Verfassungsgericht umsetzbarer Perspektiven: Die Handhabung der Rechtswirkungen der Annahmeurteile im Verlauf der Zeit und die Beziehung zum Gesetzgeber) ist einführend der These Kelsens hinsichtlich der Beziehung zwischen Verfassungsgericht und Gesetzgeber gewidmet, in Anbetracht der Tatsache, dass, wie im letzten Kapitel erläutert, gerade die Rückkehr zum Ursprung und somit zur Lehre Kelsens bezüglich der Wirkung der Verfassungswidrigkeitserklärung in dieser Doktorarbeit (mit der erforderlichen Vorsicht) als wünschenswert angesehen wird. Während im 2. Abschnitt (Der heutige Stand: ein "flexibles" Verfassungsgericht, fern vom ursprünglichen Gerüst der Rechtswirkungen der Annahmeurteile) eine zum Teil die Erläuterungen des zweiten Kapitels vorwegnehmende Überlegung zu einem Verfassungsgericht, das "fern" vom ursprünglichen Gerüst der Rechtswirkungen der Annahmeurteile ist, wird im 3. Abschnitt (Die Regelung der Rechtswirkungen der Annahmeurteile: Grundgedanken des Art. 136 ital. GG der verfassungsgebenden Versammlung. Einige Anregungen zur zeitlich handhabenden deutschen Praxis) versucht, zum Kern des Art. 136 der ital. GG vorzudringen, wo im ersten Absatz Folgendes vorgesehen ist: "Wenn das Gericht die Verfassungswidrigkeit einer gesetzlichen Vorschrift oder einer gesetzeskräftigen Maßnahme erklärt, endet deren Wirksamkeit ab dem Folgetag der Veröffentlichung der Entscheidung". Im Verlauf des Abschnitts wird versucht, einen Überblick der wichtigsten Entwürfe bezüglich des ursprünglichen Art. 136 ital. GG zu liefern, wobei der Entwurf der Abg. Mortati, Ruini, Cappi, Ambrosini und Leone kurz untersucht wird. Besonders interessant ist, auch zum Zweck einer Vergleichsstudie mit den deutschen Unvereinbarkeitserklärungen, der Entwurf des Abg. Calamandrei, der vorschlug, die Legislativorgane sollten im Anschluss an die Aufnahme eines Annahmeurteils sofort das Verfahren zur Gesetzesänderung einleiten, sodass sich, wenn auch mit der erforderlichen Vorsicht eine charakteristische Form der dem Legislativorgan zukommnenden "Nachbesserungspflicht" abzeichnet. Abschnitt 3.1. (Der Vorschlag Perassis: eine Modulation der Rechtswirkungen der Verfassungswidrigkeitserklärung ante litteram?) konzentriert sich in Übereinstimmung mit der deutschen Praxis auf den Vorschlag des Abg. Perassi, der vorsah, die Wirksamkeit des als verfassungswidrig erklärten Gesetzes sollte ab der Veröffentlichung erlöschen, außer bei Bedürfnis des Gerichts eine andere Wirkungsfrist (in jedem Fall nicht über sechs Monate) zu bestimmen; in diesem Sinn ist der Vorschlag des Abg. Perassi der österreichischen (und zum Teil der deutschen) Praxis ähnlich, und zwar einer Fristsetzung mit dem Ziel einer nützlichen Zusammenarbeit zwischen Verfassungsgericht und Legislativorgan. Perassi behauptete, dass "beim Erlöschen der Wirksamkeit einer gesetzlichen Vorschrift in bestimmten Fällen heikle Situationen auftreten können, da das Erlöschen dieser Vorschrift möglicherweise Probleme mit sich bringt, wenn man nicht vorsorgt". Die Annäherung an eines der wichtigsten Anwendungsgebiete der Unvereinbarkeitsentscheidungen, d.h. dem auf dem Argument der rechtlichen Folgen begründeten, ist in diesem Sinne eine unvermeidliche Pflicht. Gleichfalls interessant erscheint die Entgegnung auf die Voraussicht einer solchen Lösung durch den Abg. Ruini, der erklärte, eine derartige Regelung der Rechtswirkungen der Verfassungswidrigkeitserklärung würde praktisch eine Situation voller übermäßig belastender Folgen hervorrufen, in der insbesondere die Gerichte fortfahren würden, "eine verfassungswidrige Norm anzuwenden". Daher die Bedeutung, die der durch die mit Fortgeltungsanordnung ergänzten Unvereinbarkeitsentscheidungen dargestellte Problempunkt hat. In Abschnitt 3.2 (Zeitlicher Rahmen des Art. 136 ital. GG) wird versucht, Art. 136 ital. GG innerhalb seines zeitlichen Rahmens zu untersuchen. In Kürze: Während der wortwörtliche Gehalt der besagten Verfügung sich anscheinend (nach einem Teil der Rechtslehre) auf eine lediglich zielgerichtete Wirksamkeit der Verfassungswidrigkeitserklärung bezieht, stellt dieser doch, nachdem er sich durch Art. 1 des ital. Verfassungsgesetzes Nr. 1 von 1948 und Art. 30 des ital. Gesetzes L. Nr. 87 von 1953 gefestigt hatte, die verfassungsrechtliche Verfügung dar, auf die sich die ex tunc-Wirkung der Verfassungswidrigkeitserklärung gründet. Andererseits wäre es, wie ein anderer Teil der Rechtslehre behauptet, an und für sich nicht folgerichtig, ein System der Rechtswirkungen zu erfinden, das nur ex nunc-Wirkung hat, um dann anschließend den Richtern die Nichtanwendung des verfassungswidrigen Gesetzes "mit Wirkung lediglich nach eigenem Urteil" anzuvertrauen. In Abschnitt 3.3 (Räumlicher Rahmen des Art. 136 ital. GG) wird ein weiterer, an die Wirksamkeit der Verfassungswidrigkeitserklärung gebundener Punkt untersucht, nämlich die "räumliche" Ausdehnung der Wirksamkeit von Art. 136 ital GG. Außer der allgemein verbindlichen Wirksamkeit der Annahmeurteile, an welche die Untersuchung der von den Verfassungsgebenden gewählten Art der Normenkontrolle anknüpft, wird der mit der gerichtlichen oder gesetzgebenden Art der Verfassungswidrigkeitserklärung verbundene Rechtslehredisput, an den die "allgemeine" Wirksamkeit derselben unvermeidlich anknüpft, kurz untersucht. Während in den letzten vier Abschnitten der Art. 136 der ital. GG allein im Mittelpunkt steht, ist der 4. Abschnitt (Die "Revolution" des ital. Verfassungsgesetzes Nr. 1 von 1948) vollständig der "Revolution" gewidmet, welche das ital. Verfassungsgesetz Nr. 1 von 1948 darstellt. Für diese "Revolution" (oder besser die Spezifikation) ist der erste Artikel des besagten Gesetzes bezeichnend, wo es heißt: "Die amtlich erfasste oder von einer Partei im Verlauf eines Rechtsverfahrens erhobene und vom Richter nicht als offensichtlich unbegründet angenommene Frage der Verfassungsmäßigkeit eines Gesetzes oder einer gesetzeskräftigen Maßnahme der Republik wird dem Verfassungsgericht zur Entscheidung übertragen". Im Wesentlichen hat der besagte Artikel als tragendes Element der Inzidentalität des Verfassungssystems Art. 136 ital. GG Bedeutung verliehen, nicht nur, indem die Bedeutung tatsächlich im Einzelnen erläutert wird, sondern vor allem dadurch, dass der Klage vor dem Verfassungsgericht dort, wo es angerufen wird, für alle zu entscheiden (mit wenn auch innerhalb bestimmter Grenzen allgemein verbindlichen Rechtswirkungen) eine "logische" Bedeutung auf Grundlage einer "genetisch zwiespältigen" Erneuerung verliehen wird, und zwar anhand eines konkreten Einzelfalls". Es erscheint notwendig, anzumerken, dass die besagte Verfügung in Bezug auf die Ratio Art. 100, 1. Abs. des deutschen GG ähnelt, auf dessen Grundlage die sogenannte konkrete Normenkontrolle beruht. Und tatsächlich übernimmt das zwischenrangige Verfahren eine grundlegende Rolle in Bezug auf die Handhabung der Rechtswirkungen der Verfassungswidrigkeitserklärung im Verlauf der Zeit, da es konkreter der in der Notwendigkeit, die diachronischen Rechtswirkungen der Verkündigung zu steuern, enthaltenen Ratio vollkommen antithetisch gegenübersteht. Wie können die Jura angesichts einer Handhabung der Rechtswirkungen der Verfassungswidrigkeitserklärung für die Zukunft geschützt werden? Während Art. 1 des ital. Gesetzes L. Nr. 1 von 1948 das zwischenrangige Verfahren kennzeichnet und definiert, so hat Art. 30, 3. Abs. des ital. Gesetzes Nr. 87 von 1953, der Hautuntersuchungsgegenstand des 5. Abschnitts (Die Rückwirkung der Annahmeurteile: Art. 30, 3. Abs. ital. Gesetz L. Nr. 87 von 1953) ein weiteres Element zur Erläuterung der Ratio der zeitlichen Orientierung, welche die Rechtsauswirkungen der Verfassungswidrigkeitserklärung im Verlauf der Zeit annehmen, hinzugefügt. Im Anschluss an das Inkrafttreten desselben, wo es heißt, "die als verfassungswidrig erklärten Normen können nicht ab dem Folgetag der Veröffentlichung der Entscheidung Anwendung haben", hat die Rückwirkung des Annahmeurteils begonnen, die Form der ius receptum anzunehmen, wie durch die maßgebliche Rechtslehre bestätigt. Nun war diese, mit Art. 1 des ital. Gesetzes L. Nr. 1 von 1948 in die Verfassung eingeführte "Errungenschaft" das Ergebnis einer umfassenden theoretischen Analyse und Überlegung: Es ist kein Zufall, dass einer der zentralen Mechanismen der Normenkontrolle eher das "Ergebnis der beharrlichsten Arbeit der Rechtslehre war, statt ein präziser Gesetzesentwurf" und hauptsächlich auf der Notwendigkeit beruhte, nicht nur den Grundsatz der Gleichheit, sondern auch den der Verteidigung zu bewahren, und dies unter Ausschluss der s.g. abgeschlossenen Rechtsbeziehungen, die bei Eintritt der Rechtskraft, Verjährung, Verwirkung und Vergleich bestehen. Hinzu kommt, dass das Prinzip der Rückwirkung der Verfassungswidrigkeitserklärung laut Art. 30, 3. Abs. ital. Gesetz L. Nr. 87 von 1953 – vielleicht auch angesichts der Möglichkeit die Rückwirkung der Verfassungswidrigkeitserklärung in verschiedenen Abstufungen und somit nicht absolut zu klassifizieren – auch Gegenstand einer erheblichen Kontroverse zwischen Verfassungsgericht und Strafkammer des Kassationshofs eben zum Thema der Nichtanwendung der als verfassungswidrig erklärten Norm war. In diesem Sinne treten die Urteile Nr. 127 von 1966 und Nr. 49 von 1970 hervor: beim ersten hatte das Verfassungsgericht über die notwendige Rückwirkung der Verfassungswidrigkeitserklärung von Prozessvorschriften befunden; mit der zweiten Verkündigung dagegen bestätigte das Gericht vollkommen überraschend, den Richtern "das letzte Wort" zu lassen. Dieses Prinzip kann nicht übergangen werden: So hatte beispielsweise im Anschluss an das in keiner Weise rückwirkende Urteil Nr. 10 von 2015 das Verfassungsgericht einer bedeutenden Form der Rebellion durch das vorlegende Gericht beigewohnt, das nicht befunden hatte, sich in Bezug auf die zeitliche Rechtswirkung der Verfassungswidrigkeitsaussprüche vom Gesetzesrahmen zu distanzieren. Gleichzeitig erhält auch in der zeitlich handhabenden deutschen Praxis die Rolle der Richter Bedeutung: Sollte beispielsweise der Gesetzgeber seiner Reformpflicht im Anschluss an die Aufnahme eines Unvereinbarkeitsspruchs nicht nachkommen und dadurch die Ratio der Unvereinbarkeitsentscheidung vollkommen zunichte gemacht werden, können die Richter angerufen werden, um "letztendlich" und in Übereinstimmung mit der Verfassung einzugreifen. Im 6. Abschnitt (Der zeitliche Rahmen der verfassungswidrigen Norm: Nichtigkeit oder Vernichtbarkeit? Eine Überlegung ausgehend vom amerikanischen und vom österreichischen Modell. Hinweise auf die Art der Annahmeurteile) lässt die Studie der gesetzlichen Regelung der zeitlichen Auswirkungen des Verfassungswidrigkeitsspruchs Raum für eine Untersuchung bezüglich der Vernichtbarkeit oder Nichtigkeit der als verfassungswidrig erklärten Norm und dies angesichts einer anfänglichen Überlegung zum amerikanischen und zum österreichischen Modell des Verfassungsrechts, die bekanntlich gegensätzlich zueinander eingestellt sind. Und tatsächlich ist die zeitliche Orientierung des Annahmeurteils nicht nur direkt an die Art derselben Verfassungswidrigkeitserklärung gebunden, sondern ist in ihrem Wesen indirekt an die Wahl des Modells zur Normenkontrolle geknüpft: Irgendwie scheint die ursprüngliche Zweideutigkeit des Art 136 ital. GG tatsächlich an die "gemischte" Natur des italienischen Verfassungsrechts anknüpfen zu können, das sich aus einigen typischen Elementen des amerikanischen Systems (Diffusivität der jedem Richter zukommenden Kontrolle) und dem österreichischen System (ausschließliche Zuständigkeit des Verfassungsgerichts in Bezug auf die Verfassungswidrigkeitserklärung einer nicht mit der Verfassung übereinstimmenden Norm mit allgemeiner Rechtswirkung) zusammensetzt. Nun wirkt die Wahl des Systems zur Kontrolle der Verfassungsmäßigkeit auf die von der Ungültigkeit der verfassungswidrigen Norm angenommene Form ein, welche ihrerseits nach der typischen Logik des Teufelskreises die Art der Verfassungswidrigkeitserklärung beeinflusst: Im amerikanischen Verfassungsrechtssystems ist die verfassungswidrige Norm null and void, da sie dem Willen einer superior Norm widerspricht und somit unwirksam ist; im österreichischen System dagegen ist die verfassungswidrige Norm lediglich vernichtbar, und zwar deshalb, weil Grundlage des Systems die Idee ist, dass, da die gesamte politische Macht auf dem Gesetz gründet, "das Konzept eines von Beginn an nichtigen Gesetzes" vollkommen inakzeptabel ist. Übrigens darf nicht verwundern, dass im Bereich des amerikanischen Verfassungsrechts die Verfassungswidrigkeitserklärung eine Norm erklärender Art ist, während sie im Bereich des österreichischen Verfassungsrechts eine verfassungsgebende Natur annimmt. Nun teilt im Bereich des italienischen Verfassungsrechts nur eine Minderheit die Idee der Nichtigkeit der verfassungswidrigen Norm und somit des Annahmeurteils erklärender Natur, die Mehrheit teilt die These der Vernichtbarkeit der verfassungswidrigen Norm, die also der verfassungsgebenden Natur des Gerichtsspruchs entspricht. Dass die obigen Ausführungen wahr sind, ist daran zu erkennen, dass in der maßgebenden Rechtslehre bestätigt wurde, dass die Verfassungsgebenden dachten, ein im Wesentlichen von dem im österreichischen Grundgesetz vorgesehenen System der Verfassungsgerichtsbarkeit abgeleitetes System eingeführt zu haben. Auch erklärt sich die verfassungsgebende Bedeutung der Verfassungswidrigkeitserklärung angesichts der Betrachtung, dass das allgemeine Verbot, die verfassungswidrige Norm anzuwenden, tatsächlich nur im Zeitraum vor der Aufnahme der Verfassungswidrigkeitserklärung durch das Verfassungsgericht besteht. Wenn man zur nicht statischen sondern "dynamischen" Ebene der Verfassungswidrigkeitserklärung wechselt, ist Zagrebelskys Theorie zu betrachten, nach der im Anschluss an die Aufnahme des Annahmeurteils das Verfassungsproblem entsteht, dem bezüglich anderen institutionellen Stellen wie Richtern und dem Gesetzgeber umfangreicher Spielraum gelassen wird. In diesem Sinn ist das Verfahren der Unvereinbarkeitserklärungen interessant, welche eben hinsichtlich des "Verfassungsproblems" eingreifen, um dies dank der Mitarbeit anderer Verfassungsorgane, unter denen zumindest anfangs der Gesetzgeber zu nennen ist, zu lösen. Im 7. Abschnitt (Erste Zeichen für die Zulässigkeit eines Verfassungsgerichts als "Verwalter" der Rechtswirkungen seiner eigenen Entscheidungen) wird die mögliche Legitimation (auf theoretischer Ebene) des Verfassungsgerichts als Verwalter der Rechtswirkungen der Verfassungswidrigkeitsurteile angedeutet, wobei insbesondere die Tatsache diskutiert wird, dass der zeitgenössische Konstitutionalismus wegen seiner substantialistischen Eigenschaft die Suche der für den spezifischen Fall am besten geeigneten Lösung und somit die "Negativ-Neuqualifizierung der Automatismen" erfordert, um zu starre Lösungen zu vermeiden. In diesem Sinn ist die Praxis des Bundesverfassungegsricht und dessen Erfindung der Unvereinbarkeitsentscheidungen von großer Bedeutung. In der Tat ist ein "flexibler" Ansatz an den zeitlichen Faktor der Rechtswirkungen der Verfassungswidrigkeitserklärung in verschiedenen europäischen Erfahrungen erkennbar; andererseits ist das was als "Naivität der Verfassungsgebenden" bezeichnet wurde, und zwar die "allzu simple Formulierung des Art. 136 ital. GG" hauptsächlich auf zwei Ursachen zurückzuführen, erstens die Notwendigkeit des Schutzes des Prinzips der Gewaltenteilung, unmittelbar nach dem Zweiten Weltkrieg und zweitens der Schutz der Rechtssicherheit. Im 8. Abschnitt (Verwaltet das Verwaltungsgericht die Rechtswirkungen im Verlauf der Zeit?) tritt das Verfassungsrecht in den Hintergrund, um zumindest in Kürze über die Steuerung der Rechtswirkungen der Annullierungsurteile durch das Verwaltungsgericht nachzudenken, wobei von einer Betrachtung ausgegangen wird, welche in der Rechtslehre – recht eindrucksvoll – klar ausgedrückt werden sollte, und zwar, dass die Verwaltungsprozessregeln wegen ihres entscheidenden kreativen Beitrags zur Rechtsprechung einen Ausgangspunkt und sicher keinen Endpunkt darstellen: In diesem Sinn erhielt das von der 4. Kammer des Staatsrats getroffene Urteil Nr. 2755 von Mai 2011 Bedeutung, wie auch das vom selben Verwaltungsrechtsorgan getroffene Urteil Nr. 13 von 2017. In beiden Fällen scheint der Staatsrat bestimmt zu haben, die Rechtswirkungen der eigenen Verkündigung angesichts der Notwendigkeit, einen übermäßigen Bruch innerhalb der Rechtsordnung zu verhindern, zeitlich zu steuern. Insbesondere hätte der Staatsrat ("Consiglio di Stato") beim ersten Spruch eine neue Art der Verkündigung gebildet, indem er bei der Untersuchung – nach einer vollkommen neuen Logik – den Bereich der zeitlichen Rechtswirkung des eigenen Spruchs so definierte, dass eine lediglich für die Zukunft geltende Rechtswirkung der eignen Entscheidung vorhergesehen wurde, sodass das Prinzip der Effektivität des Schutzes über das des Antrags der Partei siegt. Es ist unbedingt anzumerken, dass, wenn die Aufrechterhaltung der Rechtswirkungen der rechtswidrigen Maßnahme spiegelbildlich der Beibehaltung des Allgemeininteresses entspricht, die urteilende Tätigkeit des Verwaltungsgerichts dem des "Verwaltungsorgans" zu ähneln scheint. Auch bei seiner zweiten Verkündigung steuerte der Staatsrat die Rechtswirkungen mit Wirksamkeit pro futuro; die ganze Versammlung befand nämlich, das Urteil Nr. 10 von 2015 anzuführen, fast als Rechtfertigung des Argumentationskonstrukts zur Wahl einer derartigen Wirksamkeit, wobei im Übrigen bestätigt wurde, dass "die Ausnahme von der Rückwirkung […] auf dem Grundsatz der Rechtssicherheit beruht: […] die Möglichkeit für die Betroffenen, die Rechtsnorm wie ausgelegt anzuwenden, wird eingeschränkt, wenn die Gefahr schwerer wirtschaftlicher oder sozialer Auswirkungen besteht, die zum Teil auf die hohe Anzahl von in gutem Glauben begründeten Rechtsbeziehungen zurückzuführen ist […]". Darüber hinaus befand der Staatsrat, als spezifische Bedingungen, die es ermöglichen, die Rückwirkung einzuschränken oder richtiger "die Anwendung des Rechtsgrundsatzes auf die Zukunft zu beschränken" folgende: die objektive und erhebliche Unsicherheit bezüglich der Tragweite der auszulegenden Verfügungen; das Bestehen einer mehrheitlichen Orientierung entgegen der eingeführten Auslegung und die Notwendigkeit zum Schutz eines oder mehrere Verfassungsgrundsätze oder in jedem Fall, um schwere sozialwirtschaftliche Rückwirkungen zu verhindern. Das zweite Kapitel dieser Doktorarbeit ist gemeinsam mit dem ersten Kapitel darauf ausgerichtet, zu zeigen, dass die Frage bezüglich der Grenzen der Rückwirkung der Annahmeurteile seit den allerersten Jahren der Verfassungsrechtsprechung eine nicht nebensächliche Rolle gespielt hat, wie man sehen konnte. Daher die Bedeutung der Behauptung der neuesten deutschen Rechtslehre, die bestätigt, dass die Entscheidungshilfsmittel eines Verfassungsgerichts nicht vollkommen von der fortlaufenden "Konstitutionalisierung" der "neuen Rechte" entbunden sind. Somit scheint es eben diese dynamische Sicht zu sein, die Grundlage der Aufnahme der deutschen Unvereinbarkeitsentscheidungen war (und vor allem heute noch ist) und auch Grundlage einiger neuerer Verkündigungen des Verfassungsgerichts ist, darunter vor allem die Verordnung Nr. 207 von 2018. Wie im Übrigen im dritten Kapitel dieser Doktorarbeit ausgeführt wird, gab es bei der Regelung bezüglich der Wirksamkeit der Verfassungswidrigkeitserklärung zwei Änderungsversuche innerhalb der deutschen Ordnung, die beide darauf abzielten, die Wirksamkeit der Nichtigkeitserklärung "flexibler" zu machen. Angesichts der obigen Ausführungen ist im Verlauf der Zeit nicht nur - wie schon geschrieben - eine gemeinsame Tendenz der Verfassungsgerichte erkennbar, die insbesondere den Umgang mit der Wirksamkeit der Verfassungswidrigkeitserklärung prägt, sondern auch ein "konstantes" Bedürfnis, die "starre" Regelung der Rechtswirkungen zu reformieren, die – wenn auch nur zum Teil – eine wichtige Form der Umsetzung im Bundesverfassungsgerichtsgesetz fand. Das zweite Kapitel beginnt im 1. Abschnitt (Eine Stellungnahme: die Furcht vor den "Folgen" der Verfassungswidrigkeitserklärung und die Regelung der Rechtswirkungen im Verlauf der Zeit) mit einer Überlegung zur Furcht des Verfassungsgerichts, die Ordnung im Anschluss an die Aufnahme einer Verfassungswidrigkeitserklärung negativ zu beeinflussen; wie in der maßgeblichen Lehre Sajas bestätigt, darf das Verfassungsgericht "das Gewicht" seiner eigenen Entscheidungen nicht übersehen, denn dieses ist voll und ganz in einen sozialwirtschaftlichen Rahmen eingefügt, dessen Dynamik es tatsächlich nicht kennen kann; das Bedürfnis einer größeren "Flexibilität" der dem Verfassungsgericht zur Verfügung stehenden Entscheidungshilfsmittel ist, wie im Übrigen im Verlauf des Abschnitts gezeigt wird, verschiedenen europäischen Erfahrungen gemein. Auch aus diesem Grund legte der Gesetzgeber – was vielleicht nicht überrascht – mit der Zeit