This PhD dissertation proposes a geopolitical analysis of a centrasiatic transborder region, theFerghana Valley, which is today divided between the Republics of Uzbekistan, Tajikistan andKyrgyzstan.A basis of the research, field trips spread over the past three years enabled the development ofinstruments such as border analysis, analytical cartography, qualitative interviews with experts andinhabitants, and bibliographical research in the Ferghana as well as the Uzbek capital city Tashkent– noticeably at the French Institute for Central Asian Studies (IFEAC). As a complement to thefield trips in Central Asia, a research period in France permitted both a consolidation in geopoliticaltheory at the French Institute of Geopolitics (IFG) of the University of Paris 8-Vincennes, andadditional bibliographical research at the French National Library (BNF).The topic of the research is hence the analysis of power rivalries between "territorial actors" overthe "territorial stake" of the Fergana Valley, a fertile basin of strategical location within the largergeopolitical context of Central Asia. Always a stake disputed by various territorial actors over time,the Fergana Valley now experiences power rivalries from contemporaneous territorial actors firstand foremost on the border and transborder levels.By doing so, the dissertation introduces a new actor in the classical geopolitical pattern of analysis:the cultural regionalism. The dissertation hence offers a detailed presentation of the culturalregionalism as well as an evaluation of its past and current importance.First focusing on the centrasiatic context and the peculiarities which stem from its borders, theintroduction presents the "stake" Fergana and its economic and physical resources which explainits importance as a territory. A rapid summary of the theory of geopolitics follows, with thejustification of the choice of the French Lacostian school as the theoretical frame of this work. Theintroduction closes on a first analysis of the Fergana as a space of border or frontier.First partThe thesis is structured in two main parts. The first, more theoretical, analyses each of the threeterritorial actors which aim for power over the Fergana: the Nation, the Religion, and the CulturalRegionalism. The presentation of the actors, of their respective embodiments and of theirmanifestations within the ferganian territory is organised according to a conceptual rationale; eventsthat occurred simultaneously are thus not considered following a chronological order, butseparately, according to their respective relations with the actors evoked.The first chapter focuses on the actor Nation. By this word we understand not only the effectiveentity of the Nation-State, and its three embodiments (Uzbekistan, Tajikistan, Kyrgyzstan), but alsothe Nation as an ideology which acts upon the territory through nationalistic policies. The force oflegitimation of the actor Nation did certainly not have a neutral role in the rise of this actor in theFerganian landscape, a process which led the Nation to the top of the geopolitical actors' hierarchyin the region. This chapter also analyses the representations of the Fergana which are defined andimplemented by the actor Nation since its birth in the 1920s. In fact, the Fergana valley first becamea transborder region only in these years, through its integration to the Union of the Socialist SovietRepublics (USSR) and its partition between three of the five newly created Socialist SovietRepublics in Central Asia. In the 1990s, following the fall of the USSR and the independence of thethree Republics, the borders which divided the Ferghana stopped being only internal, but becamereal and proper international borders. Among the main representations that this study looks at, aparticular attention is devoted to the study of the national borders , their creation and theirevolution. The chapter also looks at the relations between the different Nation-States, which form aunique actor when they rival against the other territorial actors – the Religion and the CulturalRegionalism –, but three well different ones when they rival among themselves.The second chapter concentrates upon the second territorial actor, the Religion. The Fergana valleyis one of the most pious and practicing region of Central Asia, and the Islamic religion alwaysplayed a major role in the society's administration and organization.The chapter proposes first an analysis of the religion's representations in the Fergana: theautochthonous sufism and its sacred geography within the Fergana valley ; the traditional Islam ofthe soviet times, which became a legal weapon used by Moscow to fight the sufi orthodoxy in theFergana ; the recently appeared wahabbite fundamentalism, imported from Afghanistan, Pakistanand Saudi Arabia following the Soviet invasion of Afghanistan in 1979 and the encounter it inducedbetween the soviet muslims and the afghan mujaheddins.It is then examined how the different variations of the actor opposed themselves to the actor Nation,over the years, for the control over the power and the resources of the Fergana. We