verschiedene Gesetzesentwürfe vor, die darauf abzielten, den Aspekt der Regelung der Rechtswirkungen der Annahmeurteile zu ändern. Diese Änderungsvorschläge werden (in der Zeit zurückgehend) im 2. Abschnitt (Die Reformversuche hinsichtlich der Regelung der Verfassungswidrigkeitserklärung) dargelegt: Die Analyse beginnt bei dem Gesetzesentwurf A. S. 1952, der verzeichnet ist unter "Änderungen der Gesetze Nr. 87 vom 11. März 1953 und Nr. 196 vom 31. Dezember 2009 zur Ermittlung und Transparenz in Verfahren zur Verfassungsmäßigkeit", der nie diskutiert und daher nie aufgenommen wurde. Dieser letzte Änderungsversuch war durch das "Kostenurteil" Nr. 70 von 2015 angeregt worden, das wegen seiner vollständigen Rückwirkung die Wirtschaftsstruktur des Staates besonders belastete und den Gesetzgeber dazu veranlasste, eine Form der Positivierung der zeitlichen "Steuerung" der Rechtswirkungen der Verfassungswidrigkeitserklärung zu erfinden. In Art. 1, lit. c) des Gesetzesentwurfs ist vorgesehen, den Inhalt des dritten Absatzes, Art. 30, ital. Gesetz L. 87 von 1953 zu erweitern und somit neben der Nichtanwendung der als verfassungswidrig erklärten Norm den Einwand der Verfügung durch das Verfassungsgericht einer "anderen Handhabung der Wirksamkeit im Verlauf der Zeit derselben Entscheidung zum Schutz anderer Verfassungsgrundsätze" vorzusehen. Bedeutend scheint dabei der Verweis auf "Verfassungsgrundsätze", die, wenn korrekt und ausführlich beschrieben, nach der Ratio des vorliegenden Gesetzesentwurfs, den Antrag auf Steuerung der Wirksamkeit der Verfassungswidrigkeitserklärung legitimieren können. Es folgt eine kurze Analyse des Verfassungsgesetzesentwurfs Nr. 22 von 2013, der, wie es schien, eine wesentliche Änderung der Rechtswirkungen der Annahmeurteile einführen wollte und eine Bevollmächtigung des Gesetzgebers zur effektiven Steuerung der Wirksamkeit der erfolgten Verfassungswidrigkeitserklärung vorsah, denn der Gesetzesentwurf verwendete den Begriff "Abschaffung" für das Phänomen des aufhebenden Eingriffs des Verfassungsgerichts. Was vermutlich an diesem Änderungsentwurf am meisten interessiert, ist die Voraussicht der Spaltung zwischen dem Zeitpunkt der Feststellung und dem der "verfassungsgebenden" Wirksamkeit der Verfassungswidrigkeitserklärung: Man beachte in diesem Sinne Art. 1 der Gesetzesvorlage, laut der "[…] die Regierung […] die Initiative ergreift, den Kammern ein Aufhebungsgesetz oder eine Änderung des als verfassungswidrig erklärten Gesetzes vorzulegen; diese Initiative kann direkt von den Versammlungen ergriffen werden, […] sofern der Gesetzesentwurf nicht innerhalb der Frist der folgenden sechs Monate bzw. neun Monate bei Verfassungsgesetzen verabschiedet wird; dieselben Versammlungen erklären die Wirksamkeit des als verfassungswidrig erklärten Gesetzes als erloschen". Schließlich ist der am 30. Juni 1997 verabschiedete Entwurf zu beachten, in dem vorgesehen war, dass "wenn das Gericht die Verfassungswidrigkeit einer gesetzlichen Vorschrift oder einer gesetzeskräftigen Maßnahme erklärt, die Wirksamkeit dieser Norm am Folgetag der Veröffentlichung der Entscheidung endet, außer dem Gericht bestimmt eine andere Frist, in jedem Fall nicht über einem Jahr ab Veröffentlichung der Entscheidung". Der besagte Entwurf ähnelt der österreichischen Praxis sehr, wo der Verfassungsgerichtshof über einen bestimmten Ermessensspielraum in Hinsicht auf die Möglichkeit verfügt, den Stichtag zeitlich zu verschieben, wie es zum Teil auch in der Praxis des Bundesverfassungsgerichts geschieht. Im 3. Abschnitt (Ein Verfassungsgericht, das handelt und die "traditionellen Einschränkungen" des Verfassungsrechts über die Verwaltung der Verfahrensregeln des Verfassungsprozesses hinaus überwindet) wird das Thema der Überwindung der traditionellen Einschränkungen des Verfassungsrechts durch die italienischen Verfassungsgerichte behandelt, insbesondere in Hinsicht auf die Einschränkung des Ermessensspielraums des Gesetzgebers. In diesem Sinne tritt der Beschluss Nr. 207 von 2018 hervor – der es vielleicht ermöglicht, das Thema der zeitlichen Steuerung der Rechtswirkungen wieder mit dem der Beziehung zwischen Verfassungsgericht und Parlament auf dem Gebiet des Strafrechts zu verbinden – mit dem das Verfassungsgericht meinte, mit einer ganz eigenen und besonders "gefestigten" Mahnung einzugreifen; weiter verfolge das Verfassungsgericht, wie der Verfassungsrichter Lattanzi schreibt, in letzter Zeit einen eher interventionistischen und weniger von Selbstbeschränkung geprägten Trend. In diesem Sinn treten einige Verkündigungen im Strafrecht hervor, darunter Urteil Nr. 236 von 2016 (auf das auch in dem erst kürzlich ergangenen Urteil Nr. 242 von 2019 verwiesen wird und das die "Sage" Cappato beendete), Urteil Nr. 222 von 2018, Urteil Nr. 233 von 2018, das allerdings nicht im Strafrecht eingeführte kürzliche Urteil Nr. 20 von 2019, das jedoch für die Rolle, die das Verfassungsgericht in Bezug auf das Legislativorgan einnimmt, von Bedeutung ist. Im 4. Abschnitt (Die Form der Entscheidungstechniken, mit denen das Verfassungsgericht die Rechtswirkungen der Verfassungswidrigkeitserklärung "Richtung Vergangenheit" verwaltet) wird die "Form" der Entscheidungstechniken, mit denen das Verfassungsgericht die Rechtswirkungen der Verfassungswidrigkeitserklärung steuert, untersucht: in diesem Sinn tritt das Mittel der Urteile der verschobenen Verfassungswidrigkeit hervor, welche den Urteilen der plötzlichen Verfassungswidrigkeit im weiteren Sinn ähneln, und sich dagegen von den Urteilen der Verfassungswidrigkeit im engeren Sinn, da letztere das Phänomen der Abfolge der Nomen im Verlauf der Zeit betreffen, abheben. Kurz gesagt, im 4. Abschnitt wird versucht – auf theoretischer Ebene – zu zeigen, wie das Verfassungsgericht das Hilfsmittel der eintretenden Verfassungswidrigkeit (in diesem Sinn ist Urteil Nr. 174 von 2015 vollkommen unerheblich) oder der verschobenen Verfassungswidrigkeit unter Ausschluss des Fehlens jeglicher Form der Positivierung des Umgangs mit dem Zeitfaktor hinsichtlich der Wirksamkeit der Annahmeurteile, verwendet. In diesen Fällen kommt dem Verfassungsgericht ein bestimmter Ermessensspielraum in der Bestimmung des Stichtags zu. Im 5. Abschnitt (Die Entscheidungen, die der Handhabung der Rechtswirkungen der Annahmeurteile in Bezug auf die Vergangenheit zugrunde liegen) dagegen sollen die Gründe erkannt werden, die dem Bedürfnis, die Rechtswirkungen der Urteile im Verlauf der Zeit zu steuern, zugrunde liegen. Erstens tritt die Notwendigkeit hervor, den Grundsatz der Rechtskontinuität ganz allgemein zu schützen, der als ein zu schützender Grundsatz definiert wurde und tatsächlich zu den von der Verfassung abgesicherten Grundsätzen, Interessen und Rechtssituationen gehört, zweitens tritt das Bedürfnis hervor, schwere Schädigungen des öffentlichen Haushalts oder neue und höhere finanzielle Ausgaben für den Staat und die öffentlichen Einrichtungen zu verhindern. Dieser Grundsatz wurde, wie zu unterstreichen ist, als ein allgemeiner verfassungsrechtlicher Wert definiert. Nach einem ersten theoretischen Teil wird im zweiten Kapitel versucht, die zeitlich handhabende Praxis des Verfassungsgerichts zu untersuchen. Ende der achtziger Jahre führte das Verfassungsgericht die allerersten zeitlich handhabenden Urteile ein (Abschnitte 5.1 und 5.2) und begann mit den Urteilen Nr. 266 von 1988, 501 von 1988 und 50 von 1989 die zeitlichen Rechtswirkungen der Annahmeurteile zu regulieren; später verwaltete das Verfassungsgericht den Zeitfaktor der Rechtswirkungen der eigenen Entscheidungen weiter und beträchtlich, ohne allerdings jemals ausdrücklich zu erklären, in die Steuerung der Rechtswirkungen der Annahmeurteile einzugreifen (eingreifen zu wollen). Zur Sparte der ersten zeitlich handhabenden Urteile gehört auch das Urteil Nr. 1 von 1991, das hinsichtlich der finanziellen Rechtswirkungen der Verfassungswidrigkeitserklärung (wie auch bezüglich der vom Verfassungsgericht vor der Einführung desselben durchgeführten Ermittlung) von besonderer Bedeutung ist. Wenig später führte das Verfassungsgericht das Urteil Nr. 124 von 1991 ein (über dessen Wesen die Rechtslehre diskutiert, da sie teilweise der Meinung ist, es handele sich um ein Urteil zur plötzlichen Verfassungswidrigkeit im engeren Sinn), bei dem man ein weiteres Mal der Steuerung der Wirksamkeit der Verfassungswidrigkeitserklärung beiwohnen konnte. Von Bedeutung ist auch Urteil Nr. 360 von 1996: bei dieser Gelegenheit erklärte das Verfassungsgericht die (alleinige) Verfassungswidrigkeit der ihm zur Beurteilung vorgelegten Verfügung der Gesetzesverordnung, ohne die Tragweite allgemein auf die wiederholten Verordnungen auszudehnen. In diesem Fall hätte das Verfassungsgericht in seiner Eigenschaft als Hüter der Rechtsordnung befunden, die Annullierung der wiederholten Gesetzesverordnungen angesichts des Grundsatzes der Rechtssicherheit zu "einzusparen". Am Rande der genannten Verkündigungen werden andere Entscheidungen in der Hauptsache untersucht, bei denen das Verfassungsgericht, wenn auch keine wahre zeitliche Handhabung der Rechtswirkungen vornahm, so doch eine erhebliche Furcht vor dem gezeigt hatte, was in der Rechtslehre als horror vacui bezeichnet wird. In Abschnitt 5.2.1 (Fokus: Urteil Nr. 1 von 2014: "ausgleichende" Bedeutung und horror vacui) wird Urteil Nr. 1 von 2014 Gegenstand der Untersuchung, bei dem das Verfassungsgericht zum Thema Wahlsystem eingriff und die Verfassungswidrigkeit des s.g. Porcellum erklärte, d.h des proportionalen WahlgesetzesmitMehrheitsprämieund starren Listen, welche die Wahl derAbgeordnetenkammerund desSenats der Republikin Italien in den Jahren2006,2008und2013 geregelt hatte. Das Verfassungsgericht hatte bei diesem Anlass von der Kategorie der abgeschlossenen Rechtsbeziehungen Gebrauch gemacht, um sich Handlungsspielraum hinsichtlich der zeitlichen Handhabung der Wirksamkeit der eignen Urteile zu verschaffen, nicht ohne die Prozessregeln politisch zu nutzen: Es handelt sich hierbei um einen der Fälle, bei denen das Verfassungsgericht angesichts des Nichtbestehens der Möglichkeit zur Steuerung der Rechtswirkungen der eignen Urteile bestimmt hat, die Regeln des eigenen Verfahrens vollkommen elastisch zu nutzen. Die Elastizität der Interpretation der Kategorie und der Regeln des Verfassungsverfahrens war im untersuchten durch das Bedürfnis, den Grundsatz zum Schutz des Staats und der verfassungsgemäß notwendigen Funktionen beizubehalten, vorgeschrieben. In diesem Sinn ähnelt die Ratio, die der besagte Spruch mit sich bringt, zum Teil einem der Anwendungsthemen der Unvereinbarkeitserklärungen, und zwar dem der "Rechtsfolgen". Nun tritt das Urteil Nr. 1 2014 in dieser Doktorarbeit hervor, da die Eigentümlichkeit der Wirksamkeit der Verfassungswidrigkeitserklärung (wie auch der Kategorie der s.g. abgeschlossenen Rechtsbeziehungen) angesichts der verfassungsgemäßen Bedürfnisse "gesteuert " worden wäre. Während in Abschnitt 5.2.2. (Am Rande des Urteils Nr. 1 von 2014) nochmals auf das Thema des s.g. horror vacui hingewiesen wird, so wird im 6. Abschnitt (Das Haushaltsgleichgewicht als Gegenspieler der Rückwirkung von Annahmeurteilen) der Grundsatz des Haushaltsgleichgewichts als möglicher, im Übrigen nach Inkrafttreten des ital. Gesetzes L. Nr. 1 von 2012, das den Grundsatz des Haushaltsgleichgewichts einführte, erstarkter Gegenspieler der in den Annahmeurteilen verwurzelten Rückwirkung, untersucht. Kurz gesagt, obwohl Art. 81, dritter Abs, ital. GG ("Jedes Gesetz, das neue oder höhere Ausgaben mit sich bringt, muss für die dafür notwendigen Mittel sorgen") nicht für die Tätigkeiten des Verfassungsorgans gilt, sondern nur für den Gesetzgeber, haben der Grundsatz des Haushaltsgleichgewichts und somit die streng finanziellen Bedürfnisse das Verfassungsgericht dazu geführt, Entscheidungsmittel zur Steuerung der Rechtswirkungen der Annahmeurteile einzusetzen (wie auch im Bereich der französischen und der spanischen Verfassungsjustiz), und zwar deshalb, weil das Verfassungsgericht sich – unvermeidlicherweise – in einem durch eingeschränkte wirtschaftliche Ressourcen charakterisierten Umfeld bewegt. Nicht nur hat es in der Verfassungsrechtsprechung verschiedene Verkündigungen gegeben, bei denen die Rückwirkung mit der konkreten Notwendigkeit zur Aufrechterhaltung der Wirtschafts- und Finanzstruktur kontrastierte (man beachte, wenn auch unter anderen Gesichtspunkten, die Urteile Nr. 137 von 1986, Nr. 1 von 1991, Nr. 240 von 1994, Nr. 49 von 1995, Nr. 126 von 1995) und nicht nur wurde der letzte Änderungsvorschlag der Regelung der Annahmeurteile im Anschluss an die Aufnahme eines Kostenurteils vorgebracht, sondern vor allem beschloss das Verfassungsgericht mit Urteil Nr. 10 von 2015 zum ersten Mal mit Kenntnis der Sachlage, die Möglichkeit zur zeitlichen Handhabung der Rechtswirkungen der eigenen Urteile zu erklären. In dieser Arbeit wird insbesondere in Abschnitt 6.1 (Fokus: Das Urteil Nr. 10 von 2015: ein unicum in der Geschichte der Verfassungsjustiz) dem Urteil Nr. 10 von 2015 viel Raum gewidmet, da dieses tatsächlich ein unicum in der Geschichte der italienischen Verfassungsjustiz darstellt: Dabei bestimmte das Verfassungsgericht, den Verfassungsprozess nach vollkommen kreativen Regeln zu steuern und setzte das um, was als "Verfassungsgewalt" bezeichnet wurde und das, wie anscheinend behauptet werden kann, auf einer bestehenden starken Korrelation zwischen der Verfassungsjustiz und dem materiellen Verfassungsrecht basiert. In der Tat kann nicht geleugnet werden, dass das Thema der Handhabung der Rechtswirkungen der Verfassungswidrigkeitserklärung im Verlauf der Zeit ein Thema des materiellen Verfassungsrechts ist, welches bedeutende Anregungen für eine Überlegung zur Beziehung zwischen dem Verfassungsgericht und seinem Verfahren bietet. Weiter zwingt die Überbeanspruchung des Mechanismus, auf den sich die Inzidentalität des Systems gründet, dazu, über die Bedeutung nachzudenken, welche die Abwägung der Interessen, die einen verfassungsmäßigen Schutz verdienen, erwirbt. Vor allem scheint sich das Thema der Identifizierung jener Interessen zu stellen, die einen derartigen verfassungsmäßigen Schutz verdienen, dass sie vielleicht eine Ausnahme von der Regelung zur Steuerung der Wirksamkeit der Annahmeurteile rechtfertigen. Nun meinte das Verfassungsgericht mit Urteil Nr. 10 von 2015 die Rückwirkung mit dem Grundsatz des Haushaltsgleichgewichts aufwiegen zu können und somit Art. 81 ital. GG im Sinne eines "Übergrundsatzes" einzuordnen. Das materielle Recht, der Schutz der Verfassungsgrundsätze und -werte kollidierte also mit der Garantie der Jura und somit der Anrechte der Einzelnen. Der Grundsatz der Gleichheit und der Grundsatz der Verteidigung waren somit Gegenstand einer Abwägung mit Art. 81 ital. GG: Das Ergebnis war der Sieg des letzteren, da das Verfassungsgericht befand, dem besagten Urteil eine bloße ex nunc-Wirkung zu verleihen. Mit dem besagten Urteil erklärte das Verfassungsgericht die Verfassungswidrigkeit der s.g. Robin Hood tax, einer 2008 eingeführte der Erdölbranche auferlegte Steuer. Das Verfassungsgericht bestätigte äußerst vielsagend – nach einer vollkommen innovativen Logik – Folgendes: "Bei der Verkündigung der Verfassungswidrigkeit der angefochtenen Verfügungen kann dieses Verfassungsgericht den Einfluss, den eine solche Verkündigung auf andere Verfassungsgrundsätze ausübt, nicht unbeachtet lassen, um die eventuelle Notwendigkeit einer Abstufung der zeitlichen Rechtswirkungen der eigenen Entscheidungen über die anhängigen Beziehungen zu beurteilen. Die diesem Gerichtshof übertragene Rolle als Hüter der Verfassung in ihrer Gesamtheit erfordert es, zu verhindern, dass die Verfassungswidrigkeitserklärung einer gesetzlichen Verordnung paradoxerweise "mit der Verfassung noch weniger vereinbare Rechtswirkungen bestimmt" (Urteil Nr. 13 von 2004) als die, welche zur Zensierung der Gesetzesordnung geführt haben. Um dies zu verhindern, muss der Gerichtshof seine eigenen Entscheidungen auch unter dem zeitlichen Aspekt modulieren, sodass die Behauptung eines Verfassungsgrundsatzes nicht die Opferung eines anderen zur Folge hat. Dieser Gerichtshof klärte mit den (Urteilen Nr. 49 von 1970,Nr. 58 von 1967undNr. 127 von 1966) dass die Rückwirkung der Verfassungswidrigkeitsverkündigungen ein allgemeines Prinzip ist (und sein muss), das in den Urteilen vor diesem Gerichtshof gilt; dieses ist jedoch nicht uneingeschränkt. Zunächst ist unbestreitbar, dass die Wirksamkeit der Annahmeurteile nicht in soweit rückwirkend ist, dass sie "in jedem Fall rechtskräftig gewordene Rechtslagen" d.h. "abgeschlossene Rechtsbeziehungen" umkehrt. Andernfalls wäre die Sicherheit der Rechtsverhältnisse beeinträchtigt (Urteile Nr. 49 von 1970,Nr. 26 von 1969,Nr. 58 von 1967undNr. 127 von 1966). Der Grundsatz der Rückwirkung "gilt […] nur für noch anhängige Verhältnisse, mit daraus folgendem Ausschluss der abgeschlossenen, die weiter durch das als verfassungswidrig erklärte Gesetz geregelt bleiben" (Urteil Nr. 139 von 1984, zuletzt wieder aufgenommen imUrteil Nr. 1 von 2014). In diesen Fällen gehört die konkrete Erkennung der Einschränkung der Rückwirkung, die von der besonderen Regelung der Abteilung abhängt – zum Beispiel bezüglich der Ablauf-, Verjährungs- oder Unanfechtbarkeitsfristen von Verwaltungsmaßnahmen – die jede weitere Rechtsmaßnahme oder -behelf ausschließt, in den Bereich der ordentlichen Auslegung, für den die gewöhnlichen Gerichte zuständig sind (ex plurimis bestätigter Grundsatz durchUrteile Nr. 58 von 1967undNr. 49 von 1970)". Das Verfassungsgericht behauptet weiter, um sein praeter legem-Vorgehen zu rechtfertigen: "der Vergleich mit anderen europäischen Verfassungsgerichten, wie beispielsweise dem österreichischen, dem deutschen, dem spanischen und dem portugiesischen zeigt im Übrigen, dass das Einschränken der Rückwirkung der Verfassungswidrigkeitsentscheidungen auch in zwischenrangigen Verfahren eine verbreitete Vorgehensweise darstellt, unabhängig davon, ob die Verfassung oder der Gesetzgeber dem Verfassungsgericht diese Befugnisse ausdrücklich übertragen haben". Somit verließ das Verfassungsgericht bei dieser Verkündigung den Weg der "getarnten" Handhabung der Rechtswirkungen im Verlauf der Zeit, um das Thema des Interventionismus zur Steuerung der Wirksamkeit der eigenen Verkündigungen im Verlauf der Zeit ausdrücklich in Angriff zu nehmen. In Abschnitt 6.2 (Die Rebellion des vorlegenden Gerichts gegenüber des mit Rückwirkungsklausel ausgezeichneten Aufschubs der Rückwirkung) wird versucht, über die von den vorlegenden Gerichten an den Tag gelegte Rebellion gegenüber dem Aufschub der Rechtswirkungen durch die Verkündigung Nr. 10 von 2015 nachgedacht: Der Kurzschluss Verfassungsgericht – Richter läuft Gefahr, mit der Handhabung der Rechtswirkungen im Verlauf der Zeit beinahe ein unicum zu werden, sollte letztere nicht Gegenstand einer Positivierung durch den Gesetzgeber werden. Wie durch die maßgebliche Rechtslehre bestätigt, haben im Übrigen "die Richter" das letzte Wort. Wie im dritten Kapitel ausgeführt wird, übernehmen in diesem Sinn die Richter auch im deutschen System eine Hauptrolle in Bezug auf die Flexibilisierung der Rechtswirkungen der Annahmeurteile, nicht nur hinsichtlich der "Folgen" der Unvereinbarkeitssprüche, sondern auch in dem Fall, wo der Gesetzgeber nicht innerhalb der vom Bundesverfassungsgericht angegebenen Frist handelt, denn diese, wie durch maßgebliche Rechtslehre bestätigt, werden angerufen, um verfassungsmäßig zu entscheiden. In Abschnitt 6.3 (Ein inkohärentes Verfassungsgericht? Der "Einzelfall" des Urteils Nr. 10 von 2015 und die anschließende Rechtsprechung) werden die beiden, im Anschluss an das Urteil Nr. 10 von 2015 eingeführten Kostenurteile untersucht: das Urteil Nr. 70 von 2015 und das Urteil Nr. 178 von 2015. Bei erstgenanntem erklärte das Verfassungsgericht die Verfassungswidrigkeit derital. Gesetzesverordnung Nr. 201 vom 6. Dezember 2011 (Eilverfügungen zum Zuwachs, zur Angemessenheit und zur Konsolidierung der Staatsfinanzen), das mit Änderungen durch Art. 1, 1. Abs. ital. Gesetz Nr. 214 vom 22. Dezember 2011 umgewandelt wurde, ohne jegliche zeitliche Modulation der Rechtswirkungen vorzunehmen. Aus diesem Grund stufte die Rechtslehre die besagte Verkündigung als ein "überraschendes" Urteil ein, in Anbetracht der Tatsache, dass die aus den Einwirkungen auf die wirtschaftlich-finanzielle Basis entstehenden Kosten entschieden höher waren als die, welche aus der Aufnahme des Urteils Nr. 10 von 2015 entstanden wären, hätte man dieses ganz einfach mit Rückwirkung ausgestattet. Andererseits, während der Gerichtshof beim Urteil Nr. 10 von 2015 meinte, eine Ausnahme von der den Rechtswirkungen der Verfassungswidrigkeitserklärung zugrunde liegenden Regelung zu machen, obwohl die Aufnahme einer "physiologischen" Verfassungswidrigkeitserklärung von sich aus hohe Kosten "nur" in Bezug auf die Erdölbranche und insbesondere in Bezug auf einen bestimmten Unternehmenszweig bewirkt hätte, ist es schwer zu verstehen, warum das Verfassungsgericht im Fall des Urteil Nr. 70, das nicht nur die s.g. Goldpensionen, sondern auch das Rentensystem insgesamt betraf, befand, nicht nach derselben Logik zu verfahren. In diesem Sinn liegt eine Antwort auf diese Entscheidungsinkohärenz vielleicht in der mangelnden Verwendung durch das Verfassungsgericht der Ermittlungsbefugnisse, die weiter unten behandelt werden. Sicher ist, dass das Verfassungsgericht eine vollkommen ungeordnete Steuerung seiner Prozesse an den Tag legte und tatsächlich eine freie und unbefangene Vorgehensweise hinsichtlich der Regeln des verfassungsrechtlichen Prozesses bewies. Die obige Behauptung wird durch die Aufnahme des zum Thema Tarifverhandlungen eingeführten Urteils Nr. 178 von 2015 bewiesen, bei dem das Verfassungsgericht durch Verwendung des Hilfsmittels der plötzlichen Verfassungswidrigkeit erneut die zeitliche Wirksamkeit der Verfassungswidrigkeitserklärung steuerte. Das Verfassungsgericht behauptet nämlich: "Erst jetzt offenbarte sich vollkommen, wie strukturpolitisch die Verhandlungsaussetzung war, daher kann die eintretende Verfassungswidrigkeit, deren Rechtswirkungen im Anschluss an die Veröffentlichung dieses Urteils beginnen, als eingetreten angesehen werden. Der unversehens begonnene Mangel an Verfassungsmäßigkeit erklärt sich angesichts der Kritiken, die dem Verfassungsgericht im Anschluss an das "denkwürdige" Urteil Nr. 10 von 2015 entgegengebracht wurden. Darum kommentierte die Rechtslehre die besagte Verkündigung im Sinne eines Falls, bei dem "ein Mangel am selben Tag auftritt und verschwindet, an dem er durch den Richter erklärt wird, welcher gleichzeitig das Fehlen zum Zeitpunkt der Überweisung der Maßnahmen an das Verfassungsgericht feststellt". Im Wesentlichen ist unzweifelhaft, dass das Verfassungsgericht einen Aufschub der Rechtswirkungen seiner eigenen Verkündigung aus plausiblerweise mit den finanziellen Folgen verbundenen Gründen in die Tat umsetzte. Hier soll in jedem Fall hervorgehoben werden, dass, wie in dem der deutschen Praxis gewidmeten Kapitel ausgeführt wird, auch das Bundesverfassungsgericht manchmal, vor allem auf wirtschaftlichem Gebiet zeitlich handhabende und nicht vollkommen mit der grundlegenden Ratio kohärente Verkündigungen einführte. Außerhalb des Rahmens des zwischenrangigen Verfahrens führte das Verfassungsgericht im Bereich des Hauptverfahrens das Urteil Nr. 188 von 2016 ein, bei dem eine vollkommene Rückwirkung der Verkündigung, wieder einmal zum Zweck der maximalen Verminderung der finanziellen Beeinträchtigung durch die rückwirkende Rechtskraft verfügt wurde. Der Fall ergab sich aus einer Klage der Region Friuli Venezia Giulia bezüglich des Haushaltsgesetzes 2013, da die Region mit besonderer Rechtsstellung befand, dass einige Artikel einigen Bestimmungen der besonderen Rechtsstellung der Region, einigen Durchführungsbestimmungen dieser Rechtsstellung und anderen, aus dem System zur Steuerung der Beziehungen zwischen dem Staat und dieser Region ableitbare Grundsätzen auf finanziellem Gebiet widersprachen. Im Wesentlichen kommt das Verfassungsgericht, auch angesichts der Durchführung einer Ermittlung zu dem Schluss der Verfassungswidrigkeit der beurteilten Norm und behauptet im Einzelnen wie folgt: "Der Grundsatz des dynamischen Gleichgewichts, der eng verbunden ist mit dem für die Aufrechterhaltung des wirtschaftlichen, finanziellen und vermögensrechtlichen Gleichgewichts im Verlauf der Zeit grundlegenden Prinzip der Haushaltskontinuität, […] kann auch zum Zweck des erweiterten Schutzes der Finanzlage der öffentlichen Hand angewendet werden, indem gestattet wird, die finanziellen Beziehungen bei Abkommen auch in Hinsicht auf die vergangenen Betriebsjahre angemessener umzugestalten" (Urteil r. 155 von 2015).Im Übrigen behauptete dieser Gerichtshof, wenn man einen anderen auf steuerrechtlichem Gebiet zwischenrangig eingeleiteten Fall untersucht, dass der Gesetzgeber rechtzeitig eingreifen muss, "um die verfassungsmäßige Auflage des Haushaltsgleichgewichts auch in dynamischer Hinsicht zu erfüllen (Urteile Nr. 40 von 2014,Nr. 266 von 2013,Nr. 250 von 2013,Nr. 213 von 2008,Nr. 384 von 1991eNr. 1 von 1966), […] dies eventuell auch, indem die erkannten Mängel der untersuchten Steuerregelung behoben werden" (Urteil Nr. 10 von 2015). Schließlich kann das Urteil Nr. 27 von 2018, ebenfalls auf wirtschaftlichem Gebiet interessieren. Im 7. Abschnitt (Eine Betrachtung über die Handhabung der Wirkungen: die Untersuchungsbefungnisse des Verfassungsgerichts) wird das Thema der Ermittlungsbefugnisse des Verfassungsgerichts untersucht, insbesondere in Bezug auf die Handhabung der Rechtswirkungen im Verlauf der Zeit, ausgehend von der Voraussetzung, dass die Annahmeurteile tatsächlich "systemische" Rechtswirkungen erzeugen: daher erscheint es im höchsten Maße relevant, dass das Verfassungsrechtsorgan in Hinsicht auf die eventuell durch seine Urteile erzeugten Einwirkungen auf die Ordnung bewusste Entscheidungen aufnehmen kann. Der kritische Punkt ist, dass das Verfassungsgericht selten von seinen Ermittlungsbefugnissen Gebrauch macht (obwohl die vom Verfassungsgericht tatsächlich verwendbaren Hilfsmittel in den ergänzenden Normen besonders detailliert erläutert werden), was sich nicht nur, wie oben beschrieben in wirtschaftlich-finanzieller Hinsicht auswirkt, sondern auch auf dem Gebiet der Wissenschaft (vgl. Urteile Nr. 162 von 2014, Nr. 96 von 2015 und Nr. 84 von 2016). Ab dem 8. Abschnitt (Die Verschiebung des Stichtags: die Gründe, die der zeitlich Richtung Zukunft handhabenden Verfahrensweise zugrunde liegen) ist das zweite Kapitel der Arbeit den ein Prinzip ergänzenden Urteilen, den Urteilen zur ermittelten aber nicht erklärten Verfassungswidrigkeit und den mahnenden Urteilen gewidmet. Im Allgemeineren ist dieser Abschnitt den Gründen gewidmet, die der zeitlich handhabenden Vorgehensweise, bei denen der zukünftige Zeitabschnitt hervortritt, zugrunde liegen: Es handelt sich um die Fälle, in denen das Verfassungsgericht nicht festlegt (oder nicht nur festlegt), die Rückwirkung der Verfassungswidrigkeitserklärung bzgl. der Vergangenheit einzuschränken, sondern (auch) entscheidet, einen Anschluss zum Gesetzgeber zu suchen, indem der Stichtag aufgeschoben wird. Weiter im Einzelnen nutzt das Verfassungsgericht einige Entscheidungsstrategien, um der Bildung der s. g. Gesetzeslücken vorzubeugen, die an sich der Kontinuität der staatlichen Funktionen wie auch der Stabilität der Rechtsverhältnisse, der positiven Tendenz der Finanzlage der öffentlichen Hand wie auch der öffentlichen Verwaltung schaden. Die Gründe, auf denen die besagte zeitlich handhabende Vorgehensweise aufbaut, sind ein weiteres Mal denen sehr ähnlich, die den Unvereinbarkeitserklärungen zugrunde liegen: die Gefahr, dass sich im Fall der Einführung eines die Verfassungswidrigkeit einer Norm ganz einfach erklärenden Urteils ein "Chaos" innerhalb der Rechtsordnung bildet. Im 9. Abschnitt (Die Mittel zur Vorverlegung des Stichtags: Die Urteile zur ermittelten aber nicht erklärten Verfassungswidrigkeit) werden die Hauptmerkmale der ermittelten ab nicht erklärten Verfassungswidrigkeit dargelegt ("sentenze di incostituzionalità accertata ma non dichiarata") die den Entscheidungen der Unvereinbarkeitserklärungen erheblich ähneln, denn in beiden Fällen besteht der Mangel der Verfassungsmäßigkeit und der Gerichtshof mahnt gleichzeitig den Gesetzgeber zur (mehr oder weniger unverzüglichen) Handlung, um die Beseitigung der Verfassungswidrigkeit, die das Rechtssystem insgesamt gefährdet, zu beschleunigen. Der grundlegende Unterschied besteht in der Tatsache, dass im Fall der Unvereinbarkeitserklärungen, die Verfassungswidrigkeit einer Norm nicht nur ermittelt, sondern auch erklärt wird und dies eben in Form der Unvereinbarkeitserklärung (und also nicht der Verfassungswidrigkeitserklärung). In Abschnitt 9.1 (Die Aufschiebung des Stichtags: die ein Prinzip ergänzenden Urteile) werden die ein Prinzip ergänzenden Urteile ("sentenze additive di principio") ebenfalls in ihren Hauptmerkmalen zum Gegenstand der Untersuchung; diese gehören, wie von der neuesten Rechtslehre bestätigt zu einem ungeschriebenen, der Rechtsprechung entspringenden Prozessrecht, auf das erst kürzlich vom Gerichtshof zum Thema der Rechtswirkungen der Verfassungswidrigkeitserklärungen auch mit Bezugnahme auf ausdrücklich komparatistische Bezüge verwiesen wurde. Mittels dieser Art der Entscheidung erklärt das Verfassungsgericht zwar die Verfassungswidrigkeit einer Norm für den Teil, in welchem diese keine bestimmte Voraussicht oder Regelung enthält, stellt jedoch gleichzeitig einen Grundsatz auf, der prinzipiell vom Gesetzgeber ausgeführt werden muss (welcher je nach Fall mehr oder weniger Schwierigkeiten bei der Umsetzung dieses Grundsatzes haben kann). Wie man sieht, ähnelt das besagte Entscheidungshilfsmittel in seiner Art den Unvereinbarkeitserklärungen, da diese eine synergetische Form der Zusammenarbeit zwischen den Organen Verfassungsgericht, Gesetzgeber und Richter mit sich bringen. Doch nicht nur das: Der Gesetzgeber wird außerdem dazu aufgerufen, die Wiederherstellung der verletzten Verfassungslegalität zu optimieren, so wie mit Bezug auf die zeitlich handhabende deutsche Praxis, denn das, was die Unvereinbarkeitserklärung auszeichnet, ist die Reformpflicht, die s.g. Nachbesserungspflicht. Im Fall einer legislativen Untätigkeit im Anschluss an die Aufnahme eines ein Prinzip ergänzenden Urteils muss die "juristische Ebene" aktiviert werden: in Wirklichkeit ist vor dem Eingriff des Legislativorgans immer eine gewisse Zusammenarbeit zwischen den Richtern und dem Verfassungsgericht notwendig: in diesem Sinne haben die ein Prinzip ergänzenden Urteile eine weitere Ähnlichkeit mit den deutschen Unvereinbarkeitserklärungen. Den Urteilen der "reinen" Unvereinbarkeit ebenfalls sehr ähnlich sind die mit einer allgemeinen Beschlussformel ausgestatteten, ein Prinzip ergänzenden Urteile ("sentenze additive di principio dotate di un dispositivo generico"): in diesem Fall im Anschluss an die erfolgte Verfassungswidrigkeitserklärung, wenn es dem Gericht schwerfällt, im Anschluss an eine wissenschaftliche Auslegung des vom selben Verfassungsgericht erkannten Grundsatzes eine anzuwendende Norm zu bestimmen. Nach diesen Erläuterungen darf das Urteil Nr. 243 von 1993, das in dieser Doktorarbeit ausgiebig behandelt wird, nicht unberücksichtigt bleiben. Mit diesem Urteil erklärte das Verfassungsgericht die Verfassungswidrigkeit eines bestimmten Mechanismus, der vom Gesetzgeber im Rentensystems erkannt wurde, ohne jedoch mit der Aufnahme eines Verfassungswidrigkeitsurteils mit ex tunc-Wirkung fortzufahren. Die mit der Aufnahme eines Urteils der ganz einfachen Annahme verbundenen Folgen wären nämlich für die Staatskassen übermäßig belastend gewesen. Die Rechtswirkungen einer derartigen Verkündigung, die daher von der Rechtslehre akkurat als ein einen Mechanismus ergänzendes Urteil definiert wird, erwiesen sich als denen der deutschen Unvereinbarkeitsurteile vollkommen ähnlich, insbesondere in Bezug auf die Beziehung zum Gesetzgeber: Letzterer wird nicht nur dazu angerufen, zu handeln, um den festgestellten Legitimitätsmangel zu beseitigen, sondern wird auch aufgefordert, innerhalb einer präzisen Frist einzugreifen; die Festsetzung einer Frist ist nämlich einer der Aspekte, der die zeitlich handhabende Praxis der Unvereinbarkeitserklärungen am stärksten auszeichnen. Ebenfalls von Bedeutung ist das Urteil Nr. 170 von 2014, das eben durch den allgemeinen Grundsatz ein Paradox innerhalb der Rechtsordnung erzeugte: Es wurde eine homosexuelle Ehe vorgesehen, obwohl die homosexuelle Ehe in Italien noch nicht legalisiert ist (man beachte im Übrigen, dass dasselbe Verfassungsgericht "BVerfG 1. Senat Beschluss vom 27. Mai 2008, 1 BvL 10/05" zitiert). Der Fall ergab sich aus einem von einem Ehepaar (bei dem eine Person, ihr Geschlecht verändert hatte) eingeleiteten Verfahren, um die Löschung der Eintragung "Beendigung der Rechtswirkungen des amtlichen Ehebundes" zu erwirken, die der Standesbeamte zusammen mit der Eintragung im Auftrag des Gerichts zur Berichtigung (von "männlich" in "weiblich") des Geschlechts des Ehemanns unter die Heiratsurkunde gesetzt hatte; das Verfassungsgericht befand, das Fehlen jeglicher Regelung des besagten Paars stelle eine Verletzung der unantastbaren Menschenrechte laut Art 2 ital. GG dar. Dennoch behauptete das Verfassungsgericht: "Die reductio adlegitimitatemdurch eine handhabende Verkündigung, welche die automatische Scheidung durch eine beantragte Scheidung ersetzt, ist nicht möglich, da dies gleichbedeutend mit einer Fortdauer des Ehebundes zwischen Personen desselben Geschlechts, im Widerspruch zu Art. 29 ital. GG wäre. Es wird also Aufgabe des Gesetzgebers sein, eine alternative (und von der Ehe verschiedene) Form einzuführen, die es den Ehepartnern ermöglicht, den Übergang von einem Zustand höchsten rechtlichen Schutzes zu einer auf dieser Ebene absolut unbestimmten Bedingung zu verhindern. Und der Gesetzgeber wird angerufen, diese Aufgabe mit höchster Eile zu erfüllen, um die erkannte Gesetzeswidrigkeit der untersuchten Regelung unter dem Gesichtspunkt des heutigen Rechtsschutzdefizits der betroffenen Personen zu überwinden". Schließlich ist das ein Prinzip ergänzende Urteil Nr. 278 von 2013 zur Anonymität der Mutter und das Recht des Kindes, seine Herkunft zu kennen, um seine Grundrechte zu schützen, von Bedeutung. Abschnitt 9.2 (Der Aufschub des Stichtags: die Appelle und die "Geisterhandhabung ", die diese mit sich bringen) schließlich ist den Mahnungsurteilen gewidmet, die, obwohl sie nicht in die Steuerung der Verfassungswidrigkeitserklärung eingreifen, dennoch einen Ausgleich zwischen Grundsätzen und Werten mit sich bringen, der "typischerweise" die Grundlage der zeitlichen Handhabung der Rechtswirkungen der Annahmeurteile ist: Der Gesetzgeber wird im Bereich eines Unzulässigkeitsurteils oder eines ablehnenden Urteils aufgefordert, in Bezug auf eine bestimmte Gesetzesordnung zu handeln, um die Legalität wiederherzustellen, von der angenommen wird, dass sie tatsächlich verletzt wurde. In Bezug auf Mahnungen ist Abschnitt 9.3 (In Bezug auf gefestigte Appelle: die Beziehung zwischen Verfassungsgericht und Gesetzgeber angesichts des Beschlusses Nr. 207 von 2018) vollständig dem Fall Cappato gewidmet, einem wichtigen und bedeutenden juristischen Fall, der es gestattet, die Wechselbeziehungen zwischen Verfassungsgericht und Gesetzgeber unter einer besonderen Lupe (auf dem Gebiet des Strafrechts) zu untersuchen. Zunächst scheint es relevant, die Sachlage zu erläutern: Der allgemein als DJ Fabo bekannte Fabiano Antoniani, der durch die Folgen eines Autounfalls 2014 querschnittsgelähmt und blind geworden war, bat Marco Cappato im Januar 2017, ihm zu helfen, die Schweiz zu erreichen, wo er die Euthanasie durch den sogenannten unterstützten Suizid beantragt hatte und am 27. Februar 2017 erhielt. Marco Cappato, dem bekannt war, dass auch die alleinige Hilfe bei der Beförderung in die Schweiz des Kranken, der darum bittet, nach italienischem Recht verboten ist, verklagte sich selbst bei seiner Rückkehr nach Italien. Gegen Marco Cappato wurde ein Verfahren eingeleitet, das später der Ausführung der Straftat nach gemäß Art. 580 ital. StGb als "Verleitung oder Hilfe zum Selbstmord" rubriziert wurde, nach dem "jeder, der Andere zum Selbstmord bringt oder sie in ihrem Suizidvorhaben bestärkt bzw. auf jedwede Weise dessen Ausführung erleichtert, wird, sofern der Selbstmord erfolgt mit fünf bis zwölf Jahren Haft bestraft". Die Prozessverhandlungen fanden am 8. November 2017, am 4. Und 13. Dezember 2017, am 17. Januar 2018 und am 14. Februar 2018 mit Verlesung des Beschlusses durch den Vorsitzenden des Geschworenengerichts Mailand statt, das die Beurteilung der Verfassungsmäßigkeit der Norm an das Verfassungsgericht verwies. Das Mailänder Gericht hatte zwei verfassungsrechtliche Legitimitätsfragen aufgeworfen: a) "dort, wo das Verhalten zur Hilfe zum Selbstmord statt des Verhaltens zur Verleitung zu Last gelegt wird und somit abgesehen von seinem Beitrag zur Entscheidung oder Bestärkung des Suizidvorhabens" wegen angenommenen Widerspruchs zu den Artikeln 2, 13, erster Absatz und 117 des ital. GG zum Schutz der Menschenrechte und der Grundfreiheiten (EMRK, das in Rom, am 4. November 1950 unterzeichnet, ratifiziert und durch Gesetz Nr. 848 vom 4. August 1955 vollstreckbar wurde); b) "dort, wo das Verhalten der Erleichterung in der Ausführung des Selbstmords vorgesehen ist, das nicht auf den Weg der Entscheidungsfindung des Suizid-Anwärters einwirkt, mit einer Haftstrafe von 5 bis 10 [recte: 12] Jahren, ohne Unterschied zum Verhalten der Verleitung bestraft werden kann", wegen angenommenen Widerspruchs zu den Artikeln 3, 13, 25, zweiter Absatz, und 27, dritter Absatz, ital. GG. Das Verfassungsgericht bestätigte bei der Aufnahme des Beschlusses Nr. 207 von 2018 die Nicht-Unvereinbarkeit der Beschuldigung der Hilfe zum Selbstmord mit dem Grundgesetz; dennoch befand das Verfassungsgericht, spezifische Fälle zu erkennen, in denen das besagte Verbot fallen müsse. Es handele sich um völlig außergewöhnliche Situationen, und zwar solche, in denen die unterstützte Person sich selbst wie folgt identifiziere: (a) als an einer unheilbaren Krankheit leidend, die (b) körperliches und psychisches Leiden mit sich bringt, die von der Person als absolut nicht auszuhalten betrachtet werden, welche (c) durch lebenserhaltende Maßnahmen am Leben gehalten wird, aber (d) in der Lage ist, Entscheidungen frei und bewusst zu treffen. In allen anderen Fällen könnte sich der Sterbewille dank Anwendung des ital. Gesetz L. Nr. 219 von 2017 erfüllen, das als Normen zur aufgeklärten Einwilligung und Patientenverfügung) rubriziert ist und durch die Voraussichten des ital. Gesetzes Nr. 38 vom 15. März (Bestimmungen zur Gewährleistung des Zugangs zu Palliativpflege und Schmerztherapie) ergänzt wurde. Anschließend bestätigt das Verfassungsgericht bedeutungsvoll: "Dieses Gericht befindet im Übrigen, zumindest zu diesem Zeitpunkt, keine Abhilfe schaffen zu können gegen die erkannte Rechtsverletzung hinsichtlich der oben aufgeführten Grundsätze durch die bloße Ausweisung aus dem Anwendungsbereich der Strafverfügung jener Fälle, in denen die Hilfe gegenüber Personen geleistet wird, die sich in den gerade beschriebenen Zuständen befinden", denn "eine solche Lösung würde an sich die Leistung materieller Hilfe gegenüber von Patienten in diesen Zuständen, in einem ethisch-gesellschaftlich höchst empfindlichen Bereich, in welchem jeder mögliche Missbrauch mit Bestimmtheit auszuschließen ist, vollkommen ungeschützt lassen". Die besagte Regelung müsste anfangs dem Parlament anvertraut werden, da die normale Aufgabe dieses Gerichtshofs die Überprüfung der Vereinbarkeit der vom Gesetzgeber in Ausübung seines politischen Ermessensspielraums bereits vorgenommenen Entscheidungen mit den durch die Notwendigkeit der Beachtung der verfassungsrechtlichen Grundsätze und der Grundrechte der betroffenen Personen vorgeschriebenen Einschränkungen ist. Das Verfassungsgericht bestimmt also, "seine eigenen Befugnisse zur Steuerung des Verfassungsprozesses" zu nutzen und die nicht mit dem Grundgesetz übereinstimmende Vorschrift beizubehalten, ohne jedoch deren Anwendung durch die Richter zu verfügen, in Anbetracht der Tatsache, dass die Wirksamkeit der zensierten Regelung im vorliegenden Fall angesichts "dessen besonderer Eigenschaften und wegen der Bedeutung der damit verbundenen Werte" nicht als erlaubt gelten könnte. Wie man bemerken kann, scheint die Ratio der Unvereinbarkeitserklärung in diesem Fall tatsächlich die Rolle des "steinernen Gastes" übernommen zu haben. Der Gerichtshof bestätigt somit: "Um zu verhindern, dass die Vorschrift in dem hier angefochtenen Teil in der Zwischenzeit angewendet werden kann, wobei dem Parlament dennoch die Möglichkeit gegeben ist, die notwendigen Entscheidungen zu treffen, die grundsätzlich in seinem Ermessensspielraum bleiben – die Notwendigkeit, den Schutz der Patienten in den mit dieser Verkündigung angegebenen Einschränkungen zu gewährleisten, bleibt unangetastet – befindet der Gerichtshof somit auf andere Weise vorsorgen zu müssen, indem er also die Aufschiebung des laufenden Verfahrens verfügt und die Verhandlung zur neuen Diskussion der Verfassungsmäßigkeitsfragen für den 24. September 2019 anberaumt; in den anderen Verfahren dagegen obliegt es den Richtern, zu beurteilen, ob, angesichts der Angaben in dieser Verkündigung ähnliche Fragen zur Verfassungslegitimität der untersuchten Verfügungen als erheblich und nicht offensichtlich unbegründet anzunehmen sind, um die Anwendung derselben Verfügung in dem hier angefochtenen Teil zu vermeiden". Die besagte Verkündigung ist durch die nun sehr bekannte Beschlussformel, charakterisiert, welche die getroffene Erklärung der Verfassungswidrigkeit von Art. 580 ital. StGb nicht enthält. Darin heißt es: "Aus diesen Gründen wird die Behandlung der mit dem im Rubrum angegebenen