look at how thegeopolitical rivalries vary dramatically from the soviet era to that of the independence. A specialattention is devoted to the phenomenon of politization of the actor Religion and the way this led theReligion to endorse a role of protagonist in many of the Fergana's events.The third actor is the Cultural Regionalism. It is hereby referred to the geo-cultural identity of thisregional entity, which persists in spite of nationalistic and religious pressures. In fact, as long as theFergana has existed as a place, it has always constituted a geographical, political and social whole.Although its population has been characterized during the past centuries by high levels ofmultiethnicity and linguistic heterogeneity, this did not prevent the societal amalgamation ofpopulations which always held multiethnicity as normality, and always attributed to each "group" aspecific social role within the system Fergana.Be they of language and culture persian and sedentary, turk and sedentary or turk and nomadic,these populations always shared, each in its own social role, a common life within the region. Thisvery phenomenon is the main characteristic of what we call the Cultural Regionalism of theFergana.However, this equilibrium changes with the loss of political sovereignty of the region and the rise ofnationalism under the soviet sovereignty. This chapter analyzes the main representation of the actorCultural Regionalism over time, and how it took stand against the other territorial actors, especiallythe Nation.Second partThe second part of the dissertation as dedicated to the current manifestations of the territorial actorsin the Fergana valley, particularly in its border zones. This part results from the interviews and fieldobservation undertaken in Central Asia and the Fergana in 2007, 2009 and 2010.The first chapter analyzes the border of this region from a theoretical point of view, especially in thelight of the geostrategical categories of "first line of defence" or "last line of defence".In the context of a transformation of the border from the soviet era to that of the independence, thesecond chapter explores the definition of the centrasiatic border, mainly through the analysis ofborder bureaucracy, control posts and documents required to cross the border. The chapter looks atthemes connected to the commercial transborder relations : how the "three" Fergana still manage tointeract despite growing border rigidity, which social relationships subsist today. The qualitativeinterviews led in the Fergana are a major source in this process of reviewing the difficulties ofpassage and communication within the valley, and of tracking the actual presence of the threegeopolitical actors which play a major role in the border relations and conflicts.The third chapter focuses on the Ferganian urban centres: their history, the relations that theFerganians have with them, et above all the internal and external representations of these centres ina now fully transborder region.The fourth chapter concentrates on the demographical evolutions of the Ferganian population. Upuntil then a land of immigration, the Fergana became a land of emigration following theindependence and the materialization of the borders.The fifth chapter deals with the Ferganian infrastructures, especially the rail and road networks, andtheir relationship of reciprocal influence with the mutation of the borders in the region.The sixth chapter builds on the theoretical interrogations evoked in the introduction of thedissertation and develops a conclusive analysis of the Fergana of the borders nowadays.ConclusionThe conclusion of this research depicts the current Fergana, the relations between the differentgeopolitical actors and underscores the persistence of the actor Cultural Regionalism.It establishes the existence of tremendous changes in the region Fergana from various viewpoints:the Ferganian population has new frames of cultural, political and social reference whoseimportance increased dramatically ; new political forms and cultural structures influenced its selfimage,its very identity: "russian, muslim, ferganian", then "soviet, uzbek (or tajik or kyrgyz),atheist, ferganian", finally "uzbek (or tajik or kyrgyz), secular, ferganian".However, although the territory, its borders and inhabitants changed, and despite the strongobstacles set by the actor Nation, the cultural regionalism succeeded in maintaining itself, byadapting to the new tendencies and ways of interpretation of the Fergana.The conclusion ends with the most recent events of the Fergana, the Andjian massacre in 2005 andthe Osh clash in 2010, which are both analysed in the light of the geopolitical power rivalries whichpersist in the region. ; IntroductionCette thèse de Doctorat propose une analyse géopolitique d'une région transfrontalière de l'Asiecentrale, la vallée du Ferghana, aujourd'hui divisée entre les Républiques d'Ouzbékistan, duTadjikistan et du Kirghizistan.Des séjours sur le terrain répartis sur trois ans ont constitué la base de la recherche, au travers del'analyse des frontières, de la cartographie