Beschluss aufgeworfenen Fragen zur Verfassungsmäßigkeit auf die öffentliche Verhandlung am 24. September 2019 verschoben". Es handelt sich nämlich um einen vorläufigen Beschluss, mit dem das Verfassungsgericht entschied, das Gerichtsverfahren aufzuschieben und die Verfassungswidrigkeit von Art. 580 ital. StGb auf die in derselben Verkündigung beschriebene Weise zu überprüfen. Die deutschen Unvereinbarkeitserklärungen ähneln jedoch in Ratio und Aufbau der besprochenen Verkündigung, denn derselbe Verfassungsrichter Modugno verwies in Bezug auf Beschluss Nr. 207 von 2018 bei der öffentlichen Verhandlung am 24. September 2019 ausdrücklich auf die deutsche Rechtsprechung. In erster Linie tritt die "Anwendungssperre der verfassungswidrigen Norm" hervor; in zweiter Linie tritt die für den Gesetzgeber vorgesehenen Frist und der Verweis auf eine "faire und dialektische institutionelle Zusammenarbeit" hervor; in dritter Linie tritt der weite Ermessensspielraum, den das Verfassungsgericht dem Gesetzgeber zur verfassungsgemäßen Gestaltung der Regelung gelassen hat, hervor. Wie in der Rechtslehre bestätigt, handele es sich um ein "gefestigter" Appell, ein Urteil zur ermittelten aber nicht erklärten ganz eigenen Verfassungswidrigkeit, eine italienische Unvereinbarkeitserklärung. Außerdem besonders hervorzuheben ist die Tatsache, dass das Gebiet, auf welchem die besagte Verkündigung eingriff, das Strafrecht ist, indem das Ermessen des Gesetzgebers erheblich bedeutend ist. Trotz der Absicht des Verfassungsgerichts handelte der Gesetzgeber nicht innerhalb der vorgesehenen Frist, aus diesem Grund referierte das Verfassungsgericht in der am 25. Oktober 2019 veröffentlichten Pressemeldung, dass "der Gerichtshof in Erwartung eines unerlässlichen Eingriffs des Gesetzgebers die Nicht-Strafbarkeit der Beachtung der Verfahren, die in der Vorschrift zur aufgeklärten Einwilligung, zur Palliativpflege und zur kontinuierlichen tiefen Sedierung (Artikel 1 und 2 des ital. Gesetzes 219/2017) und der Überprüfung sowohl der erforderlichen Bedingungen als auch der Ausführungsverfahren durch eine öffentliche Einrichtung des staatlichen Gesundheitsdienstes nach Anhörung des Bescheids des örtlich zuständigen Ethik-Kommission vorgesehen sind, unterstellt". Vor wenigen Tagen wurde das Urteil Nr. 242 von 2019 hinterlegt, mit dem das Verfassungsgericht die "Sage" Cappato "abschloss": aus zeitlichen Gründen konnte diese Verkündigung, die jedoch in Bezug auf die Beziehung zwischen Verfassungsgericht und Gesetzgeber von erheblicher Bedeutung für diese Doktorarbeit ist, nicht untersucht werden. Das Verfassungsgericht entschied somit, die "Verfassungswidrigkeit von Art. 580 des ital. Strafgesetzbuchs dahingehend" zu erklären, "dass die Strafbarkeit dessen nicht ausgeschlossen wird, der mit der in den Artikeln 1 und 2 des ital. Gesetzes Nr. 2019 vom 22. Dezember 2017 (Normen zur aufgeklärten Einwilligung und Patientenverfügung)– d.h. in Bezug auf die Tatbestände vor der Veröffentlichung dieses Urteils im Amtsblatt der Republik mit gleichwertigen Vorgehensweisen wie in der Begründung – vorgesehenen Art und Weise die Ausführung des sich selbständig und frei gebildeten Suzidvorhabens einer durch lebenserhaltende Maßnahmen am Leben gehaltenen Person, die an einer unheilbaren Krankheit leidet, welche körperliche und psychische Leiden mit sich bringt, die von dieser als nicht auszuhalten angesehen werden, welche aber in der Lage ist, Entscheidungen frei und bewusst zu treffen, sofern diese Bedingungen und die Ausführungsverfahren durch eine öffentliche Einrichtung des staatlichen Gesundheitsdienstes überprüft werden nach Anhörung des Bescheids des örtlich zuständigen Ethik-Kommission erleichtert". Der Gesetzgeber, der zum Handeln im Anschluss an die erfolgte Aufschiebung der Rechtswirkungen des Urteils der "ermittelten" Verfassungswidrigkeit laut Beschluss Nr. 207 von 2018 aufgerufen wurde, scheint zusammen mit und vor allem durch seine Untätigkeit im Urteil Nr. 242 von 2019 in den Vordergrund zu treten. Das dritte Kapitel ist vollumfänglich der deutschen Praxis der Unvereinbarkeitserklärungen gewidmet, deren wichtigste Vorteile und Problempunkte untersucht werden. Im 1. Abschnitt (Die Ratio eines Vergleichs zwischen der "alternativen Tenorierung" des BVerfG und der zeitlich handhabenden Rechtsprechung des Verfassungsgerichts) wird versucht, die Gründe, auf denen das Interesse für die zeitlich handhabende deutsche Praxis beruht zu erklären. Erstens entspricht, wie weiter unten ausgeführt sowohl in der italienischen Ordnung wie auch in der deutschen die Verfassungswidrigkeit einer Norm faktisch seiner Ungültigkeit. Trotz dieser gemeinsamen Voraussetzung, eben in Hinsicht auf die Notwendigkeit, eine Steuerung der Rechtswirkungen im Verlauf der Zeit der Verfassungswidrigerklärung vorzunehmen, sah der deutsche Gesetzgeber eine Änderung des BVerfGG vor, während dagegen, obwohl die Corte costituzionale in einigen Fällen befunden hatte, von der Rückwirkung der Annahmeurteile abzuweichen, das Verfassungssystem, wie im ersten und zweiten Kapitel zu zeigen versucht wurde, noch keine Form der Positivierung der Handhabung der Rechtswirkungen im Verlauf der Zeit erfahren. Und dies trotz der kürzlichen Einführung von Urteil Nr. 10 von 2015 und Beschluss Nr. 207 von 2018: erstes enthält, wie bereits besprochen, einen ausdrücklichen Verweis auf die deutsche Praxis; zweiter dagegen verweist lediglich implizit auf den Aufbau und die Ratio der deutschen Unvereinbarkeitserklärungen. Die besagten Entscheidungen werden aufgrund ihrer Bedeutung Untersuchungsgegenstand in Abschnitt 1.1. (Die Ratio des Vergleichs: zwei aktuelle Beispiele). In Abschnitt 1.2. (Die Problematik eines Vergleichs zwischen der italienischen und der deutschen Praxis) wird die Problematik bezüglich eines Vergleichs zwischen der italienischen und der deutschen Praxis hervorgehoben. In erster Linie tritt die verschiedene gesetzliche Regelung der Rechtswirkungen der Verfassungswidrigerklärung hervor; in zweiter Linie die ungleichen Beziehungen zwischen den verschiedenen Verfassungsorganen (zu denen das Verfassungsgericht offensichtlich gehört). In diesem Abschnitt werden diese beiden Aspekte beleuchtet, wobei jedoch nicht zu vergessen ist, dass, wenn auch die Beziehung zwischen BVerfG und dem Gesetzgeber entschieden entspannter ist als in der italienischen Situation, werden in der deutschen Rechtslehre dennoch die Problematiken hervorgehoben, die ein eventuelles Nicht-Erfüllen des Gesetzgebers der Vorgabe des Verfassungsgerichts mit sich bringt; gleichzeitig weisen die Unvereinbarkeitserklärungen Elemente der Unklarheit auf, und zwar in Bezug auf die Möglichkeit, ihre juristischen Folgen sicher kennen zu können, da diese konkret von den Entscheidungen des BVerfG abhängen; aus diesem Grund ist dieser Entscheid zum Teil auch Gegenstand der Kritik durch die deutsche Rechtslehre. Im Übrigen, während in Bezug auf die italienische Praxis die Unvereinbarkeitserklärungen vor allem angesichts der "unvorhersehbaren" Folgen kritisiert werden, kann man gleichzeitig nicht übersehen, dass dieselbe Kritik (und nicht nur diese) in der deutschen Rechtslehre angeführt wird, in der auch einige Problempunkte in Bezug auf die Beziehung zwischen Gesetzgeber und BVerfG mit besonderem Verweis auf die zeitlich handhabende Praxis hervorgehoben werden. In Abschnitt 1.3. (Ziel des Vergleichs mit den deutschen Unvereinbarkeitserklärungen) wird das Ziel des Vergleichs unterstrichen, das nicht nur in einer Überlegung zur hypothetischen Übertragung dieses Entscheidungstyps in die Sammlung der Entscheidungsmittel des Verfassungsgerichts ist, sondern auch in einer Überlegung zum Thema der "Einschränkung" der Rückwirkung besteht. Die nachfolgenden Abschnitte sind der Untersuchung der Norm gewidmet. Im 2. Abschnitt (Die Nichtigkeitslehre und die Theorie der Vernichtbarkeit) geht es auf rein theoretischer und allgemeiner Ebene um die Grundzüge der Nichtigkeitslehre und der Vernichtbarkeitstheorie. Abschnitt 2.1. ist vollumfänglich der Ipso-iure-Nichtigkeit gewidmet, die das Panorama der deutschen Rechtslehre seit den fünfziger Jahren beherrscht; es werden die juristischen Modelle untersucht, auf denen sie beruht und auf die Verfassungsnormen und das einfache Recht verwiesen, auf das sie aufbaut. Abschnitt 2.2. (Die Theorie der Nichtigkeit im Grundgesetz) ist den Verfassungsnormen gewidmet, welche die Grundlage der Nichtigkeitslehre darzustellen scheinen. Abschnitt 2.3. (Die Nichtigkeit des Verfassungsgesetzes und die Hauptquelle: §78 BVerfGG) ist der Untersuchung von § 78 BVerfGG gewidmet, wo es heißt, "Kommt das Bundesverfassungsgericht zu der Überzeugung, dass Bundesrecht mit dem Grundgesetz oder Landesrecht mit dem Grundgesetz oder dem sonstigen Bundesrecht unvereinbar ist, so erklärt es das Gesetz für nichtig". Wie man sieht, bestätigt diese Verfügung die Nichtigkeit der für verfassungswidrige erklärten Norm und steht so im Widerspruch zur "bloßen" Erklärung der Unvereinbarkeit der verfassungswidrigen Norm. Abschnitt 2.4. (Die Gesichtspunkte der Flexibilisierung der Rechtswirkungen der Entscheidung angesichts der Ipso-iure-Nichtigkeit) ist den allerersten Versuchen des BVerfG gewidmet, eine Ausnahme vom Dogma der Nichtigkeit zu machen und sich auf dieser Weise dem zu nähern, was als "Anwendbarkeit des Rechts" definiert wurde. Abschnitt 2.5. ist vollumfänglich der Vernichtbarkeitstheorie des Gesetzes gewidmet; insbesondere werden im Verlauf desselben die theoretischen und gesetzlichen Grundlagen dieser These untersucht, die sich teilweise mit der Notwendigkeit der Überwindung der die Nichtigkeitserklärung charakterisierenden Problempunkten deckt, wobei die Bedeutung, die diese Theorie hinsichtlich der Unvereinbarkeitserklärungen annimmt zu berücksichtigen ist. Der 3. Abschnitt (Die Folgen der Nichtigkeitserklärung, §79 BVerfGG) ist der Untersuchung der Folgen (gegenüber Vergangenheit und Zukunft) der Verfassungswidrigerklärung gewidmet: Diese Analyse entwickelt sich angesichts einiger von einigen Autoren der deutschen Rechtslehre, darunter vor allen Kneser, Gusy und Ipsen vorgebrachten Thesen. Abschnitt 3.1. (Die Vorschläge zur Änderung der Rechtswirkungen der deutschen Nichtigkeitserklärung) ist, fast symmetrisch zum 2. Abschnitt des 2. Kapitels, der Untersuchung zweier bedeutender Versuche zur Änderung der Rechtswirkungen laut § 79, Abs. 1 BVerfGG (BT-Drs. V/3916) und (BT-Drs VI/388) gewidmet, die, obwohl nie verabschiedet zur Verbreitung einer möglichen Rechtfertigung der Theorie der Vernichtbarkeit der verfassungswidrigen Norm beigetragen haben. Nach einem Teil der Rechtslehre war der Grund für die mangelnde Änderung der Rechtswirkungen des Nichtigkeitsurteils laut §79 BVerfGG sehr einfach, denn jede Form der Kodifizierung würde die notwendige Handlungsflexibilität des BVerfG einschränken, welches im Übrigen durch den Gebrauch der Unvereinbarkeitserklärungen immer anwendbare Handlungen gefunden hat. In jedem Fall änderte der Gesetzgeber im Jahr 1970 durch das Vierte Gesetz zur Änderung des BVerfGG den §79 1. Abs. und den § 31 2. Abs., in denen die Möglichkeit vorgesehen ist, dass die verfassungswidrige Norm nicht nur nichtig erklärt wird, sondern auch unvereinbar. Der umfangreiche 4. Abschnitt (Die deutschen Unvereinbarkeitserklärungen) ist den deutschen Unvereinbarkeitserklärungen gewidmet, die unter mehreren Gesichtspunkten untersucht werden und in diesem Kapitel Hauptgegenstand der Studie sind. In Abschnitt 4.1. (Grundlage und Legitimation der Unvereinbarkeitserklärungen) werden die allgemeinen Gründe untersucht, die das BVerfG dazu führten, trotz der Vorgabe des § 78 BVerfGG einen von der Nichtigkeitserklärung verschiedenen Entscheidungstyp einzuführen. Der zu untersuchende Entscheidungstyp ist mit der Zeit nach einem Teil der Rechtslehre zu einer "Regel" geworden, denn §78 BVerfGG hätte (nach der Lehre Burkiczaks) ein primitives Wesen angenommen. Andererseits weist der Pragmatismus des BVerfG einige bedeutende Schwierigkeiten auf, wie hier hervorzuheben versucht wird: Erstens die der Erkennung einer juristisch-theoretischen Rechtfertigung des besprochenen Entscheidungstyps und zweitens das Problem der Beschreibung der Anwendungstopoi, in Anbetracht der Tatsache, dass die Anwendungskriterien der Unvereinbarkeitserklärungen oft Überlagerungen aufweisen. In Abschnitt 4.2. (§ 79 1. Abs. des BVerfGG und § 31, 2. Abs. BVerfGG: die Revolution des Vierten Gesetzes zur Änderung des BVerfGG) wird das Thema der Revolution des Vierten Gesetzes zur Änderung des BVerfGG in Angriff genommen, das §79 1. Abs. des BVerfGG und § 31 2. Abs. BVerfGG änderte und die Möglichkeit einfügte, die Norm für unvereinbar zu erklären. Während in Abschnitt 4.3. (Der § 31 des BVerfGG) eben § 31 des BVerfGG, untersucht wird, befasst sich Abschnitt 4.4. (Der § 35 des BVerfGG) mit § 35 des BVerfGG, welcher nicht nur die Grundlage der Fortgeltungsanordnung der unvereinbaren Norm, sondern auch die möglichen Formen zu deren Vollstreckung begründet. Gerade wegen der "pragmatischen" Natur der Unvereinbarkeitserklärungen ist es schwierig, die Anwendungstopoi dieses Entscheidungsmittels zu erkennen; nicht ohne Grund wird in der maßgeblichen Rechtslehre auf eine pragmatische, flexible und nicht dogmatische zeitlich handhabende Praxis verwiesen, die im 5. Abschnitt (Das Problem der Erkennung einer Kasuistik der Unvereinbarkeitserklärungen: die pragmatische, flexible und nicht dogmatische Praxis) behandelt wird. Ganz allgemein werden Unvereinbarkeitserklärungen in folgenden Fällen angewendet: a) wenn der Gesetzgeber verschiedene Möglichkeiten hat, um den Mangel an Verfassungsmäßigkeit zu beseitigen, für gewöhnlich, wenn der Gleichheitsgrundsatz verletzt wird, da dem Gesetzgeber ein großer Ermessensspielraum zukommt, um die verletzte Legalität wiederherzustellen. In diesem Fall ist es der Schutz der Ermessenssphäre des Gesetzgebers der zur Grundlage der Beurteilung (oder wenn man will der Abwägung) der juristischen Folgen der Verfassungswidrigerklärung wird. Hinsichtlich der Beziehung zum Gesetzgeber wird in der Rechtslehre eine Form der spezifischen Koordinierung zwischen BVerfG und Gesetzgeber bezeichnet, in Anbetracht der Tatsache, dass die Unvereinbarkeitserklärung den Ermessensspielraum des Gesetzgebers in Hinsicht auf den Zeitraum zwischen der Erklärung der Unvereinbarkeit und der Einführung der neuen Gesetzesverordnung schützt. b) wenn ein Übergang von der verfassungswidrigen Lage zur verfassungsmäßigen Situation im Gemeininteresse notwendig ist. Im Wesentlichen erhält dieser Anwendungsbereich in dem Fall Bedeutung, wo die Aufnahme einer Verfassungswidrigerklärung die Verfassungswidrigkeit innerhalb der Rechtsordnung noch verschlimmern würde. In diesem Sinne tritt die "Chaos-Theorie" hervor, die im Übrigen an die Verletzung der Artt. 33. 1. Abs., 2. Abs., 3. Abs. und 21 1. Abs. GG anknüpft. Während man die Einwendung der möglichen Unbestimmtheit der s.g. Anwendungstopoi der Unvereinbarkeitserklärungen eben wegen des Fehlens einer umfassenden Gesetzesgrundlage, die in Abschnitt 5.1. (Gibt es einen Numerus clausus der Anwendungsfälle der Unvereinbarkeitserklärungen?) angesprochen wird, im Hinterkopf behält, wird im 6. Abschnitt (Die Unterkategorien der Unvereinbarkeitserklärungen) auf die notwendige Unterscheidung zwischen den Unvereinbarkeitsentscheidungen und den s.g. Appellentscheidungen hingewiesen, um dann im Verlauf von Abschnitt 6.1. (Das "reine" Unvereinbarkeitserklärung) zur Untersuchung der Hauptmerkmale der reinen (oder schlichten) Unvereinbarkeitserklärung überzugehen, die sich vor allem durch eine Reformpflicht (mit dem Ziel der Garantie der freien Ausübung durch den Gesetzgeber seines Werks zur Beseitigung des vom BVerfG entschiedenen Legitimitätsmangels) und durch die s.g. Anwendungssperre des für verfassungswidrig erklärten Gesetzes charakterisiert, wie im Übrigen in der allerersten Unvereinbarkeitsentscheidungen, BVerfGE 28, 227 (Steuerprivilegierung Landwirte) vorgesehen war. Abschnitt 6.2. (Die Unvereinbarkeitserklärung und die s.g. weitere Anwendbarkeit des für unvereinbar erklärten Gesetzes) ist der Untersuchung des Aufbaus der vom BVerfG verfügten Anordnung der Anwendung des für unvereinbar erklärten Gesetzes: wie in diesem Abschnitt gezeigt wird, betrachtet die Rechtslehre das Mittel der Fortgeltungsanordnung als eine Art "Ebene" des "reinen" Unvereinbarkeitsurteils; gleichzeitig wird deren so verschiedenartiger Aufbau untersucht. In diesem Sinn wird auf die vorläufige Weitergeltungsanordnung und die endgültige Weitergeltungsanordnung verwiesen. Die Fortgeltungsanordnung wird auch in Abschnitt 6.2.1. untersucht, wo die gesetzliche Grundlage der Fortgeltungsanordnung zum Analyseobjekt wird; gleichzeitig erfolgt eine Überlegung zur Möglichkeit, die Voraussicht der zeitlich beschränkten Anwendung des für unvereinbar erklärten Gesetzes mit der Normenhierarchie zu vereinen. Die Lösung scheint in dem vom BVerfG verspürten Bedürfnis, die verfassungsfernere Lösung auszuschließen zu liegen. In Abschnitt 6.2.2. (Die in der Motivation der Unvereinbarkeitserklärungen liegende Schwierigkeit, vor allem in Bezug auf die mit Fortgeltungsanordnung verbundenen Erklärungen) wird der Problempunkt der schwierigen Erkennung der Folgen, die sich aus den Unvereinbarkeitsurteilen ergeben können, behandelt, und insbesondere im Fall der mit Anordnung der s.g. weiteren Anwendbarkeit, verbundenen Entscheidungen, in Anbetracht der Tatsache, dass das BVerfG die Folgen der Unvereinbarkeitsentscheidungen offen lässt. In Abschnitt 6.3. (Die mit einer Übergangsregelung verbundenen Unvereinbarkeitserklärungen) werden dagegen die mit einer vom selben BVerfG bestimmten Übergangsregelung verbundenen Unvereinbarkeitsentscheidungen analysiert. Die besagten Übergangsregelungen bestehen auch unabhängig von der Anwendung der Unvereinbarkeitserklärungen, denn diese können an Nichtigkeitserklärungen gebunden sein: Man denke beispielsweise an die Entscheidungen BVerfGE 1, 39 – Schwangerschaftsabbruch 1 und BVerfGE 88, 203 – Schwangerschaftsabbruch II. Wie weiter unten gezeigt, übernehmen die Übergangsregelungen, wenn sie in Begleitung der Unvereinbarkeitserklärungen beschlossen werden, die Rolle der "Entscheidungsgrundlage", und zwar deshalb, weil die Übergangsregelung keinen unabhängigen Entscheidungstyp darstellt. Der 7. Abschnitt (Die Anwendungsgebiete der Unvereinbarkeitserklärungen) besteht aus mehreren Unterabschnitten und beschäftigt sich mit Überlegungen zu den Anwendungsgebieten der deutschen Unvereinbarkeitserklärungen, die vor allem in Bezug auf die italienische Praxis von besonderem Interesse sind. Wie weiter unten gezeigt, basieren die Unvereinbarkeitserklärungen auf denselben Gründen wie die vom Verfassungsgericht entwickelte umfangreiche Sammlung an Entscheidungsmitteln, d.h. zum Beispiel die Urteile mit verschobener Verfassungswidrigkeit, die ein Prinzip ergänzenden Urteile und die Urteile zur ermittelten aber nicht erklärten Verfassungswidrigkeit. Erstens ist der Anwendungstopos der Verletzung des Gleichheitsgrundsatzes, zu berücksichtigen, der in Abschnitt 7.1. (Die Verletzung des Gleichheitsgrundsatzes und der Schutz des Ermessensspielraums des Gesetzgebers) ausgehend von der ersten "offensichtlichen" Entscheidung mit Verzicht auf die Anwendung der Nichtigkeitserklärung BVerfGE 22, 349 (361-362) – Waisenrente und Wartezeit – untersucht wird. Das Ziel, die Optimierung der Beseitigung des Mangels an Verfassungsmäßigkeit zu gewährleisten, vereint sich im Fall der Verletzung des – in Art. 3 GG dargelegten Gleichheitsgrundsatzes – mit dem Schutz des Ermessensspielraums des Gesetzgebers (vgl. BVerfGE 17, 148; BVerfGE 93, 386; BVerfGE 71, 39; BVerfGE 105, 73; siehe schließlich auch das Urteil zum dritten Geschlecht vom 10. Oktober 2017). Während in Abschnitt 7.1.1. (Die Einführung der Nichtigerklärung im Fall der Verletzung des Gleichheitsgrundsatzes) die (außergewöhnlichen) Gründe behandelt werden, aufgrund derer das BVerfG verfügt, die Nichtigerklärung anzuwenden, obwohl ein Gleichheitsgrundsatz verletzt wurde, beschäftigt sich Abschnitt 7.2. (Die s.g. Chaos-Theorie) mit der Theorie, die auch als "Argument der juristischen Folgen" bezeichnet wird: Dieses Argument liegt, wie man im Verlauf dieses Kapitels sieht, dem Verzicht auf die Anwendung der Nichtigerklärung zugrunde, d.h. die Gefahr eines noch "verfassungsferneren Zustands bei Nichtigerklärung" (vgl. BVerfGE 37, 217; BVerfGE 33, 303; BVerfGE 132, 134). Es ist interessant zu bemerken, dass dieser Anwendungstopos im Bedürfnis, die Rechtssicherheit und den Rechtsstaat zu gewährleisten, substanziiert werden kann; weiter könnte das BVerfG nicht nur gesellschaftliche, sondern auch durch das Grundgesetz gewährleistete Grundrechte schützen wollen. Wegen der Bedeutung der Kategorie der Rechtssicherheit in der Praxis der Unvereinbarkeitserklärungen ist Abschnitt 7.2.1. (Rechtssicherheit . Eine elastische Kategorie) einer Untersuchung der Beziehung zwischen diesem juristischen "Gut" und der zeitlich handhabenden Praxis des BVerfG gewidmet; in Abschnitt 7.2.2. (Der Schutz des Gemeinwohls und die mit Fortgeltungsanordnung verbundenen Unvereinbarkeitserklärungen) wird eine Überlegung zur Beziehung zwischen den mit Fortgeltungsanordnung verbundenen Unvereinbarkeitserklärungen und der verfassungsrechtlichen Notwendigkeit zum Schutz des Gemeinwohls entwickelt (vgl. BVerfGE 91, 186; BVerfGE 198, 190; BVerfGE 109, 190); der nächste Abschnitt 7.3. (BVerfG und Strafrecht) behandelt die Verwendung der Unvereinbarkeitserklärungen (insbesondere der mit Fortgeltungsanordnung verbundenen) durch das BVerfG auf dem Gebiet des Strafrechts. Dieser Abschnitt ist für italienische Forscher besonders interessant, nicht nur angesichts des weiten Ermessensspielraums, der dem Gesetzgeber auf dem Gebiet des Strafrechts zukommt, sondern auch angesichts der Aufnahme des kürzlichen Beschlusses Nr. 208 von 2017, der im späteren Verlauf seine "Folge" in Urteil Nr. 242 von 2019 fand (vgl. BVerfGE 109, 190; die Verkündigung zur Sicherungsverwahrung vom 4. Mai 2011, oder weiter die Entscheidung vom 20. April 2016 zum Thema Bundeskriminalamtgesetz). Wie man sehen wird, scheinen der Gesetzgeber und das BVerfG auf dem Gebiet des Strafrechts zwischen den Vorgaben der Beachtung des legislativen Ermessens und der erfolgten Unvereinbarkeitserklärung der nicht mit der Verfassung zu vereinbarenden Strafnorm zu "dialogisieren". Abschnitt 7.4. (Der Topos der Finanz- und Haushaltsplanung) ist der zwischen der Annahme der Unvereinbarkeitserklärung, seiner zeitlichen Wirkung und der Notwendigkeit zum Schutz des Staatshaushalts bestehenden Beziehung gewidmet. Zu diesem Zweck darf man die Tatsache nicht vergessen, dass die Weitergeltungsanordnung eine ausreichende juristische Grundlage ist, um die Zahlung der Steuern von den Bürgern zu fordern und dass diese gleichzeitig ein mögliches Mittel darstellt, um das Auftreten einer unsicheren Rechtssituation zu verhindern, da die Steuereinnahmen des Bundes oder der Länder verloren gehen könnten (vgl. BVerfGE 138, 136; Urteil vom 15. Januar 2019 2 BvL 1/09). Der Abschnitt 7.5. (Die Unvereinbarkeitserklärungen gegenüber der legislativen Unterlassung) behandelt die Beziehung zwischen der Unterlassung des Gesetzgebers und dem Verzicht auf die Nichtigkeitserklärung einer Norm. Es handelt sich im Wesentlichen um ein vollkommen primitives – und problematisches – Kriterium der Anwendung der Unvereinbarkeitserklärungen, wie es auch die Kategorie hinsichtlich des Ermessens des Gesetzgebers ist, dessen Hauptmerkmale in Abschnitt 7.6. (Ein primitives Kriterium: der Ermessensspielraum des Gesetzgebers) untersucht werden. Im 8. Abschnitt (Die Folgen der Unvereinbarkeitserklärungen: Eine allgemeine Übersicht) werden die Folgen analysiert, die ganz allgemein die Anwendung der Unvereinbarkeitserklärung betreffen, wobei jedoch zu unterstreichen ist, dass die Folgen je nach der "konkreten" Praxis, die dasselbe BVerfG befindet, Änderungen unterliegen können. Die Auswirkungen der Unvereinbarkeitserklärung haben keine "klare Linie". Ganz allgemein folgt der Anwendung einer Unvereinbarkeitserklärung die Pflicht des Gesetzgebers, den Mangel an Verfassungsmäßigkeit zu beseitigen und die Pflicht der Richter, die Vorgabe des Gerichts in Bezug auf die für unvereinbar erklärte Norm zu befolgen. In Bezug auf die Beziehung zwischen BVerfG und Gesetzgeber wird in Abschnitt 8.1. (Die aus der Pflicht zur Reform der unvereinbaren Norm, der s.g. Nachbesserungspflicht entstehenden Folgen) die Reformpflicht des Gesetzgebers untersucht und deren ex tunc- bzw. ex nunc-Wirkung je nachdem, wie das Bundesverfassungsgericht von Fall zu Fall entscheidet. In diesem Abschnitt wird versucht, auch die Natur und das Gebundensein an die Frist zu untersuchen, einem nicht ganz unbekannten Instrument im Bereich des italienischen Verfassungsrechts. Obwohl der Deutsche Bundestag häufig innerhalb der vom BVerfG, vorgesehenen Frist eingreift, gibt es doch auch Fälle, in denen der Gesetzgeber nicht innerhalb des vorgesehenen Zeitraums gehandelt hat (vgl. BVerfGE 99, 300; und das Urteil zur Erbschaftssteuer vom 17. Dezember 2014). In Bezug auf Problematiken hinsichtlich der Untätigkeit des Gesetzgebers kommt man nicht umhin, das in der übermäßigen zeitlichen Verlängerung der Anwendungssperre liegende Risiko zu betrachten (vgl. BVerfGE 82, 136). In Hinsicht auf die anderen Verfassungsorgane hat die Rechtslehre im Fall von legislativer Untätigkeit zwei verschiedene Möglichkeiten zum "Sperren" des verfassungswidrigen Zustands erkannt: Eingriff der Gerichte, die dazu aufgerufen sind, verfassungsmäßig zu entscheiden und Eingriff desselben BVerfG in "Einzelfall" gemäß § 35 des BVerfGG. Hinzu kommt, wie man weiter unten sieht, dass es schwierig ist, die Nichtigkeit der für unvereinbar erklärten Norm bei Untätigkeit des Gesetzgebers vorauszusehen. In jedem Fall sind die Probleme hinsichtlich des mangelnden Nachkommens der Nachbesserungspflicht eher theoretischer Art, wenn man die bestehende gute Zusammenarbeit zwischen Gesetzgeber (Richtern) und BVerfG bei der Umsetzung der zeitlich handhabenden Praxis bedenkt. In Abschnitt 8.2. (Die spezifischen Folgen der Unvereinbarkeitserklärungen) werden die spezifischen juristischen Folgen der Unvereinbarkeitserklärungen untersucht, wobei vor allem die "reinen" und die mit weiterer Anwendbarkeit verbundenen Unvereinbarkeitserklärungen betrachtet werden. Der 9. Abschnitt (Der Zeitfaktor der Unvereinbarkeitserklärungen: ein flexibles Entscheidungsmittel) widmet sich der zeitlichen Orientierung, welche die Rechtswirkungen der Unvereinbarkeitsurteile annehmen können, und zwar ex tunc- oder ex nunc-Wirkung, je nach der ihrerseits von der Reformpflicht des Gesetzgebers angenommenen zeitlichen Orientierung. Die mit der bloßen ex nunc-Wirkung der Unvereinbarkeitserklärungen verbundenen Problematiken, die in den Bereichen zur Beurteilung der konkreten Normenkontrolle und der Verfassungsbeschwerde am deutlichsten hervortreten, sind für das italienische Verfassungsrecht besonders interessant, in Anbetracht der Tatsache, dass dieses weitgehend durch die Inzidentalität des Systems charakterisiert ist, das durch die Unterbrechung des Inzidentalitätszusammenhangs stark beeinträchtigt würde. Die gleichen Problematiken scheinen sich laut der deutschen Rechtslehre in Bezug auf die beiden eben angeführten deutschen Urteilstypen zu stellen; ein deutliches Beispiel ist das in diesem Abschnitt untersuchte Urteil, die Entscheidung vom 10. April 2018 – 1 BvL 11/14. Angesichts der Ausführungen im ersten, zweiten und dritten Kapitel werden im letzten die Schlüsse dieser Doktorarbeit gezogen und versucht einen roten Faden zwischen der zeitlich handhabenden Rechtsprechung des ital. Verfassungsgerichts und der des BVerfG zu finden, und zwar anhand der Untersuchung einiger Aspekte, die das heutige Verfassungsrecht zu "modellieren" scheinen und deren korrekte Funktionsweise dadurch beeinflussen. Die abschließenden Betrachtungen (4. Kapitel) drehen sich um die Beziehung zwischen Verfassungsgerichtshof und Gesetzgeber der italienischen Praxis einerseits und der deutschen andererseits (1. Abschnitt), um die Beachtung des legislativen Ermessens in der italienischen Praxis einerseits und der deutschen andererseits (2. Abschnitt) und um die Notwendigkeit, "übermäßige Folgen" zu verhindern, sowohl in der italienischen als auch in der deutschen Praxis (3. Abschnitt). Weiter angesichts der deutschen Praxis, die sich auf den Schutz der Grundrechte aber weitgehend auch der Rechtsordnung insgesamt zu konzentrieren scheint, wird versucht, über eine mögliche neue Theorie der "Verfassungsfestigkeit" des Rechtssystems nachzudenken (4. Abschnitt - Eine neue Theorie der "Verfassungsfestigkeit" des Rechtssystems? Überlegungen zur deutschen Praxis). Nach dieser Klarstellung kommt man zur Endaussage dieser Doktorarbeit, die mit dem 5. Abschnitt (Reformbedarf der Regelung der Rechtswirkungen der Annahmeurteile. Auf welche Weise?) schließt: Es ist unbestreitbar, dass die Unumgänglichkeit der Rückwirkung den verfassungsrechtlichen (materiellen) Problematiken zugrunde liegt. Die deutsche Praxis der Unvereinbarkeitserklärungen beeinflusst das Verfassungsrecht unter mehreren Gesichtspunkten. Erstens in Hinsicht auf die Verbindung zwischen Verfassungsgericht und Legislativorgan. Eine Bestimmung des zeitlichen Elements der Rechtswirkungen der Entscheidungen der koordinierten Verfassungswidrigkeit gestattet es dem Gerichtshof, die Grenzen des Ermessensspielraums des Gesetzgebers zu ziehen. Daher die Bedeutung der Frist zur Eingrenzung der gesetzgebenden Gewalt innerhalb der verfassungsrechtlichen Trasse, um eine gemeinsame Beseitigung des Mangels an Verfassungsmäßigkeit zu fördern. Im Gegenfall muss das italienische Verfassungsgericht "alles alleine machen". Wie bereits angemerkt, sind die Schwierigkeiten zu berücksichtigen, die beispielsweise die mangelnde Reform des Strafgesetzbuchs von 1930 mit sich bringt, das unter anderem zu einem "unsystematischen und ungenauen" wie auch nicht in den Werterahmen der Verfassungsurkunde passendes Strafsystem geworden ist. Von erheblicher Bedeutung ist in dieser Hinsicht die kürzliche Pressemitteilung in Bezug auf die endgültige Entscheidung in der "Cappato-Sage", die auf der offiziellen Website des Verfassungsgerichts am 25. September 2019 veröffentlicht und durch das entsprechende nachfolgende Urteil Nr. 242 von 2019 bestätigt und in dieser Studie bereit ausgiebig behandelt wurde. Aufgrund seiner Relevanz wird hier der Text der Mitteilung vollumfänglich wiedergegeben: "Das Verfassungsgericht hat sich zur Urteilsfindung zurückgezogen, um die vom Mailänder Geschworenengericht zu Artikel 580 des Strafgesetzbuchs aufgeworfenen Fragen zur Strafbarkeit der Hilfe zum Selbstmord gegenüber einer Person, die entschlossen ist, ihrem Leben ein Ende zu setzen, zu untersuchen. In Erwartung der Urteilshinterlegung lässt die Presseabteilung wissen, dass der Gerichtshof eine Person, welche die Ausführung des selbständig und frei gebildeten Suizidvorhabens eines durch lebenserhaltende Maßnahmen am Leben gehaltenen Patienten, der an einer unheilbaren Krankheit leidet, welche körperliche und psychische Leiden mit sich bringt, die von diesem als nicht auszuhalten angesehen werden, welcher aber in der Lage ist, Entscheidungen frei und bewusst zu treffen, erleichtert, unter bestimmten Bedingungen für nicht strafbar laut Artikel 580 des Strafgesetzbuchs hält. In Erwartung eines unerlässlichen Eingriffs des Gesetzgebers hat das Verfassungsgericht die Nicht-Strafbarkeit der Beachtung der Verfahren, die in der Vorschrift zur aufgeklärten Einwilligung, zur Palliativpflege und zur kontinuierlichen tiefen Sedierung (Artikel 1 und 2 des ital. Gesetzes 219/2017) und der Überprüfung sowohl der erforderlichen Bedingungen als auch der Ausführungsverfahren durch eine öffentliche Einrichtung des staatlichen Gesundheitsdienstes nach Anhörung des Bescheids des örtlich zuständigen Ethik-Kommission vorgesehen sind, unterstellt. Der Gerichtshof unterstreicht, dass die Festlegung dieser spezifischen Bedingungen und Verfahrensweisen, die aus bereits in der Ordnung vorhandenen Normen abgeleitet werden, notwendig wurde, um die Risiken des Missbrauchs gegenüber besonders schwachen Personen zu verhindern, wie bereits in Beschluss 207 von 2018 hervorgehoben. Gegenüber den bereits umgesetzten Verhalten wird das Gericht das Bestehen äquivalenter materieller Bedingungen zu den oben angeführten beurteilen". Wie man beim einfache Lesen der Mitteilung erahnen kann, war es Absicht des Verfassungsgerichts, bei der Erklärung der Nicht-Strafbarkeit der Person, die unter bestimmten Bedingungen die Ausführung des Suizidvorhabens erleichtert (es handelt sich um die in Beschluss Nr. 207 von 2018 festgelegten Bedingungen), den Gesetzgeber aufzufordern, der erneut auf dem Gebiet des Lebensendes durch eine eigene Regelung eingreifen soll: Zweck des Beschlusses Nr. 207 von 2018 war gerade die zeitliche Verschiebung der Rechtswirkungen der Verfassungswidrigerklärung, um "vor allem dem Parlament zu gestatten, durch eine angemessene Regelung einzugreifen". Und wie man sieht, befand das Verfassungsgericht, gegenüber der fehlenden gesetzgebenden Handlung in der Rechtsordnung eine Form des Schutzes der Einzelnen durch Anwendung der bestehenden Bestimmungen zum Lebensende zu erkennen: Daher die (offensichtliche) Bedeutung, die dem Thema der Abstimmung zwischen Verfassungsgericht und Legislativorgan zukommt. Der Fall Cappato bestätigt die Idee, dass die Zusammenarbeit zwischen Gerichtshof und Parlament, sich eben in Richtung einer möglichen Einführung der Trennung zwischen dem Zeitpunkt der Feststellung und dem der Erklärung der Verfassungswidrigkeit bewegen könnte, ohne den Inzidentalitätszusammenhang zu opfern. In diesem Sinn treten die Unvereinbarkeitsentscheidungen hervor, bei denen der Gesetzgeber dazu verpflichtet ist, den Mangel an Verfassungsmäßigkeit mit Rückwirkung zu "bereinigen", sodass ein solches Modell funktionieren kann; dennoch ist es notwendig, der Abstimmung zwischen Gerichtshof und Parlament – wenn möglich – einen bestimmten Grad juristischer Gebundenheit zu verleihen. Anhand der deutschen Praxis und in Hinsicht auf das (entschieden kreative) zu formulierende Gesetz könnte eine bedeutende Verfassungsreform, in dieser Richtung vom Verfassungsgesetzgeber in Betracht gezogen werden (auch in diesem Fall unter Voraussicht der Rückwirkung im vorgelegten Verfahren). Wie man sehen konnte, sind die Entscheidungen des BVerfG gesetzeskräftig und bindend für alle Verfassungsorgane; sicher ist diese Grundlage in erster Instanz vorgesehen und sicher beruht auch die Pflicht des deutschen Gesetzgebers zur Beachtung der Entscheidung des BVerfG theoretisch auf Verfassungsgesetzen: dennoch wäre es vielleicht nützlich, die Vorgaben des Art. 136 2. Abs. ital. GG aufzuwerten, der, wenn auch in Bezug auf eine Beurteilung der Nützlichkeit des Eingriffs durch die Kammern und die betroffenen Regionalversammlungen doch "eine ausdrückliche und dynamische Verbindlichkeit […] der Legislativfolgen" darzustellen scheint. Eine mögliche Festigung der Verbindung zum Gesetzgeber könnte also durch eine Verfassungsreform umgesetzt werden, und zwar insbesondere durch die Änderung von Art. 132 2. Abs. ital. GG. Auf diese Weise würde die Möglichkeit des Verfassungsgerichts zur Festlegung einer Frist für den Gesetzgeber gerechtfertigt, ein Verfahren, das im Übrigen in unserem Verfassungssystem sicher nicht unbekannt ist, wie man sehen konnte. Sollte das Verfassungsgericht aufgrund verfassungsrechtlicher Bedürfnisse befinden, auf eine Form der Modellierung der Rechtswirkungen im Verlauf der Zeit und damit einer zeitlichen Verschiebung der Wirksamkeit der Verfassungswidrigerklärung durch eine Rückwirkungsklausel nicht verzichten zu können, dann gäbe es zwei mögliche Lösungen, die in Bezug auf ihre konkrete (aber eventuelle) "leichte" Umsetzbarkeit in absteigender Reihenfolge erläutert werden, im Bewusstsein jedoch, dass die Annahme einer der drei Vorschläge erhebliche Schwierigkeiten aufweist, sodass es vielleicht ratsam wäre, dass der Gesetzgeber sie alle untersucht und so dem Gerichtshof Spielraum lässt, durch eine Abwägung nach Feststellung einer elastischen Regelung der Rechtswirkungen zu handeln. Es ist jedoch sicher, dass die zuerst umrissene Lösung in jedem Fall die zu sein scheint, die am ehesten einer "Rückkehr zum Ursprung" des Verfassungsrechts entspricht, einschließlich der für das österreichische Verfassungsrecht im Bereich der ex nunc-Wirkung so typischen "Umfassungsprämie", die es ermöglicht, gleichzeitig sowohl den Einzelfall als auch die Ordnung insgesamt zu schützen. a) angesichts einer angemessenen Ermittlung könnte das Verfassungsgericht die Rechtswirkung der Verfassungswidrigerklärung auf Grundlage einer strengen Reglementierung aller an die Folgen der Einschränkung oder "Aussetzung" der mit der Rückwirkung verbundenen Aspekte und der Fälle, in denen eine derartige relevante und bedeutende Ausnahme in vollkommen außergewöhnlicher Weise erfolgen könnte, in der Zeit verschieben (wie es in Bezug auf die deutsche Praxis nicht geschehen ist), ebenfalls nach einer "kelsenschen Orientierung" der Reform des Artikels 30 3. Abs. ital. GG. In diesem Sinn tritt das Gesetzesdekret d.d.l. Lanzillotta hervor, wo befunden wurde, zu einer "schlichten" Reglementierung jener Fälle überzugehen, in denen der Gerichtshof eine Modulation der Rechtswirkungen im Verlauf der Zeit legitimerweise hätte tätigen können. In Art. 1 des Gesetzesentwurfs A.S. 1952 war vorgesehen, "c)im dritten Absatz des Artikels 30 werden am Ende folgende Worte hinzugefügt: ", außer falls der Gerichtshof eine andere Handhabung der Wirksamkeit im Verlauf der Zeit derselben Entscheidung zum Schutz anderer Verfassungsgrundsätze verfügt". Die "allgemeine" Formulierung ähnelt dem ersten Änderungsvorschlag für § 79 des BVerfGG: Die Ausdehnung der Rechtswirkungen der Verfassungswidrigerklärung war in beiden Fällen vorgesehen, in denen wie hervorzuheben ist, das deutsche und das italienische Verfassungsgericht "freie Hand" gehabt hätten. Vielleicht könnte man aber in Hinsicht auf die gemeinsame Trendlinie bemerken, dass Grundlage einer eventuellen Positivierung der zeitlichen Handhabung der Rechtswirkungen der Verfassungswidrigkeitssprüche eine übermäßige Versteifung der Fälle, welche die Verfassungsgerichte zur Abweichung von der Rückwirkung der Verfassungswidrigerklärung legitimieren würden, sein könnte. b) man könnte – mit der angemessenen Vorsicht und im Bewusstsein der erheblichen Problematik, die diese aufweist – eine dritte Lösung von anderer Art erfinden, die von einer ganz einfachen bloßen ex nunc,-Wirkung geprägt und von der Zusammenarbeit des Gesetzgebers und der Gerichte begleitet wäre (grundsätzlich nach dem Vorbild jener Unvereinbarkeitsentscheidungen, die keine "reinen" Unvereinbarkeitsentscheidungen sind). Eine solche Hypothese und extreme Lösung könnte von der Betrachtung ausgehen, dass die Rettung allein des vorgelegten Verfahrens vor der gesetzlichen Priorität den Gleichheitsgrundsatz (und auch den damit verbundenen Grundsatz des Rechts auf Verteidigung) verletze. Abgesehen von der Vorliebe für das erste vorgeschlagene Modell könnte es sich vielleicht auch auf Grundlage einer elastischen Reform der Regelung der Rechtswirkungen der Annahmeurteile als nützlich erweisen, dem Verfassungsgericht die Wahl des verfassungsrechtlich zwingenden Wegs – Auswegs – dem, welcher der geringsten Qual am nächsten kommt, zu überlassen, wobei alle Möglichkeiten sorgfältig abzuwägen sind, wenn man bedenkt, dass in der Tat im Fall a) einer "ungeregelten" Modulation ohne juristische Grundlage, b) der Vorgabe einer Modulation unter Beachtung des Grundsatzes der Rückwirkung nur im vorgelegten Verfahren und c) einer ganz einfachen Modulation ohne Beachtung des Rückwirkungsprinzips, man in jedem Fall einer Verletzung des Gleichheitsgrundsatzes oder des Grundsatzes des Rechts auf Verteidigung (oder beider) beiwohnt. Sicher ist es nicht einfach, eine angemessene Änderung der Regelung der Rechtswirkungen der Annahmeurteile in Anlehnung an das deutsche Modell vorzusehen: Mit jeder Hypothese für das zu formulierende Gesetz sind erhebliche Schwierigkeiten verbunden. Und doch ist zum heutigen Stand vielleicht sicher, dass die Lösung, die Augen vor den vom Verfassungsgericht verspürten Bedürfnissen zu schließen, dem Rahmen, in welchem dieses sich bewegt, nicht gerecht werden würde, denn dieses sollte manchmal, eben aufgrund der Beachtung des Grundsatzes der höheren Stellung der Verfassung, die Möglichkeit haben, die Rückwirkung angesichts einer größeren Verfassungswidrigkeit auszuschließen und dem Gesetzgeber gestatten, durch eine gute Verwendung seines Ermessensspielraums wieder zu einer größeren Verfassungsmäßigkeit zu gelangen.