analytique, d'entretiens qualitatifs avec experts ethabitants, et de recherches bibliographiques dans le Ferghana ainsi que dans la capitale ouzbèkeTachkent – notamment près l'Institut Français d'Etudes sur l'Asie Centrale (IFEAC). Ces périodesde terrain ont été complétées par un séjour de recherche en France, articulé principalement autourd'un approfondissement théorique à l'Institut Français de Géopolitique (IFG) de l'Université ParisVIII-Vincennes et de recherches bibliographiques à la Bibliothèque Nationale de France.L'objet de ce travail est donc l'analyse des rivalités de pouvoir entre les acteurs territoriaux surl'enjeu territorial de la vallée du Ferghana, bassin fertile à la position stratégique dans le contextegéopolitique centrasiatique élargi. Si le Ferghana a toujours constitué un enjeu disputé pardifférents acteurs territoriaux, les rivalités des acteurs actuels jouent aujourd'hui surtout au niveaufrontalier et transfrontalier.Ce faisant, cette thèse introduit un nouvel acteur dans le schéma d'analyse géopolitique classique:le Régionalisme culturel. Le Régionalisme culturel en tant qu'acteur territorial y fait donc l'objetd'une présentation approfondie ainsi que d'une évaluation de son importance passée et actuelle.Concentrée d'abord sur le contexte centrasiatique et les particularités qui découlent de sesfrontières, l'introduction présente ensuite « l'enjeu » Ferghana et ses ressources physiques etéconomiques, qui expliquent l'importance de ce territoire. Elle se poursuit sur un rapide pointthéorique sur la géopolitique et la justification du choix de l'école de pensée géopolitique de YvesLacoste comme cadre théorique de cette recherche, avant de s'achever sur une première analyse del'espace Ferghana à l'aune des catégories de frontières et de confins.Première partieLa thèse est structurée en deux grandes parties. La première, à dominante théorique, analyse à tourde rôle les trois acteurs territoriaux qui rivalisent pour le pouvoir sur le Ferghana: il s'agit de laNation, de la Religion, et du Régionalisme culturel. La présentation des acteurs, de leursdifférentes incarnations et de leurs représentations respectives du territoire ferghanien sont ainsiabordés selon un ordre conceptuel ; des évènements s'étant produits simultanément ne sont ainsipas analysés chronologiquement mais séparément, en tant qu'ils se rapportent aux acteurs évoqués.Le premier chapitre est consacré à l'acteur Nation. Par cette expression nous entendons nonseulement l'entité effective Etat-Nation et ses trois incarnations (Ouzbékistan, Tadjikistan,Kirghizistan), mais aussi la Nation comme idéologie qui agit sur le territoire au travers depolitiques nationalistes. La force de légitimation de l'acteur Nation n'est pas étrangère àl'accroissement de son importance sur ce territoire, qui l'a sans aucun doute mené au sommet de lahiérarchie des acteurs géopolitiques dans cette région. Ce chapitre analyse les représentations duFerghana définies et mises en oeuvres par l'acteur Nation depuis son apparition dans les années1920. La vallée du Ferghana est en effet devenue une région transfrontalière à cette époque, avecson intégration à l'Union des Républiques Socialistes Soviétiques (URSS) et sa partition entre troisdes cinq Républiques Socialistes Soviétiques nouvellement créées en Asie Centrale. Dans lesannées 1990, avec la chute de l'URSS et l'indépendance des trois Républiques, les frontières quidivisaient le Ferghana ne sont plus simplement internes, mais deviennent bel et bieninternationales. Parmi les représentations majeures qui font l'objet d'une étude dans ce chapitre,une attention particulière est portée aux frontières nationales, leur création et leur évolution. Lechapitre s'intéresse également aux relations entre les différents Etats-Nations, qui constituent unacteur unique lorsqu'ils rivalisent contre les autres acteurs territoriaux – la Religion et leRégionalisme culturel – mais aussi trois acteurs différenciés lorsqu'ils se disputent le territoireFerghana entre eux.Le deuxième chapitre est consacré au deuxième acteur territorial, la Religion. La vallée duFerghana est l'une des régions d'Asie centrale les plus croyantes et pratiquantes, et la religionislamique y a toujours eu un rôle important dans la gestion de la société.Ce chapitre propose d'abord une analyse des représentations de la religion dans le Ferghana : lesoufisme autochtone et la "géographie sacrée" des hauts lieux de ce courant de l'Islam dans leFerghana ; l'Islam traditionnel de la période soviétique, devenu une arme légale utilisée parMoscou pour combattre l'orthodoxie soufie du Ferghana ; le fondamentalisme wahabbiterécemment apparu, importé d'Afghanistan, du Pakistan et d'Arabie Saoudite à la suite del'invasion de l'Afghanistan par les Soviétiques en 1979 et de la rencontre qui s'en est ensuivieentre les musulmans soviétiques et les moudjahiddines afghans.Ensuite est examinée la manière dont les différentes variantes de l'acteur Religion se sontopposées, au cours des années, à l'acteur Nation pour le contrôle du pouvoir et des ressources duterritoire Ferghana. Nous y voyons comment la rivalité géopolitique entre deux acteurs varie dutout au tout selon que l'on parle de l'acteur Nation au cours de la période Soviétique ou bien aucours de l'ère ayant succédé à l'indépendance.Une attention particulière est portée au phénomène de politisation de l'acteur Religion et à lamanière dont cette politisation a amené la Religion à assumer un rôle de protagoniste dans denombreux évènements du Ferghana.Le troisième acteur est le Régionalisme culturel. Avec cette expression nous faisons référence àl'identité géo-culturelle de cet ensemble régional, qui persiste malgré les pressions nationalistes etreligieuses. Car aussi loin que remonte son existence en tant que lieu, la vallée du Ferghana atoujours constitué un ensemble géographique, politique et social à part entière. Bien que sapopulation se soit distinguée au cours des derniers siècles par une grande multiethnicité ethétérogénéité linguistique, cela n'a pas empêché un amalgame sociétal de cette population qui atoujours considéré la multiethnicité comme normale, et toujours a attribué à chaque « ethnie » unrôle social déterminé au sein du système Ferghana.Qu'elles soient de langue et de culture persane et sédentaire, de langue et de culture turque etsédentaire, ou bien de langue et de culture turque et nomade, ces populations ont toujours partagé,chacune dans son propre rôle social, une vie communautaire au sein de la région, et ce phénomèneest la caractéristique principale de ce que nous appelons le Régionalisme culturel du Ferghana.Cependant, cet équilibre change avec la perte de souveraineté politique de la région, l'avènementdu nationalisme sous l'action de l'URSS, et la partition de l'espace entre trois Etats nations del'Asie centrale soviétique. Ce chapitre analyse ainsi les principales représentations de l'acteurRégionalisme culturel au cours du temps, et comment il s'est opposé aux autres acteursterritoriaux, en particulier à l'acteur Nation.Seconde partieLa seconde partie de ce travail est dédiée aux manifestations actuelles des acteurs territoriaux dansla vallée du Ferghana, plus spécialement dans ses zones de frontière. Cette partie est le résultat desentretiens et des observations de terrain réalisés en Asie centrale et dans le Ferghana au cours deséjours en 2007, 2009 et 2010.Le premier chapitre analyse la frontière de cette région du point de vue théorique, à la lumièrenotamment des catégories géostratégiques de "première ligne de défense" ou "dernière ligne dedéfense".Dans le contexte d'une modification de la frontière entre l'époque soviétique et celle del'indépendance, le deuxième chapitre approfondit la définition de frontière centrasiatique, autravers principalement de l'analyse de la bureaucratie de frontière, des postes de contrôle et desdocuments requis pour le passage de la frontière. Les thématiques liées aux relations commercialestransfrontalières y sont examinées : comment les "trois" Ferghana parviennent encore à interagirmalgré la rigidité croissante des frontières, quelles relations sociales transfrontalières subsistent ausein du Ferghana d'aujourd'hui. Les entretiens qualitatifs réalisés dans le Ferghana jouent un rôlemajeur pour recenser les difficultés de passage et de communication dans la vallée et déceler, dansles descriptions et jugements recueillis, la présence des trois acteurs géopolitiques qui toujoursjouent un rôle fondamental dans les relations et conflits de frontière.Le troisième chapitre est dédié aux centres urbains du Ferghana : leur histoire, le rapport que lesFerghaniens entretiennent avec eux, et surtout les représentations internes et externes que lescentres urbains assument au sein d'une région désormais tout à fait transfrontalière.Le quatrième chapitre se concentre sur les évolutions démographiques de la population. Jusque làterre d'immigration tout au long des années tsaristes et soviétiques, le Ferghana est devenu uneterre d'émigration avec l'indépendance et la concrétisation des frontières.Le cinquième chapitre s'intéresse au Ferghana des infrastructures, notamment les réseaux ferré etroutier, et leur rapport d'influence réciproque mutations frontalières de cette région.Le sixième chapitre reprend les interrogations théoriques posées dans l'introduction et développeune analyse conclusive sur le Ferghana des frontières aujourd'hui.ConclusionLa conclusion de cette recherche dresse le bilan actuel du Ferghana et des rapports entre lesdifférents acteurs géopolitiques, et observe la persistance de l'acteur Régionalisme culturel.Force est de constater l'existence de changements dans la région Ferghana à différents points devue. La population ferghanienne dispose de nouveaux cadres de référence culturels, politiques etsociaux qui ont pris une importance majeure. Des nouvelles formes politiques et de structuresculturelles ont eu un impact sur son image d'elle-même, sur son identité: "russe, musulmane,ferghanienne", puis "soviétique, ouzbèke (ou tadjike ou kirghiz), athée, ferghanienne", et enfin"ouzbèke (ou tadjike ou kirghiz), laïque, ferghanienne".Cependant, bien que le territoire, ses frontières et la société qui l'habite aient changé, et malgré lesobstacles forts posés par l'acteur Nation, que Régionalisme culturel a réussi à survivre, ens'adaptant aux nouvelles tendances et aux nouveaux modes d'interprétation du Ferghana.La conclusion s'achève sur les évènements les plus récents du Ferghana; massacre d'Andijan en2005 et affrontements à Osh en juin 2010, qui sont analysés à la lumière des rivalités de pouvoirgéopolitique qui persistent encore dans la région.