2008/2009 ; 1. Il mercato finanziario ed il risparmio costituiscono valori costituzionalmente significativi, data l'importanza che rivestono per il tessuto economico e finanziario di un Paese, tanto più in un'economia globalizzata, come quella contemporanea, sempre più caratterizzata da un processo di finanziarizzazione della ricchezza. L'assetto normativo e regolamentare, che deve presiedere al funzionamento del mercato ed alla gestione del risparmio, è storicamente caratterizzato dal tentativo di ricercare un equilibrio tra due opposte esigenze: da una parte, quella di evitare il rischio di un'ipertrofia normativa e di un conseguente eccessivo soffocamento del mercato; dall'altra, quella di offrire ai risparmiatori un livello di protezione qualitativamente sufficiente per preservare la fiducia che gli stessi ripongono nell'integrità e nel corretto funzionamento del mercato stesso. Muovendo dalla consapevolezza che l'attività di intermediazione finanziaria deve essere promossa e valorizzata perché essenziale allo sviluppo di una moderna economia di mercato ma che, per la sua intrinseca fragilità e connaturata rischiosità, non può essere integralmente lasciata alla mercé delle dinamiche di quest'ultimo, necessitando invece di un intervento di eteroregolamentazione finalizzato alla protezione di interessi individuali e collettivi previamente selezionati. 2. A partire dagli anni novanta l'ordinamento dei mercati finanziari è stato interessato dal succedersi di vari interventi normativi, da ultimo quelli operati con le leggi n. 62 e n. 262 del 2005. Nel complesso, si è trattato di una produzione normativa tumultuosa e disorganica, sovente emanata sull'onda dell'emergenza per reagire ai ripetuti fenomeni di "abuso del risparmio e dei risparmiatori" che hanno duramente colpito la finanza italiana ed internazionale nell'ultimo decennio (si pensi, solo per citarne alcune, alle vicende Enron, Cirio, Parmalat, Giacomelli, Lehman Brothers ecc.). In questo frenetico ed estemporaneo procedere normativo, un ruolo di primo piano è stato svolto dal diritto penale, per la tendenza, ormai radicata, del legislatore nazionale di affidare la tutela del risparmio alla presunta forza deterrente della sanzione penale, spesso usata in chiave espressiva o simbolica, in una sorta di delega permanente conferita allo strumento penalistico a fungere da principale, se non spesso esclusivo, rimedio alla crisi del sistema finanziario ed ai fenomeni di dispersione della ricchezza. Si tratta, all'evidenza, di una visione miope e destinata all'insuccesso, prova ne siano i ripetuti tentativi di riforma occorsi nell'ultimo ventennio, dettati più dall'improvvisazione che da una logica di razionalità sistematica, tutti nel segno di un infittimento del corpo normativo e di una revisione al rialzo dei limiti edittali e tutti clamorosamente e prevedibilmente incapaci di impedire il verificarsi di casi di vero e proprio saccheggio e distruzione del risparmio gestito. La situazione è resa ancor più grave dal fatto che i tanti - troppi - fatti di dispersione della ricchezza dei risparmiatori non possono più essere considerati come scandali finanziari isolati, come semplici big apples, rappresentando, invece, l'espressione ed il risultato di una crisi di sistema che colpisce le fondamenta dell'ordinamento e della struttura finanziaria internazionale. Facendo apparire quanto mai illusoria l'idea di reagire affidandosi alle virtù salvifiche del mercato terapeuta di se stesso ed erronea la soluzione di continuare nel solco di un irrigidimento estemporaneo della normativa penalistica e della relativa cornice sanzionatoria, senza che ciò venga accompagnato da una diagnosi attenta ed analitica dei mali del sistema e da una ricognizione altrettanto puntuale dei rimedi da adottare. Quale, allora, la via d'uscita? 3. Quella di avviare, nell'immediato, un importante processo di riforma dell'ordinamento finanziario, facendolo precedere da una riflessione di fondo sul tipo di mercato finanziario che si intende prediligere: un mercato dove prevale, in termini assoluti e senza mediazioni, la necessità di una difesa del singolo risparmiatore, che si realizza garantendo un mercato contraddistinto da una tendenziale parità di condizioni tra gli investitori e da una tutela indistinta e piena delle funzioni di vigilanza, la quale verrebbe assicurata sanzionando le violazioni e le inosservanze a canoni positivi spesso solo formali od organizzatori? Oppure, un mercato inteso prioritariamente come luogo di libero scambio di informazioni e di capitali, che ha in sé e che vive e si nutre della speculazione, salvaguardandone nel contempo la fiducia, la trasparenza e l'integrità mediante la repressione di (e solo di) quei comportamenti di abuso che esauriscono il loro contenuto in una dimensione esclusivamente speculativa? L'attuale diritto del mercato finanziario risulta sostanzialmente conformato al primo dei due modelli sopra indicati: le regole sono spesso il frutto di interventi estemporanei e disorganici, dettate più dall'improvvisazione che da una logica di sistema, in ogni caso formalmente (ma con scarsa effettività pratica) finalizzate a reprimere - spesso stabilendo pene severe e con un uso frequente della strumentazione penalistica - quei comportamenti ritenuti lesivi della parità di condizioni tra gli investitori o di mera trasgressione a prescrizioni di natura prettamente formale ed organizzatoria. La realtà è dunque quella di un corpo normativo che, spesso in nome di un'eguaglianza fra gli investitori o di una simbolica ed eticheggiante difesa del risparmiatore, fa un uso massiccio della sanzione penale per reprimere comportamenti che, il più delle volte, si esauriscono in mere violazioni formali e di canoni organizzativi, esercitando una scarsa efficacia preventiva, com'è dimostrato dalla frequenza con cui si sono verificati, solo a guardare gli ultimi anni, scandali finanziari con gravi danni per i risparmiatori. E tutto questo viene realizzato avvalendosi (e piegando) il diritto penale ad un uso spesso simbolico, eticheggiante, puramente organizzatorio. 4. Si ritiene, invece, quanto mai necessario procedere verso un sistema normativo idoneo a perseguire il fine ultimo di ogni realtà giuridica posta a protezione del mercato finanziario: coniugare efficacemente l'esigenza che il Paese benefici di un mercato libero, non ingessato, capace di attrarre i capitali e gli investimenti a sostegno del circuito produttivo, con la necessità, altrettanto fondamentale, che di quel mercato venga garantito il buon funzionamento, la trasparenza dell'informazione che in esso circola e dunque, in ultima istanza, la fiducia dei risparmiatori. Allontanando ogni istanza egualitaristica ed accettando la speculazione come condizione di esistenza del mercato stesso. Inquadrato l'obiettivo - dovendosi ritenere ormai abbandonata l'idea del mercato quale esclusivo terapeuta di se stesso e presidio migliore della stabilità finanziaria - il suo conseguimento richiede un serio e ponderato processo di ristrutturazione delle regole del gioco poste a presidio del buon funzionamento e dell'integrità del mercato, muovendo lungo alcune direttrici di fondo. 5. Una prima linea guida è nel senso di un definitivo abbandono della strada dell'ipertrofia penalistica, lastricata di norme dalla scarsa effettività pratica e che spesso si esauriscono nel punire mere disfunzionalità organizzative, dando vita ad illeciti di pura disobbedienza in nome di un'idea di funzionalizzazione dell'attività d'impresa. Vi è, dunque, la contingente necessità di porre termine ad una stagione, durata oltre un ventennio, che ha visto la giustizia penale svolgere un ruolo di supplenza rispetto alle lacune dell'ordinamento societario, della giustizia civile, del modello di vigilanza sull'operato degli intermediari, alimentando sovente delle tensioni rispetto ai principi cardine del diritto penale - in primis quelli di frammentarietà, tassatività ed offensività. L'opera di rifacimento delle regole del gioco deve dunque tendere, anzitutto, a restituire al sistema penale degli intermediari finanziari i crismi dell'effettività dei precetti e della coerenza con i principi generali del diritto penale e, da ultimo, la capacità di concorrere efficacemente alla diffusione e al mantenimento di un nucleo condiviso e fondante di valori in materia di gestione del risparmio collettivo. Vanno dunque superati i tradizionali limiti che oggi affliggono il diritto penale del mercato finanziario: l'antisistematicità, vale a dire le disarmonie e le ingiustificate differenze di contenuto e sanzionatorie intercorrenti tra fattispecie relative a settori diversi del mercato finanziario, mediante la creazione di figure di reato omogenee e tendenzialmente comuni ai vari segmenti del risparmio gestito; la tensione con i principi di necessità e sussidiarietà della pena: la sanzione penale dovrebbe essere l'extrema ratio, l'ultima spiaggia cui ricorrere, mentre nel nostro Paese da tempo sembra che sia anche l'unica spiaggia su cui si gioca la difesa del risparmio e degli interessi ad esso strumentali; il basso livello di osservanza dei canoni di tassatività ed offensività, a causa della formulazione spesso vaga ed indefinita delle fattispecie incriminatrici, anche a causa di continui rinvii a qualificazioni extrapenali, e della tendenza ad arretrare la linea di tutela disancorandola da elementi di concreta lesività e costruendola più su finalità di promozione etica che su interessi giuridici aventi i crismi della materialità e dell'afferrabilità, propri dell'oggetto giuridico nella sua c.d. concezione realistica. Ciò che, però, condiziona a monte la riforma del sistema penale finanziario - e con essa la scelta di selezionare i comportamenti da reprimere penalmente – è l'interrogativo su quali siano o, meglio, dovrebbero essere gli interessi giuridici oggetto di tutela nel diritto penale finanziario. 5.1. Analizzando la fattispecie dell'insider trading, erroneamente considerata l'architrave portante del diritto penale degli intermediari finanziari, sono state esaminate le diverse correnti di pensiero che hanno trovato origine attorno al problema dell'individuazione degli interessi giuridici, meritevoli di tutela, nei quali si declina il bene o valore superiore e costituzionalmente rilevante del "risparmio": dall'istanza egualitaristica della parità conoscitiva tra gli investitori al dovere di riservatezza facente capo agli esponenti aziendali delle società emittenti; dalla tutela della trasparenza informativa all'opinione, oggi prevalente, che identifica l'interesse tutelato - forse in parte confondendolo con la ratio puniendi - riassumendolo nella formula nota, ma vaga ed indeterminata, del "buon funzionamento, dell'integrità e dell'efficienza del mercato". E' fuor di dubbio che l'eguaglianza informativa, la trasparenza, la liquidità, la stabilità degli intermediari, l'efficienza ed il buon funzionamento del mercato finanziario rappresentano valori ed ideali da perseguire e difendere, ma essi si sostanziano in obiettivi etico-moralistici ed in valori macroeconomici privi di quei requisiti di materialità, afferrabbilità, consolidamento, tali da poter essere fatti oggetto di un giudizio di meritevolezza e di necessità della pena e quindi assurgere al rango di effettivi beni giuridici di una fattispecie di reato. A patto, dunque, di non voler aderire alla tesi che qualifica la norma penale sull'i.t., al pari anche di altre norme del diritto penale finanziario, come "norme manifesto" - che stabiliscono divieti al solo fine di convincere il risparmiatore del fatto che il mercato è pulito e trasparente, assolvendo dunque ad una funzione di promozione etica del mercato, invero estranea al diritto penale -, non resta che ricercare aliunde il bene protetto da assurgere ad oggettività giuridica del sottosistema del diritto penale degli intermediari finanziari. 5.2. Un primo elemento su cui costruire le fondamenta di un valido percorso argomentativo è l'osservazione secondo cui il mercato finanziario, alla stessa stregua di altri interessi o valori di ampio respiro quali l'economia o il territorio o l'ambiente, non è oggetto di tutela ma oggetto di disciplina. L'affermazione sta a significare che il mercato finanziario è un luogo nel quale convergono interessi di varia natura, individuali e collettivi, tra loro talora convergenti, talaltra contrastanti: gli interessi delle imprese, dei piccoli risparmiatori, degli operatori od investitori professionali, ma anche l'interesse collettivo alla tutela del risparmio che rappresenta una risorsa indispensabile per lo sviluppo del Paese. La struttura funzionale del mercato, per definizione basata sullo scambio ed avente come sua componente ineliminabile il fattore "rischio" e la correlativa dimensione speculativa, non è in grado a priori di regolare la coesistenza, il bilanciamento o la prevalenza dei vari interessi che vi si rappresentano. Di qui, la necessità che il legislatore stabilisca delle regole volte a disciplinare il funzionamento del mercato sotto vari profili: accessibilità degli operatori ed intermediari, negoziabilità dei prodotti, organizzazione delle contrattazioni, circolazione dei flussi informativi ecc… Ecco, allora, che se il mercato è oggetto di una disciplina che ne regolamenta l'uso ed il funzionamento, dettando delle regole del gioco, il diritto penale del mercato finanziario altro non è che la sanzione della violazione delle "regole del gioco". 5.3. Il secondo passaggio del ragionamento, consequenziale al primo, consiste allora nel comprendere quali regole del gioco, tra le tante che compongono la disciplina positiva del mercato finanziario, possano o necessitano di essere presidiate anche da una sanzione penale e quali, invece, possano e debbano beneficiare solo di tutele extrapenali per l'impossibilità di rinvenire delle oggettività giuridiche ad esse sottostanti, meritevoli di ricevere una copertura penalistica. Risulta a questo punto evidente che l'unico criterio capace di fondare validamente una selezione di tal fatta è rappresentato dall'esistenza di un interesse giuridico meritevole di tutela penale, vale a dire di un bene che abbia un contenuto valoristico autonomo e che non si confonda nei valori generali ed etici più volti menzionati, né tanto meno nello scopo della norma, e che presenti quelle caratteristiche di afferrabilità e consolidamento sociale tali da poterne apprezzare la fondazione materiale. 5.4. Ad avviso di alcuni commentatori ed anche di chi scrive, l'interesse giuridico che qualifica (o che dovrebbe qualificare) l'intero settore del diritto penale degli intermediari finanziari, rappresentandone il vero fulcro normativo, è dato dalla relazione tra la tutela dell'interesse ad una corretta allocazione del risparmio e la tutela delle funzioni delle autorità di vigilanza. Più precisamente: la funzione di vigilanza e di controllo del mercato, svolta da varie autorità nei diversi segmenti ma concettualmente riconducibile ad unità, è l'elemento specializzante e coessenziale del diritto penale finanziario. Ciò posto, l'intervento di penalizzazione è legittimo solo laddove la tutela delle funzioni di vigilanza è strumentale all'osservanza di quelle regole del gioco poste a protezione delle esigenze nelle quali si estrinseca la tutela del risparmio e dei valori ad esso connessi e consequenziali: l'interesse privatistico del risparmiatore ad una corretta allocazione del risparmio e l'interesse pubblico alla stabilità e protezione del mercato finanziario da fattori esogeni di disturbo che ne possano compromettere la funzione di insostituibile fattore di produzione e sviluppo quali, ad esempio ed in primis, il riciclaggio di danaro di provenienza illecita. L'epicentro del diritto punitivo degli intermediari finanziari è pertanto rappresentato dalle funzioni di vigilanza e dalla tutela delle stesse. Vi è dunque una relazione strettissima tra le disfunzioni della vigilanza e l'instabilità del mercato, a conferma che la tutela del risparmio filtra e passa attraverso la tutela della vigilanza. Il risparmio, dunque, anche quando non viene direttamente ed immediatamente raggiunto dall'offesa racchiusa nel fatto incriminato, costituisce pur sempre la "fonte di legittimazione sostanziale" dell'avanzamento dell'intervento penale verso le "strutture" e le "funzioni" della vigilanza. La tutela del valore costituzionale del risparmio permette, dunque, al modello di anticipazione della tutela sul piano delle funzioni di vigilanza di superare indenne il giudizio di bilanciamento: posto a confronto con il risparmio, il principio di offensività deve cedere le posizioni necessarie per realizzare una tutela del primo che sia razionale ed efficace. Si ritiene pertanto non azzardato affermare che la tutela delle funzioni di vigilanza rappresenta o, meglio, dovrebbe rappresentare, l'oggetto giuridico dell'intero micro-sistema del diritto penale finanziario. Salvo poi far assumere alla stessa un sostrato materiale più concreto ed una più evidente afferrabilità sociale laddove essa è destinata ad operare, vuoi nella tutela dell'interesse privatistico alla corretta e conforme allocazione del risparmio, vuoi nella tutela dell'interesse pubblicistico alla difesa del mercato da fenomeni di criminalità organizzata o, comunque, da pratiche manipolatorie che ne distorcono i meccanismi di funzionamento. Un'impostazione, quella sopra esposta, estranea agli schemi del diritto penale classico, per cui l'oggetto giuridico è sempre identificato in beni socialmente riconosciuti e coincidenti con interessi individuali della persona. Si tratta, tuttavia, di un'opzione valida sotto il profilo sistematico ed assiologico, atteso che il diritto penale moderno è da tempo attraversato da un processo di smaterializzazione dell'oggetto giuridico e dalla contemporanea utilizzazione della strumentazione penalistica per la tutela della funzionalità dei meccanismi di intervento dello Stato e della pubblica amministrazione in diversi campi, per lo più in quelli condizionati dall'evoluzione tecnologica e degli assetti sociali e caratterizzati dalla presenza di interessi adespoti e collettivi: la salute, l'ambiente, senza dubbio l'economia, la finanza ed il risparmio. E' indubbio, da un lato, che la tutela (anche penale) delle funzioni di vigilanza è condizione indispensabile ed irrinunciabile per assicurare una protezione efficace del mercato finanziario e del risparmio e, dall'altro, che le tradizionali forme di tutela del patrimonio si rivelano, all'evidenza, insufficienti allo scopo. Ma, d'altro canto, è parimenti vero che non è accettabile quella fuga dalla concezione realistica del bene giuridico (e dalla sua insopprimibile funzione di limite al legislatore), che si è ormai sovente verificata ogni qualvolta sono state coniate delle figure di reato nelle quali si punisce la mera inosservanza di norme di organizzazione e non di fatti socialmente dannosi, scambiando gli oggetti di tutela penale con le rationes di tutela, il tutto in nome di esigenze di controllo efficientista del sistema. E' innegabile che il diritto penale svolge un ruolo di coesione e di credibilità dell'ordinamento giuridico nel suo complesso e che di esso si tende spesso a fare un uso c.d. "interventista" e "simbolico", caricandolo di un compito di profilassi della società e di una funzione di rassicurazione sull'efficienza e moralità del sistema normato. Questo è accaduto anche e soprattutto nel campo dei reati economici ed in materia di tutela del risparmio e del mercato. In sé, quella di assumere ad oggetto di tutela penale un'attività o funzione giuridicamente autorizzata - nella fattispecie la funzione di vigilanza - è una scelta necessitata, se si vuole assegnare una protezione efficace a beni di interesse collettivo, ma al tempo stesso compatibile con i canoni del diritto penale, a patto che si tratti di attività giuridicamente regolate dietro la cui lesione o messa in pericolo sia possibile cogliere ed afferrare la dimensione sociale e materiale dell'interesse tutelato e la concretizzazione dell'offesa ad esso arrecata. Declinando l'assunto, in tanto la tutela penale delle funzioni di vigilanza del mercato è compatibile con la concezione realistica del bene giuridico solo in quanto la sfera repressiva riguardi esclusivamente comportamenti che siano materialmente afferrabili e di cui si possa cogliere la dannosità sociale: ciò che, ad avviso di chi scrive, si verifica allorché la violazione delle regole del gioco si traduca in una situazione di danno o di pericolo per l'interesse del risparmiatore alla corretta allocazione del risparmio e per l'interesse pubblico alla protezione del mercato da fattori esterni di pregiudizio. In difetto di queste condizioni, l'intervento penale si espone al rischio di creare illeciti di pura trasgressione, di tutelare non vittime ma meri obiettivi di organizzazione od istanze socio-politiche di eticità ed efficienza del sistema, addivenendo, per questa strada, alla costruzione di un assetto normativo compatibile con una concezione c.d. metodologica del bene giuridico, vanificando così le garanzie formali e sostanziali proprie della concezione realistica ed affidando alla norma penale una funzione meramente sanzionatoria, destinata, non a punire comportamenti di danno o di pericolo, bensì a rafforzare, col deterrente penale, una disciplina preventiva e di organizzazione già strutturata dal diritto privato o dal diritto amministrativo. 