"Liberal states are different. They are indeed peaceful". (1)Michael Doyle. IntroducciónComo es materia sabida, la disciplina de las Relaciones Internacionales se ha desarrollado a lo largo del siglo XX a través de una serie de grandes escuelas de pensamiento. Realismo, Liberalismo, Marxismo y más recientemente Constructivismo, entraron en competencia para explicar la complejidad de la política mundial, en un proceso por el cual han puesto a prueba sus fortalezas y debilidades y apuntalado su respectivo refinamiento (Walt, 1998). La influencia de buena parte de estas concepciones intelectuales, asimismo, ha ido mucho más allá del mero ámbito de las aulas universitarias para impregnar también la cosmovisión y el proceso decisorio de los responsables políticos de los principales Estados en el sistema internacional (Snyder, 2005).Un caso muy particular donde se advierte un importante debate por parte de la academia, así como una materialización marcada en el discurso y enfoque de ciertos gobiernos, es el de la Paz Democrática. Considerada como "lo más cercano a una ley empírica en las Relaciones Internacionales", la Paz Democrática resulta aún en el nuevo siglo materia controvertida y de amplio interés precisamente por esta doble dimensión científico-política. En este sentido, el presente trabajo aborda el tópico con el objetivo de repasar y reflexionar sobre su sentido y su contenido, sobre la evolución de su estudio y sobre su manifestación concreta en la política exterior de Estados Unidos y los dilemas que esto entraña.La Paz DemocráticaEn su noción más general la idea de la Paz Democrática es bien simple y consiste en la sencilla afirmación de que "las democracias no hacen la guerra entre sí". Esta presunción se complementa a su vez con otros dos postulados: el primero que las democracias liberales no son más propensas a la guerra que los Estados no democráticos, pero tampoco lo son menos y, el segundo, que aunque las democracias liberales no se hacen la guerra entre ellas, sí han tenido conflictos armados con los Estados no liberales (Peñas, 1997: 120). Puesta de otra forma, la Paz Democrática implica una variable independiente, el carácter democrático de un régimen estatal, y una variable dependiente, la ausencia de guerras entre las democracias (Ibíd.: 126). En las formulaciones más contemporáneas, pueden identificarse dos grandes variantes fundamentales de la Paz Democrática. Como señala Mónica Salomón (2001), se encuentran: la "tesis monádica", que sostiene que siempre las democracias son más pacíficas en sus relaciones con los demás Estados que los Estados no democráticos, yla "tesis diádica", menos ambiciosa en términos predictivos, que entiende expresamente que las democracias nunca (o rara vez) hacen la guerra a otra democracia.Aceptando esta postulación de que el tipo de régimen democrático determina la no propensión a la guerra contra otras democracias, la explicación de sus causas ha discurrido también en dos direcciones: por un lado, la dimensión institucional y por el otro, la dimensión normativa. En la primera se entiende que son los controles democráticos que penden sobre los gobernantes, como la opinión pública o las contiendas electorales, los que determinan este pacifismo. Precisamente, su punto débil es su incapacidad para explicar la frecuencia observada de las guerras entre democracias y países no democráticos. En la segunda, se sostiene en cambio que la política exterior de una democracia está regida por los mismos principios de conciliación y moderación que rigen la política interna, o bien, en la versión constructivista, que son las percepciones de los estadistas y decisores de política exterior (amistosas hacia otras democracias) lo que determina el comportamiento internacional singular de las democracias (Risse-Kappen, 1995; Peceny, 1997).En general se ha reconocido como el origen de la tesis de la Paz Democrática a las obras de Jean-Jacques Rousseau, Thomas Paine y especialmente la de Immanuel Kant (Schwartz y Skinner, 2002: 159). Fue el filósofo prusiano quien escribió en 1795 el clásico La Paz Perpetua, en tiempos en que la Revolución Francesa se debatía entre jacobinos y girondinos, y sólo Francia, Suiza y Estados Unidos podían ser considerados como democracias. Su punto de partida es la convicción en que el hombre es irrevocablemente empujado hacia la paz a causa de la razón práctico-moral. La paz mundial requiere de un Estado mundial y cosmopolita regido por un derecho mundial, desarrollo que Kant percibe sin embargo como irrealizable. Ello no lo desanima de todas formas para sugerir el camino hacia la paz consistente en un proyecto (cuya estructura es la de un tratado de paz) que contiene seis condiciones preliminares y