5.5. Tanto premesso, occorre ritornare alla questione posta, osisa quella di identificare, alla luce dell'oggettività giuridica sopra configurata, quali "regole del gioco", facenti parte della disciplina del mercato finanziario, debbano essere presidiate da una sanzione penale. In questo senso può aiutare la suddivisione operata dal Padovani tra regole poste a garanzia della neutralità del mercato finanziario e regole poste a tutela della identità del medesimo: il primo gruppo di regole è costituito da presidi organizzativi e da tecniche operative volte a delimitare il perimetro del gioco, affinché il mercato si ponga come strumento neutrale rispetto a tutti gli attori interessati e determini, per questi, pari opportunità e condizione di partenza (si pensi alle regole che disciplinano l'accesso degli intermediari a certi ambiti di operatività, alle autorizzazioni alla prestazione di certi servizi o, ancora, alle norme che prescrivono limiti nella gestione degli investimenti, a quelle che sanzionano il mancato o non corretto invio delle segnalazioni di vigilanza ecc); il secondo gruppo di regole è funzionale ad assicurare l'identità del gioco stesso, ossia a garantire che questo non sia truccato, cioè a dire contaminato da forme e comportamenti di abuso che possono determinare un'indiscriminata ed ingiustificata distribuzione del rischio tra gli operatori (vi rientrano il comportamento penalmente sanzionato di chi manipola il mercato diffondendo notizie false su determinati strumenti finanziari, il fenomeno del riciclaggio nel mercato di danaro di provenienza illecita, per molti Autori anche la condotta di insider trading). L'opinione largamente dominante tra gli studiosi del diritto penale è quella per cui ambedue i gruppi di regole sopra menzionati meritano di essere assistiti da un presidio penale. Ciò, anzitutto, sotto il profilo della proporzione in quanto, se è pur vero che queste regole realizzano, per lo più, una tutela anticipata rispetto alla possibile produzione dell'evento lesivo, è anche vero che esse dispiegano la loro utilità proprio nel pervenire ad una neutralizzazione tempestiva dei possibili effetti dannosi e pregiudizievoli di una determinata condotta. Secondariamente, il giudizio di favor trova poi conferma anche sul fronte della sussidiarietà od extrema ratio, in considerazione della mancanza di valide alternative sanzionatorie, adducendo la necessità di una tutela preventiva e forte a difesa del buon funzionamento, dell'efficienza e dell'integrità del mercato, che solo il deterrente penalistico è in grado di offrire. 5.6. Si ritiene di discostarsi in parte dalla soluzione generalmente condivisa e di proporre una riforma del diritto penale finanziario che, muovendo da una ricostruzione dell'oggettività giuridica e recuperando una dimensione rafforzata dei canoni di proporzione, sussidiarietà e tassatività, pervenga ad un assetto regolamentare ispirato alle seguenti linee guida: - il ricorso alla sanzione penale solo come presidio alla violazione delle regole poste a tutela della c.d. identità del gioco, preferendo mezzi sanzionatori alternativi con riferimento all'inosservanza delle regole poste a tutela della c.d. neutralità del mercato; per queste ultime, infatti, la sanzione penale è sproporzionata e priva di una reale efficacia deterrente, venendo a configurarsi illeciti penali di stampo meramente organizzatorio, che si sostanziano in una tutela eccessivamente anticipata rispetto alla possibile lesione dell'interesse privatistico alla corretta allocazione del risparmio. E' indubbio che l'accertamento della violazione di queste regole dipende dal corretto e tempestivo esercizio dei poteri attribuiti agli organi di controllo e vigilanza, di tal guisa che, con la sanzione criminale, si vuole che anche la possibilità di accertamento risulti anticipata rispetto ad ogni eventuale futuro evento lesivo. Ma, così ragionando, si arriva a piegare lo strumento penale ad una funzione, per così dire, sostitutiva della tempestività dell'esercizio delle funzioni di vigilanza: altrimenti detta, si rafforza la (supposta) funzione specialpreventiva della pena per compensare le lacune ed i ritardi di un sistema di vigilanza sull'operato degli intermediari. Siffatto modus operandi si rivela, prima di tutto, inutile perché non perviene ad alcun risultato sul terreno della prevenzione, che richiede per contro di rivedere il modello di vigilanza prefigurando meccanismi di costante dialogo tra gli organismi di controllo e i soggetti vigilati, così da favorire una sorta di accompagnamento dei secondi ad opera dei primi, condizione indefettibile per garantire la neutralità del mercato finanziario rispetto agli interessi in gioco, Dall'altro, si dimostra in contrasto con i principi di offensività, proporzionalità e sussidiarietà, atteso che si tratta di fattispecie formali od organizzatorie rispetto alle quali non è dato rintracciare un oggetto giuridico consolidato ed afferrabile e che, in più, esprimono un grado di lesività tale da giustificare il ricorso alla meno severa e più duttile sanzione amministrativa. - l'introduzione di una nuova fattispecie di infedeltà patrimoniale, la cui mancanza nel vigente ordinamento è il riflesso di un evidente stato di contraddizione, incoerenza e lacunosità dell'attuale assetto del sistema penale finanziario, posto che oggi si sanzionano, con pene anche gravi, comportamenti che violano mere regole di organizzazione spesso prive di un'effettiva carica offensiva, oppure si promuovono crociate verso fenomeni la cui lesività è tutta da dimostrare (il riferimento è all'insider trading), nel mentre manca una fattispecie ad hoc idonea ad incriminare quella variegata e complessa serie di comportamenti con cui, sempre più diffusamente, gli emittenti o gli intermediari/gestori realizzano vere e proprie forme di abuso a danno dei risparmiatori. Si è detto che il nucleo centrale della tutela penale del mercato finanziario è rappresentato, oltre che dall'interesse pubblicistico di difendere il mercato da fenomeni criminali provenienti da fattori esterni, dall'interesse del singolo risparmiatore/investitore ad un'allocazione e gestione del proprio risparmio fedele al mandato fiduciario conferito, alle disposizioni di legge e ai principi di prudenza, stabilità ed integrità patrimoniale e buona fede. Non potendo applicare lo statuto penale della pubblica amministrazione alle banche, e tanto meno ad altri intermediari, non resterebbe che ricondurre quei comportamenti ai paradigmi della truffa ex art. 640 c.p. e dell'appropriazione indebita ex art. 646 c.p., con tutti i limiti che ne derivano, trattandosi di figure generaliste e spesso inadatte a dare copertura a fatti molto specifici e dal complesso tecnicismo. S'impone, a questo punto, la necessità, già espressa dal Pedrazzi, di introdurre nell'ordinamento la figura autonoma del reato di infedeltà patrimoniale, capace di reprimere, non solo quei comportamenti nei quali è evidente l'appropriazione di un vantaggio patrimoniale a danno di un terzo, ma anche quelle condotte caratterizzate da una connotazione in termini di rischio eccessivo od anomalo dell'operazione perfezionata, oltre i limiti del mandato fiduciario ovvero per gestione infedele o in conflitto di interessi. - la configurazione di una soluzione ad hoc per il fenomeno dell'insider trading che, nonostante si possa ascrivere al gruppo di regole poste a presidio della c.d. identità del mercato, si ritiene necessiti di essere depenalizzato in difetto di un solido fondamento socio-economico sottostante all'attuale divieto, prevedendo, per converso, l'adozione di presidi infrasocietari nell'ambito del rapporto privatistico insider/emittente. 6. Al di là delle divisioni che emergono dal dibattito sull'individuazione dell'interesse giuridico protetto dalla fattispecie di incriminazione dell'insider trading, si registra un generale favor per l'opzione penale, sostenendo che il rango dell'interesse da proteggere e la gravità dell'offesa giustificano l'impiego dello strumento penalistico alla luce dei due criteri che devono guidare la scelta della sanzione penale: la proporzionalità e la sussidiarietà. 6.1. Si ritiene di dissentire dall'opinione comune, prima di tutto per la mancanza del connotato della dannosità sociale del fenomeno, capisaldo del garantismo illuminista che esprime l'istanza per cui la legge penale deve punire solo quei comportamenti che effettivamente turbino le condizioni di una pacifica coesistenza e che siano avvertiti dalla collettività come generatori di danni ad interessi significativi e meritevoli di protezione. Anche se ad avviso dei più è dato registrare, oggi, un consenso sociale sulla repressione della pratica de qua, si ritiene quanto meno legittimo porre in dubbio che il fenomeno dell'insider trading sia davvero sentito come socialmente dannoso dalla generalità dei consociati. Basti porre mente al fatto che la diffusione della pratica dell'i.t. nei mercati finanziari non sembra avere affatto minato la fiducia degli investitori, se si guarda all'evoluzione che ha caratterizzato i mercati azionari nell'ultimo ventennio. Si è, invece, dell'opinione che la società avverta fortemente la necessità di colmare il vuoto di tutela che esiste avverso quelle forme di indebita sottrazione e sperpero della ricchezza risparmiata, poste in essere da intermediari ed operatori che agiscono secondo logiche poco trasparenti e permeate da situazioni di conflitto di interesse, mentre non appare per nulla diffusa nell'opinione pubblica la convinzione circa l'immoralità della pratica di insider trading, di cui spesso non si conosce neppure il significato. 6.2. Ritornando sulla vexata quaestio della ricerca del bene giuridico offeso dall'i.t., si è detto che l'opinione dominante fra gli interpreti, sostenuta dai Considerando del legislatore comunitario e dalle dichiarazioni di intenti di quello nazionale, è nel senso di qualificare l'insider trading alla stregua di un reato plurioffensivo, lesivo di interessi generali dell'economia quali la fiducia degli investitori, il buon funzionamento e l'efficienza del mercato, la trasparenza, la potenziale parità di condizioni tra gli investitori ecc… I commentatori si dividono dando prevalenza ora all'uno ora all'altro dei valori testé menzionati, ma le loro posizioni convergono nel ritenere che l'interesse da difendere non vada ricercato nella sfera privatistica della società emittente o del privato controparte dell'insider, quanto in un interesse generale e collettivo, adespota, riferibile alla regolarità del mercato mobiliare nel suo insieme, declinata talora in termini di efficienza, liquidità e buon funzionamento, talaltra in termini di parità di condizioni, ovvero ancora adducendo la lealtà e l'eticità delle contrattazioni e l'immagine di un mercato pulito e trasparente quale stimolo agli investimenti. La sussistenza di un interesse generale di ampia e significativa portata e di rilievo costituzionale, unitamente alla riconosciuta inefficacia delle sanzioni extrapenali, conduce dunque la maggioranza degli interpreti a ritenere che la scelta repressiva dell'i.t. è coerente con i canoni di proporzione e sussidiarietà: se in forza dell'art. 47 Cost., la Repubblica incoraggia il risparmio, l'insider trading lo scoraggia, frustrando l'aspettativa dei risparmiatori ad un comportamento leale e trasparente degli operatori. 6.3. La tesi sopra esposta, nonostante incontri il sostegno del pensiero dominante tra gli interpreti e della volontà della maggior parte dei legislatori europei e non, risulta per una serie di argomentazioni poco convincente ed in parte anche incoerente con il sistema. In primo luogo, occorre ricordare che il fondamento economico del divieto di i.t. è tutt'altro che dimostrato. L'analisi delle diverse scuole di pensiero, riportata nel capitolo che precede, rende alquanto evidente la mancanza di un chiaro fondamento politico e socio-economico del divieto o della liceità dell'insider trading. La legislazione penale sull'i.t. sembra quasi assumere un connotato di autoreferenzialità e di status symbol: punisce il fenomeno perché rappresenta una pratica costante e diffusa nei mercati finanziari, perché è sanzionata nella maggior parte dei paesi, perché così facendo il legislatore è messo nelle condizioni di reagire ai ripetuti scandali finanziari e lanciare un messaggio forte sulla pulizia e moralità del mercato, veicolate attraverso le etichette del buon funzionamento, della trasparenza e dell'efficienza del mercato stesso. Certo è che si tratta di espressioni generiche e tautologiche che non possono rappresentare la motivazione sociale ed economica della scelta punitiva. Un punto fermo dell'indagine è quello per cui l'informazione rappresenta una componente essenziale per l'efficienza del mercato: maggiore è la quantità e la qualità dell'informazione disponibile, più il mercato si caratterizza per una facile convertibilità dei titoli negoziati, e più le quotazioni di questi ultimi ne rapprentano il reale valore intrinseco, sicché il giudizio di ammissione o di riprovevolezza del comportamento dell'insider dipende dalla verifica se lo sfruttamento di notizie riservate contribuisce o meno all'efficienza del mercato, se accresce o pregiudica l'efficienza informativa del mercato. Sul punto non vi sono chiare evidenze scientifiche sul fatto che l'uso di informazioni riservate pregiudichi la trasparenza del mercato, impedendogli di perseguire l'efficienza informativa. Un secondo motivo di riflessione è che la scelta di reprimere il fenomeno dell'i.t. non può addivenire al risultato di ingessare il mercato privandolo del contributo essenziale dato, alla propria efficienza informativa, dall'attività di ricerca, studio ed analisi. Se, come si ritiene, si deve privilegiare una concezione del mercato come luogo la cui funzione principale è quella di elaborare e produrre informazioni che si riflettano sul meccanismo di determinazione dei prezzi per favorire, in ultima istanza, l'investimento del risparmio nel capitale delle imprese, ne consegue che va incoraggiato il lavoro degli analisti che producono e divulgano informazioni, anche consentendo loro di sfruttare economicamente dette informazioni perché altrimenti verrebbe a mancare lo stimolo alla ricerca, all'analisi ed alla diffusione delle stesse. L'attività di produzione, diffusione e sfruttamento delle informazioni va difesa ed incentivata rappresentando l'ossatura del mercato finanziario, che deve pertanto rifuggire da ogni mozione di livellamento informativo e di concorrenza perfetta tra gli investitori propria del market egualitarism, riconoscendo invece che la speculazione - intesa come ricerca di un profitto eccedente quello medio di mercato - è la caratteristica saliente ed ineliminabile di ogni sistema finanziario basato su un'economia di scambio. 6.4. Resta, sullo sfondo, l'unico possibile profilo di criticità che si ritiene possa anche esaurire un'eventuale ragione incriminatrice: è giusto riconoscere il diritto di sfruttare economicamente le price sensitive anche a coloro che non hanno contribuito alla loro produzione ed analisi, ma che ne sono venuti a conoscenza in modo occasionale ed estemporaneo, in virtù della carica societaria ricoperta all'interno della società emittente? La logica, prima che il diritto, ci porta ad affermare che il possessore di informazioni privilegiate ha il diritto di utilizzarle se, per ottenerle, ha sopportato un costo di produzione tanto da esserne divenuto proprietario (è il caso degli analisti finanziari), mentre i managers e gli altri insiders aziendali non possono considerarsi acquirenti dell'informazione essendone entrati in possesso in modo del tutto casuale ed in virtù della sola carica ricoperta. Di qui la conclusione per cui l'obiettivo di una regolamentazione anti insider trading (a livello non solo penale) deve essere il contenimento e il contrasto di quelle forme di speculazione abusiva originate dall'approfittamento di una situazione di superiorità informativa, che ricorrono nel solo caso in cui l'informazione riservata sia stata acquisita senza sostenere alcun costo e solo attraverso un collegamento privilegiato con la società emittente. Resta tuttavia l'interrogativo di fondo se lo strumento, per così dire di contenimento e di contrasto a pratiche di siffatta natura, debba essere rappresentato dalla sanzione penale. Il quesito merita una risposta negativa, per una ragione prima fra tutte: l'impiego della strumentazione penalistica deve escludersi ogni qual volta il divieto non presenti un chiaro ed evidente fondamento economico e faccia difetto l'esistenza di un determinato ed afferrabile oggetto giuridico. Non solo, infatti, il divieto di i.t. non è sorretto da una lucida motivazione economica, anche per la debole confutazione che si è fatta degli argomenti che sostengono gli effetti benefici dell'i.t. sul mercato, ma nella fattispecie incriminatrice non è dato neppure rintracciare un bene giuridico materialmente afferrabile e socialmente consolidato. Non è un caso che, nelle intenzioni del legislatore, il divieto di i.t. miri a sanzionare il comportamento ritenuto immorale di chi lo tiene (unfairness), allo scopo di rassicurare gli investitori sulla eticità e correttezza delle contrattazioni di borsa ed incoraggiarli così ad operare. Salvo poi chiamare in causa, nel tentativo di conferire un'oggettività giuridica ad una scelta incriminatrice decisa a priori prescindendo da essa e per obiettivi che attengono al piano dell'etica e della moralità, interessi generali connessi al buon funzionamento ed all'efficienza del mercato, alla sua trasparenza, alla parità di condizioni tra gli investitori che, pur rappresentando valori positivi da promuovere e da difendere, restano pur sempre obiettivi etico-moralistici privi di quei requisiti di materialità, afferrabbilità, consolidamento, tali da poter essere fatti oggetto di un giudizio di meritevolezza e di necessità della pena. 6.5. Ritornando all'impostazione concettuale da cui siamo partiti, si è detto, in chiave riformatrice, che la struttura del sistema penale degli intermediari finanziari dovrebbe essere rappresentata dalla tutela delle funzioni di vigilanza, limitando tuttavia il ricorso alla sanzione penale ai casi in cui detta tutela è prodromica a difendere, o l'interesse del risparmiatore ad una corretta allocazione delle risorse patrimoniali affidate in gestione, o l'interesse pubblico a proteggere il mercato finanziario da fattori esogeni di disturbo ed alterazione. Il fenomeno dell'i.t. non si pone in relazione di danno o di pericolo con nessuno dei due interessi succitati. Non con l'interesse pubblicistico atteso che, a differenza del riciclaggio e dell'aggiotaggio, dell'i.t. non è stata affatto provata la sua dannosità per il mercato, se non adducendo motivazioni di ordine etico e morale che tuttavia, quando rappresentano il solo fondamento del divieto, piegano il diritto penale ad una funzione simbolica, pedagogica ed eticheggiante, estranea alla cornice costituzionale dell'ordinamento. Tanto che la vigente norma penale di incriminazione dell'i.t. è stata qualificata da alcuni esponenti della dottrina come una "norma manifesto", che vieta perché deve convincere il risparmiatore del fatto che il mercato è pulito, trasparente, è un luogo in cui le contrattazioni avvengono lealmente. Si dirà di più. Con la riforma del 2005 il legislatore, se per un verso si è spinto fino a prevedere una sanzione draconiana per il fatto di i.t., per altro verso è pervenuto alla decisione di depenalizzare i fatti di i.t. compiuti dai c.d. insiders secondari. Ma se l'obiettivo di fondo è quello di difendere l'integrità, l'efficienza e il buon funzionamento del mercato finanziario e la fiducia dei risparmiatori, perché depenalizzare dei fatti comunque muniti - se ci si pone nell'ottica, non condivisa da chi scrive, del legislatore - di quelle potenzialità aggressive tali da meritare comunque una risposta sanzionatoria penale? La depenalizzazione di siffatta forma di insider trading (c.d. tippee e tuyautage trading) è infatti sufficiente ad ingenerare il dubbio su quale sia l'oggetto giuridico che il legislatore intende tutelare: va sempre ravvisato nella trasparenza, nell'efficienza e nel corretto funzionamento del mercato finanziario e nella fiducia degli investitori sull'integrità del medesimo (ma se così fosse, non si coglie il perché della non punibilità di chi, assunte informazioni privilegiate da soggetti qualificati, le diffonde e le usa a proprio profitto: condotta, questa, al pari delle altre, capace di pregiudicare il bene ultimo della trasparenza e integrità del mercato), oppure - più modestamente - la volontà legislativa è quella di punire chi è tenuto a doveri fiduciari di riservatezza per la posizione ed il ruolo qualificato rivestito all'interno (o nei confronti) della società emittente? Si ritiene meritevole di accoglimento la seconda ipotesi. La parziale abolitio criminis realizzata sul previgente art. 180 D.lgs. n. 58/1998 ha comportato un parziale mutamento dell'interesse tutelato dalla fattispecie in esame, perché, riducendo l'ambito di rilevanza penale della fattispecie - ossia abolendo l'ipotesi del c.d. tippee trading -, ha ridisegnato i contenuti dell'interesse tutelato, identificandolo più nella lesione di un interesse privatistico rappresentato dall'inosservanza di un dovere fiduciario tra l'insider e la società emittente, piuttosto che nella difesa di un interesse pubblicistico - in ogni caso a parere di chi scrive poco afferrabile - costituito dall'integrità dei mercati e dalla fiducia degli investitori, istituzionali e non. Ma se così è, ci sembra del tutto sproporzionato, oltre che in spregio al canone di sussidiarietà, il ricorso alla sanzione penale. 