tres definitivas para alcanzar (o tender a alcanzar) la paz perpetua (Salomón, 2001: 257), a saber:Bases previas:No debe considerarse válido un tratado de paz al que se haya arribado con reservas mentales sobre algunos objetivos capaces de causar una guerra en el futuro.Ningún Estado independiente, sea cual fuere su tamaño, puede pasar a formar parte de otro Estado por medio de trueque, compra, donación o herencia. (El Edo. es una sociedad de hombres que dispone sobre sí misma.)Los ejércitos permanentes deben desaparecer permanentemente.El Estado no debe contraer deudas que tiendan a mantener su política exterior.Ningún Estado debe inmiscuirse por la fuerza en la constitución y el gobierno de otro Estado.Un Estado que esté en guerra con otro no debe admitir el uso de hostilidades que impidan la confianza mutua en una futura paz. (Proscripción de la guerra de exterminio.)Bases definitivas:En todo Estado, la constitución política debe ser republicana (entendida como separación de poderes y en oposición al gobierno despótico).Principio de la libertad de los componentes de una sociedad, como hombres.Principio de la dependencia de todos, de una legislación común, como súbditos.Principio de la igualdad de todos, como ciudadanos.El derecho de gentes se debe basar en una Federación de Estados Independientes. (Referencia a una Sociedad de Naciones o Federación de Paz.)El derecho de la ciudadanía mundial debe limitarse a las condiciones de una hospitalidad universal.De esta forma, republicanismo (entiéndase aquí democracia), federación internacional (foedus pacificum) y derecho de gentes universal se articulan en La Paz Perpetua con el respeto por la soberanía ajena, la proscripción de ejércitos permanentes y la guerra limitada. Ciertamente Kant cifra sus esperanzas en una nación que sea puntal de estos valores y que a través de la irradiación de su ejemplo, no así de la promoción violenta de los mismos, vaya generando una creciente zona de paz mundial. Debe señalarse al respecto que, como afirma Peñas (1997: 121), "la herencia de Kant, de su concepción del individuo, de la historia y del tipo de régimen que permita al individuo llevar una vida racional y moral impregna" la tesis de la Paz Democrática.En gran parte, este vínculo se debe al rescate de su obra por Michael Doyle en 1983, a partir de cuándo se volvió moda referenciar a la Paz Perpetua como el basamento de partida para el análisis de la Paz Democrática. Asimismo, ha sido este trasfondo kantiano lo que ha facilitado la conexión estrecha entre la discusión filosófico-normativa y la teoría.El debate académicoPlanteada su esencia y sus orígenes, repasemos ahora el discurrir contemporáneo de esta tesis por el ámbito académico occidental. El primer estudio directo sobre la correlación positiva entre regímenes políticos democráticos y ausencia de conflictos armados interestatales es el de Dean Babst, publicado en 1964, que utilizaba la base de datos sobre guerras modernas elaborada en 1942 por Quincy Wright. Esta primera aproximación fue retomada luego por Melvin Small y David Singer (1976) quienes sometieron a verificación sus postulados y hallaron que, por un lado, si las democracias casi no habían combatido entre sí en el período 1816-1965 ello se debía a la distancia física entre ellas —y a las escasas fronteras compartidas—, y por el otro, que las guerras en que habían participado las democracias tenían en promedio la misma duración y causaban el mismo número de víctimas que las guerras internacionales en general. De esta forma, fueron los primeros en presentar argumentos causales distintos al tipo de régimen y en llamar la atención, en el marco del posterior debate,a la belicosidad normal de las democracias.El trabajo de Small y Singer le sirvió de insumo a Michael Doyle para su artículo Kant, Liberal Legacies, and Foreign Affairs (1983), el cual dio el puntapié definitivo al debate más reciente sobre la Paz Democrática. Allí, este autor pretendía demostrar que las instituciones y los principios liberales llevan a los Estados liberales a tener políticas exteriores bien distintas a las observadas en Estados no liberales. Estos Estados liberales se definían a partir de cuatro condiciones: i) Economías de mercado, ii) autonomía en política exterior, iii) derechos jurídicos para los ciudadanos y iv) gobierno representativo y separación de poderes. Para Doyle, el liberalismo alcanzó "un éxito extraordinario" en las relaciones entre Estados liberales en la medida en que éstos nunca entraron en guerra entre sí, pero condujo simultáneamente a "una confusión excepcional" en las relaciones entre Estados liberales y no liberales. Lo interesante de su aporte fue, como ya se anticipó, la (re)introducción de los postulados de Kant sobre la Paz Perpetua, al considerar que las relaciones internacionales liberales conformaban una "unión pacífica" semejante a la "federación de paz" de Kant. Ese mismo año, Rudolph Rummel publicó también su investigación en la que defendía la tesis monádica de la Paz Democrática. En este contexto, otros investigadores (Chan, 1984; Weede, 1984; Maoz y Abdoladi, 1989; Bremer, 1992) se