6.6. Del pari, non sembra condivisibile l'assunto secondo cui l'i.t. rappresenterebbe unaa minaccia per l'interesse del risparmiatore alla corretta allocazione dei propri investimenti, giustificando il ricorso alla sanzione penale in ragione della lesione che il fenomeno de quo arrecherebbe al patrimonio conoscitivo dell'investitore. Il mercato finanziario è senza dubbio un luogo giuridico che va regolamentato e dove l'informazione esercita un ruolo fondamentale. L'efficienza allocativa del mercato presuppone la sua efficienza informativa. Quest'ultima richiede che gli investitori possano poter contare sulla massima quantità possibile di informazioni, che queste vengano diffuse e fatte circolare nella maggiore quantità e con la maggiore tempestività possibili. Il mercato finanziario è profondamente influenzato dalle informazioni e dal sentiment sui più svariati temi macro e micro economici, relativi al sistema Paese come alla singola società emittente, capaci di incidere ed impattare sull'andamento borsistico di un determinato titolo. E questo perché l'investimento nel mercato finanziario è sostanzialmente speculazione e - per citare Keynes nella sua Teoria generale dell'occupazione, dell'interesse e della moneta - "la speculazione è la capacità di scoprire cosa l'opinione media ritiene che l'opinione media sia". I canali attraverso i quali l'informazione viene reperita, elaborata, creata, analizzata e poi diffusa, sono tanti e diversi, la loro efficacia è legata a così tante variabili - costi di investimento sostenuti per l'attività di ricerca e studio, capacità di analisi ecc. - che il configurarsi di situazioni di vantaggio o svantaggio informativo è condizione fisiologica propria del mercato e della sua dimensione speculativa e competitiva, tanto da rifiutare ogni logica propria della teoria del c.d. market egualitarism. Nel caso dell'insider trading, come detto, la sola nota di criticità che può legittimare un intervento sanzionatorio è data dall'ipotesi in cui il vantaggio informativo viene conseguito sfruttando, abusando della posizione fiduciaria rivestita in seno alla società emittente e, quindi, senza sostenere i costi correlati all'acquisizione o alla produzione dell'informazione. In tale ipotesi, l'asimmetria informativa non è il risultato dell'opera di ricerca di un analista, ma di una forma vera e propria di abuso funzionale ad una successiva speculazione, non compensata da un investimento iniziale. Appare pertanto corretta la distinzione tra informazioni ottenute sostenendo costi di investimento ed informazioni conseguite a costo zero in virtù di una rendita di posizione: le prime devono essere sottratte all'obbligo di disclosure; per le seconde è corretto stabilire un divieto di utilizzo perchè, se utilizzate e sfruttate, realizzerebbero una ripartizione dei costi economicamente inefficiente, favorendo lo speculatore, a discapito di chi l'informazione l'ha prodotta. Ora, se non si può non convenire sul fatto che le informazioni del secondo tipo non possano essere utilizzate e che dunque debbano essere eliminate o neutralizzate le asimmetrie informative che non sono espressione di un'attività di ricerca e di investimento, si è per contro scettici sull'utilità del ricorso alla sanzione penale per perseguire tale obiettivo. Un punto fermo del percorso logico-argomentativo che si intende sviluppare è il seguente: scevri dalle enunciazioni di principio a sfondo etico-moralistico, il solo ed unico schema economico cui poter ricondurre il divieto di i.t. è quello dell'asimmetria informativa e degli effetti che la stessa - nell'ipotesi in cui sia il risultato di una speculazione abusiva e non di un investimento - può produrre sul piano allocativo e distributivo delle risorse. Gli effetti distorsivi generabili da un dislivello informativo, frutto di una condotta di abuso di posizione, sono sostanzialmente due. Da una parte, quello che porta i risparmiatori/investitori a richiedere un rendimento più elevato a fronte di un rischio che aumenta oltre la normale alea dell'investimento, appunto in ragione della presenza di un fattore estraneo allo stesso rappresentato dall'esistenza di una superiorità informativa, dall'agire di operatori insider. Dall'altra, quello per cui la pratica di insider trading è un modo per estrarre benefici privati sfruttando informazioni di proprietà della società emittente, fenomeno tanto più negativamente impattante sull'immagine del mercato quanto più questo sia composto da società proprie di un capitalismo familiare con meccanismi di governance sbilanciati a favore degli azionisti di controllo. Di qui, la considerazione per cui troppo insider potrebbe nuocere al mercato ed il conseguente auspicio che il fenomeno venga regolato al fine di contenere o neutralizzare i due effetti negativi che ne possono derivare. Poiché entrambi i succitati effetti vedono come danneggiato finale la società emittente, la quale è la sola proprietaria delle informazioni price sensitive, ecco allora che la questione relativa alla regolamentazione dell'insider trading diventa una questione di regolamentare l'uso dei diritti di proprietà sull'informazione. L'assunto poggia su due presupposti meritevoli di adeguata verificazione. 6.7. Il primo è che l'informazione è un bene economico, idoneo ad essere sfruttato economicamente da chi ne è proprietario. Non possiamo certo trascurare l'antico ed ancora non sopito dibattito sulla natura giuridica del bene "informazione", in particolare se questa sia qualificabile come bene privato o come pubblico. Secondo una prima teoria, l'informazione è un bene pubblico che non può essere oggetto di proprietà privata, configurandosi come un bene indivisibile e non escludibile: l'indivisibilità sarebbe legata al fatto che ogni individuo può utilizzare l'informazione senza sostenere alcun costo aggiuntivo; la non escludibilità discederebbe dalla difficoltà di circoscrivere la cerchia dei soggetti che se ne possono appropriare, ovvero dalla difficoltà di apporre vincoli di riservatezza. Sul versante opposto si schierano quegli economisti che sostengono la divisibilità e l'escludibilità dell'informazione, ritenendo che l'accesso al bene può essere circoscritto e che, pertanto, è possibile appropriarsi a pagamento dei suoi vantaggi, acquisendone così la titolarità prima che l'informazione diventi pubblica. E' chiaro che il riconoscimento al bene informazione di una natura pubblica o privata si riflette sulla definizione dell'assetto regolamentare che ne deve disciplinare la produzione, l'uso e la divulgazione. Se aderissimo alla tesi liberista - per cui l'informazione è un bene che può essere fatto oggetto di proprietà privata -, addiverremo a respingere qualsivoglia intervento esterno di regolamentazione dei meccanismi di produzione e circolazione dei flussi informativi, che i sostenitori di questa tesi ritengono controproducenti perché aventi l'effetto di scoraggiare la produzione di nuove informazioni, riducendo in tal modo il contributo dell'informazione al miglioramento della capacità segnaletica dei prezzi. Se, per contro, riconoscessimo all'informazione la qualifica di bene pubblico, si dovrebbe ammettere un impianto regolamentare ispirato alla logica del market egualitarism, caratterizzato da obblighi di disclosure e dal divieto di insider trading in capo agli operatori. Una posizione intermedia è quella per cui l'informazione è un bene privato che, tuttavia, genera delle esternalità, degli effetti aventi ricadute su soggetti esterni e sul mercato in generale, assommando in sé - il riferimento è nello specifico all'informazione societaria - esigenze di riservatezza (proprie del soggetto proprietario che quelle informazioni ha creato e prodotto) ed obblighi di trasparenza verso il mercato a tutela della comunità di investitori. Di qui la necessità di predisporre un sistema di regole che possa contemperare questi due termini del contendere. Con il risultato, innanzitutto, di ammettere che chi crea e produce l'informazione risulti anche assegnatario esclusivo del diritto di sfruttarne economicamente il contenuto (un diritto che non può essere negato, pena l'inefficiente allocazione delle risorse ed il conseguente scoraggiamento dell'attività di analisi e ricerca, condicio sine qua non per un mercato finanziario efficiente e trasparente). Prevedendo, in secondo luogo, un sistema di tutele per il proprietario dell'informazione e per il mercato in generale, avverso quelle possibili esternalità negative derivanti da comportamenti di terzi che, abusando della posizione rivestita, facciano un uso scorretto dell'informazione price sensitive. 6.8. Quanto al secondo presupposto, si è sostenuto che i diritti di uso e sfruttamento delle informazioni devono essere assegnati a chi quelle informazioni le ha create attraverso un'attività di ricerca ed analisi ovvero, nel caso di informazioni già esistenti in seno alla società emittente, a questa stessa. Non si può d'altronde negare che gli effetti negativi dell'i.t., poco sopra delineati, vanno ad impattare proprio sulla società emittente in termini di deprezzamento del pricing del relativo titolo quotato, che, proprio perché sospettato di essere oggetto di operazioni insider, vedrà gli investitori disposti ad acquistarlo solo a fronte di un premio aggiuntivo (implicitamente espresso nella disponibilità ad acquistare a prezzi che scontino l'effetto insider). L'informazione, però, a differenza degli altri beni che vengono prodotti e consumati, viene scoperta, e quindi diffusa, tramite la trasmissione o divulgazione al mercato, la quale, tuttavia, se da un lato incrementa il livello informativo del mercato e dunque la sua efficienza, dall'altro riduce le opportunità di profitto per chi ha creato quell'informazione. In altri termini: la divulgazione del bene-informazione è, al tempo stesso, fattore di trasparenza ed efficienza allocativa del mercato e disincentivo alla produzione delle informazioni, perché riduce in capo a chi le ha prodotte la possibilità di estrarne profitto. Da questo tratto peculiare dell'informazione nasce una sorta di conflitto, di trade off tra produzione ed uso dell'informazione: la regolamentazione di questo trade off, si ritiene, debba rappresentare l'obiettivo esclusivo di una normativa anti-insider. Un obiettivo che si ritiene debba essere perseguito per mezzo di un sistema regolamentare fondato su alcuni punti chiave: i diritti di proprietà sul bene informazione devono essere assegnati alla società emittente ovvero a chi, sostenendo costi di investimento e di ricerca, ha creato e prodotto l'informazione; una ridefinizione della normativa sulla trasparenza societaria, che sappia più efficacemente coniugare l'esigenza dell'emittente di tutelare istanze di riservatezza e l'interesse del mercato alla divulgazione delle informazioni; obbligare le società emittenti a dotarsi al proprio interno di processi operativi finalizzati alla mappatura delle informazioni e alla disciplina sull'uso, sulla trasferibilità e sulla divulgazione delle medesime, acconsentendo che il diritto allo sfruttamento economico di esse venga trasferito esclusivamente a managers e dipendenti della società e non a soggetti terzi, perché questo impedirebbe di esercitare un controllo sull'uso del flusso informativo e sulla profittabilità dell'attività (autorizzata) di insider. Quanto, infine, all'aspetto repressivo, si ritiene che qualsivoglia forma di sfruttamento non autorizzato di informazioni societarie, ovvero con modalità difformi dal sistema adottato di compliance aziendale, dovrebbe esporre l'autore della violazione a sanzioni di tipo civilistico a tutela della società e dei suoi azionisti ma anche del mercato in generale, abbandonando in questo modo lo strumento penalistico. Si ritiene, a tale riguardo, che il diritto degli investitori ad operare in un mercato integro possa trovare adeguata ed efficiente tutela, non nella sanzione penale - per i limiti e le tensioni che la caratterizzano - , quanto piuttosto in rimedi privatistici esperibili nei confronti dell'insider dalla società emittente, tanto nell'interesse proprio e dei suoi azionisti (per il danno che il comportamento insider reca all'immagine della società e per l'impatto sull'andamento del titolo in termini di liquidità, pricing e percezione di una sua maggiore rischiosità), quanto anche nell'interesse del mercato e dei risparmiatori quale ente esponenziale che più rappresenta l'interesse diffuso alla stabilità del mercato, alla sua efficienza (intesa primariamente come remunerazione delle sole informazioni privilegiate ottenute sostenendo un costo di investimento e non per mero abuso di posizione) e al fairness (per la funzione di rassicurare gli investitori sulla trasparenza ed il buon funzionamento del mercato). Facendo peraltro coesistere sanzioni amministrative irrogabili dagli Organismi di vigilanza, sia nei confronti delle società emittenti e degli esponenti aziendali per inosservanza dei sistemi interni di compliance disciplinanti la produzione e l'uso delle informazioni sensibili, sia nei confronti degli autori di condotte di tipping e tuyautage. In conclusione, muovendo dall'assunto secondo cui lo scopo di una disciplina sull'insider trading deve essere identificato nella prevenzione e nel contrasto di quelle forme di abuso di situazioni di vantaggio informativo, e comprovata l'ineffettività e difformità costituzionale della via penale, non resta che accogliere la soluzione che impone, in primis, di revisionare i meccanismi societari di produzione, uso e divulgazione delle informazioni price sensitive, in nome di una maggiore trasparenza sulla titolarità del diritto di sfruttamento delle stesse e di una maggiore responsabilizzazione degli amministratori, agendo sul piano della corporate governance e sui programmi di compliance aziendale. In secundis, combinando un enforcement fatto di sanzioni e rimedi civilistici (nei termini meglio specificati nel prosieguo) esperibili dall'emittente nei confronti dei soggetti insiders, nonché di sanzioni amministrative irrogabili dagli Organismi di vigilanza contro l'emittente (per la mancata inosservanza dei programmi di compliance sull'uso delle informazioni societarie) e gli insiders societari e non, all'esito di un'attività di indagine e di controllo che si auspica possa essere rafforzata e resa più incisiva. Nella convinzione che la pratica di i.t. lede in modo diretto la società emittente deprezzandone il titolo e gli investitori che su quel titolo operano e che potrebbero risultare danneggiati dal dislivello informativo, di talché l'unico rimedio efficiente per il contenimento di siffatta pratica è quello di prevedere, a carico dell'insider autore della condotta di abuso, un costo aggiuntivo (dato ad es. ma non solo dalla restituzione del profitto conseguito sfruttando la notizia riservata) tale da rendere l'abuso, se scoperto, economicamente inutile o addirittura svantaggioso. Nella convinzione che la maggiore responsabilizzazione di chi riveste posizioni di vertice all'interno delle società emittenti, congiuntamente all'adozione di un sistema di autodisciplina che renda trasparente l'uso delle informazioni rilevanti e l'assegnazione dei vantaggi insiti nel loro sfruttamento, costituisca il maggior antidoto all'opacità ed all'inefficienza del mercato. 7. Occorre poi prendere contezza del fatto che qualsivoglia progetto di riforma dell'ordinamento finanziario e di revisione degli strumenti di tutela del risparmiatore che si intenderà mettere in cantiere, non porterà i risultati attesi, se non sarà accompagnato da quel plesso di riforme dei vari apparati tangenti e complementari all'organizzazione del mercato finanziario: la riforma dell'amministrazione della giustizia per assicurare, anche istituendo una magistratura specializzata, tempi rapidi nell'accertamento degli illeciti e nell'irrogazione delle sanzioni; nuove regole in materia di informazione societaria al fine di migliorare la trasparenza informativa; l'introduzione di sistemi di governance più chiari ed indipendenti, capaci di presidiare e risolvere le tante, troppe, situazioni di conflitto di interesse di cui oggi è intrisa la catena dell'intermediazione finanziaria e che rappresentano, ad un tempo, la molla dell'agire economico nel mercato capitalistico e la principale causa di disgregazione e polverizzazione di ricchezza; regole chiare sulla circolazione dei prodotti finanziari; un ridisegno generale dei sistemi di controllo, vigilanza e di revisione contabile all'interno delle società di intermediazione del risparmio; da ultimo, ma non certo per ordine di importanza, un intervento correttivo della disciplina del c.d. falso in bilancio, che rappresenta a tutti gli effetti un presidio a tutela del risparmiatore. Senza queste riforme complementari, anche una buona legge di riforma del mercato finanziario non coglierebbe appieno il risultato sperato. E' chiaro, infatti, che il mercato, come pure il suo grado di efficienza e trasparenza, sono il risultato della convergenza di una pluralità di fattori, esogeni ed endogeni, che agiscono su piani diversi ed incidono su differenti meccanismi di funzionamento del mercato stesso, cercando il non facile equilibrio tra i valori in gioco. 8. La ri-configurazione di un nuovo assetto di regolamentazione del mercato finanziario è condizione necessaria ma non sufficiente per alimentare un processo di prevenzione generale e di orientamento dei modelli comportamentali, che possano rappresentare un efficace argine al dilagare dei fenomeni di market abuse e di market failure. Serve, in parallelo, anche un processo di revirement culturale che porti ad una sorta di rifondazione etica della business comunity, nella consapevolezza che anche il migliore sistema normativo non ha presa sulla realtà effettuale, se questa non è a priori innervata da un insieme di regole etiche generalmente condivise. Il contesto attuale mostra un mercato finanziario caratterizzato dall'assenza di regole di condotta e di principi tali da costituire un governo etico, prima che giuridico, al lavoro dei suoi operatori. La grande ondata di deregolamentazione finanziaria che si è avuta nell'ultimo decennio ha favorito il dilagare dei conflitti di interesse in cui si trovano ad operare gli intermediari finanziari. Si pensi, per fare qualche esempio tra i tanti, al caso delle banche che hanno collocato ai propri clienti titoli tossici presenti nel loro portafoglio, al fine di dismetterli evitando perdite già prevedibili al momento del collocamento; agli effetti perversi del sistema degli incentivi ai vari operatori presenti nella catena dell'intermediazione finanziaria, che hanno favorito la diffusione di pratiche ad elevato rischio pur di conseguire l'obiettivo di lauti compensi; senza dimenticare il caso delle società di rating che hanno senza dubbio concorso a favorire l'occultamento di situazioni di difficoltà, attribuendo giudizi "a tripla A" a società che di lì a poco sarebbero state dichiarate fallite. La cultura di illegalità diffusa e di abuso di cui oggi è permeato il sistema del risparmio gestito va contrastata, non con norme cariche di una minaccia sanzionatoria severissima ma con bassa probabilità di trovare un'effettiva ed efficace applicazione, bensì con una revisione normativa ad ampio spettro, funzionale ad assicurare maggiore trasparenza nei meccanismi di corporate governance, razionalizzazione e rafforzamento del sistema dei controlli interni ed esterni alle società. Una considerazione è d'obbligo: la causa prima dei tanti, troppi, dissesti finanziari che hanno provocato nell'ultimo ventennio una dispersione gigantesca di ricchezza collettiva è da individuare nei conflitti di interesse di cui è profondamente permeato l'ordinamento societario, finanziario ed istituzionale, tanto da far affermare, all'illustre Guido Rossi, che "il risparmio di massa galleggia letteralmente sui conflitti di interesse e la sua salvaguardia dipende, anzitutto, dalla corretta impostazione di tali conflitti, la cui esistenza è peraltro fisiologica all'agire economico". Occorre pertanto ripartire dal male oscuro dell'ordinamento finanziario, lavorando ad una revisione dei meccanismi di corporate governance, dei processi decisionali interni alle società, troppo spesso affidati ad amministratori che agiscono alla stregua di monarchi assoluti, al di sopra ed a prescindere da ogni forma di controllo. Nel procedere in quest'opera di riscrittura delle regole del gioco, è corretto immaginare che il primo intervento del diritto nell'ambito economico e dell'impresa debba avvenire sul piano della prevenzione, avvalendosi degli strumenti propri del diritto civile, del diritto amministrativo e dell'autoregolamentazione. Arrivando, per questa strada, alla configurazione di un diritto penale minimo ma efficace e severo, nel sanzionare quei comportamenti ritenuti immediatamente offensivi di quegli interessi meritevoli di protezione, perché in diretta e stretta relazione con la tutela della funzione di vigilanza, epicentro del complesso normativo a difesa del risparmio. ; XXI Ciclo ; 1972