lanzaron a comprobar estadísticamente los postulados y se llegó a la conclusión general a favor de que las democracias no tienden a combatir entre sí. Fue entonces que Jack Levy (1988) afirmó: "la ausencia de guerra entre democracias es lo más cercano que tenemos a una ley empírica en Relaciones Internacionales".Ahora bien, la formulación teóricamente más refinada de la Paz Democrática vino unos años después con Bruce Russett y su libro Grasping the Democratic Peace (1993). Allí sostenía que:1. Los sistemas políticos organizados democráticamente actúan, en general, bajo restricciones que los hacen más pacíficos en sus relaciones con otras democracias. Sin embargo, las democracias no son necesariamente pacíficas en sus relaciones con otras democracias.2. En el sistema internacional moderno, las democracias tenderán menos a usar violencia letal contra otras democracias que hacia Estados gobernados autocráticamente o que los Estados gobernados autocráticamente entre sí. Además, no hay casos claros de guerras entre democracias soberanas estatales en el moderno sistema internacional.3. La paz relativa entre democracias es, fundamentalmente, consecuencia de determinados rasgos de la democracia, y no se debe exclusivamente a las características económicas o geopolíticas correlacionadas con la democracia (Peñas, 1997: 128; Salomón, 2001: 243).La formulación de Russett coincide con el "optimismo liberal" despertado por el colapso soviético y el fin de la guerra fría. Fue entonces que la tesis de la paz democrática suscitó gran entusiasmo, sobre todo entre aquellos estudiosos de las Relaciones Internacionales que ansiaban acabar con la hegemonía teórica del realismo-neorrealismo en la disciplina (Salomón, 2001: 242).La importancia de la obra de este autor yace en que la corroboración afirmativa de la tesis entraña la responsabilidad política de adoptar las medidas oportunas para conseguir el fortalecimiento tanto de las condiciones que hacen posible la democracia en otros estados, como promover su expansión —preferentemente desde una óptica multilateral y pacífica. Asimismo, se deben fortalecer las normas que hacen posible una comunidad de paz, haciendo frente a amenazas como el nacionalismo o el fundamentalismo. Como se puede ver, es una idea que en principio aparece como pacífica, inocente e incluso en ciertos aspectos algo cándida. Sin embargo, a la luz de las críticas realizadas por autores como Waltz, puede convertirse en el instrumento de una política mesiánica e incluso de una cruzada para expandir la democracia (Tovar Ruíz, 2009: 13). Tal evolución se distancia abiertamente de la formulación kantiana original que es más bien pro-soberanía,como se ha mencionado.Ya en el nuevo siglo, la Paz Democrática ha recibido el aporte de los nuevos desarrollos teóricos en la disciplina de las Relaciones Internacionales, en particular del Constructivismo. En un número de International Politics dedicado exclusivamente al tópico, Ewan Harrison (2004) por ejemplo explora el vínculo entre la paz democrática, las estructuras domésticas de política exterior y los procesos de socialización de los Estados en la política internacional desde lentes constructivistas, mientras que Matthew Rendall (2004) testea la tesis en un caso concreto: la crisis franco-británica de 1840 sobre Siria, en la que demuestra la importancia de las percepciones en las relaciones internacionales, antes que la fuerza causal de la Paz Democrática.Pero esto representa sólo una de las líneas evolutivas del debate académico. En todo caso, lo que parece imperar en la actualidad es el reconocimiento de que no existe una única versión, científicamente autenticada, de la Paz Democrática, sino varias lecturas de la relación entre liberalismo-democracia y paz-guerra (MacMillan, 2004), entre las cuales la versión más difundida es aquella articulada por Doyle y Russett, perteneciente al ala más conservadora del Liberalismo, avocada a las cruzadas.•* Candidato doctoral, Universidad Nacional de General San Martín (UNSAM, Argentina). Investigador del Centro de Estudios Interdisciplinarios en Problemáticas Internacionales y Locales (CEIPIL-UNCPBA).(1) "Liberalism and World Politics", The American Political Science Review, Vol. 80, No. 4., Dec. 1986.Referencias BibliográficasBabst, Dean: "Elective Governments - A Force for Peace", The Wisconsin Sociologist, No. 3 (1964), pp. 9-14.Barceló Sasía, Alejandra: Anti-americanismo: ¿Problema de percepción o de formulación de política exterior? (Puebla: Universidad de las Américas Puebla, 2006). Bremer, Stuart A.: "Dangerous Dyads: Conditions Affecting the Likelihood of Interstate War, 1816-1965", Journal of Conflict Resolution, No. 36 (1992), pp. 309-341.Chan, Steve: "Mirror, Mirror on the Wall. Are the Freer Countries More Pacific?" Journal of Conjlict Resolution,No. 28 (1984), pp. 617-648. Cohen, Raymond: "Pacific unions: a reappraisal of the theory that 'democracies do not go to war with each other'", Review of International Studies, No. 20 (1994), pp. 202-232.Deutsch, Karl: Political Community and the North Atlantic Area (Princeton: Princeton University Press, 1957).Doyle, Michael: "Kant, Liberal Legacies and Foreign Affairs, Part I & Part II", Philosophy & Public Affairs, No.12 (1983), pp. 205-235 y 323-353.Doyle, Michael: "Liberalism and World Politics", The American Political Science Review, Vol. 80, No. 4 (Dec. 1986).Elman, Miriam Fendius (ed.): Paths to Peace. Is Democracy the Answer? (Cambridge: The MIT Press, 1997).Farber, Henry & Joan Gowa: "Polities and Peace", International Security, No. 20 (1995), pp. 123-146.Harrison, Ewan: "State Socialization, International Norm Dynamics and the Liberal Peace",International Politics, No. 41 (2004), pp. 521-542.Hewitt, J. Joseph, Jonathan Wilkenfeld & Ted Robert Gurr: Peace and Conflict 2008. Executive Summary (College Park, MD: CIDCM, University of Maryland, 2008).Ikenberry, John: "Why Export Democracy?: The 'Hidden Grand Strategy' of American Foreign Policy", The Wilson Quarterly, Vol. 23, no. 2 (Spring 1999).Kant, Immanuel: La Paz Perpetua (Buenos Aires: Longseller, 2001).Kegley, Charles & Margaret Hermann: "How Democracies Use Intervention: A Neglected Dimension in Studies of the Democratic Peace", Journal of Peace Research, No. 33 (1996), pp. 309-322.Kissinger, Henry: La Diplomacia (México: Fondo de cultura económica, 1995).Levy, Jack: "Domestic Politics and War", Journal of Interdisciplinary History, No. 18 (1988), pp. 653-673.MacMillan, John: "Whose Democracy; Which Peace? Contextualizing the Democratic Peace",International Politics, No. 41 (2004), pp. 472-493.Maoz, Zeev & Nasrin Abdolali: "Regime Types and International Conflict, 1817-1976", Journal of Conflict Resolution, No. 33 (1989), pp. 3-35.Maoz, Zeev: "The Controversy over the Democratic Peace", International Security, No. 22 (1997), pp. 162-198.Peceny, Mark: "A Constructivist Interpretation of the Liberal Peace: The Ambiguous Case of the Spanish-American War", Journal of Peace Research, No. 34 (1997), pp. 415-430.Peñas, Francisco Javier: "Liberalismo y relaciones internacionales: la tesis de la paz democrática y sus críticos", Isegoría, Núm. 16 (1997), pp.119-140.Rendall, Matthew: "'The Sparta and the Athens of our Age at Daggers Drawn': Polities, Perceptions, and Peace", International Politics, No. 41 (2004), pp. 582-604.Risse-Kappen, Thomas: "Democratic Peace - Warlike Democracies? A Social Constructivist Interpretation of the Liberal Argument", European Journal of International Relations, No. 1 (1995), pp. 491-517.Rummel, Rudolph: "Libertarianism and Interstate Violence", Journal of Conflict Resolution, No. 27 (1983), pp. 27-71.Russett, Bruce: "A neo-Kantian perspective: democracy, interdependence, and international organizations in building security communities", en Emanuel Adler & Michael Barnett (eds.):Security Communities (Cambridge: Cambridge University Press, 1998).Russett, Bruce: Grasping the Democratic Peace (Princeton, NJ: Princeton University Press, 1993).Salomón, Mónica: "El debate sobre la «paz democrática». Una aproximación crítica", Revista de Estudios Políticos (Nueva Época), Núm. 113 (Julio-Septiembre 2001), pp. 237-265.Schwartz, Thomas & Kiron K. Skinner: "The Myth of the Democratic Peace", Orbis (Winter 2002), pp. 159-172.Small, Melvin & David Singer: "The War-Proneness of Democratic Regimes", Jerusalem Journal of International Relations, No. 1 (1976), pp. 50-69.Snyder, Jack: "Un mundo, teorías rivales", Foreign Policy edición española (dic.-enero 2005).Tovar Ruíz, Juan: "De Königsberg a Kosovo. La Paz Democrática: del planteamiento filosófico al discurso político y su aplicación en el régimen de los protectorados internacionales", Revista Académica de Relaciones Internacionales, núm. 10 (febrero de 2009). Van Tijen, Tjebbe: "NATO's collateral tyrannicide", Open Democracy (7 May, 2011). Walt, Stephen M.: "International Relations: One World, Many Theories", Foreign Policy(Spring 1998), pp. 29-46.Weede, Eric: "Democracy and War Involvement", Journal of Peace Research, No. 28 (1984), pp. 649-664.Wright, Quincy: A Study of War (Chicago: Chicago University Press, 1942).
Authors' introductionWe present an overview of research about racial residential segregation. The first part of the article reviews major debates and findings drawn primarily from the sociological literature. The second part of the article identifies new areas of research that in some cases cross into other disciplines such as geography and urban studies. We show the enduring persistence of racial residential segregation as well as its causes and consequences. We also highlight the ways in which residential segregation can be better understood by including discussions about the varied social and spatial expressions of, and responses to, segregation. The social scientific examination of the patterns and everyday experiences of racial residential segregation remains prolific.Authors recommendKrysan, Maria 2002. 'Community Undesirability in Black and White: Examining Racial Residential Preferences through Community Perceptions.'Social Problems 49: 521–43.The author presents an empirical critique of research which examines the role that residential preferences play in perpetuating racially segregated residential settlement patterns. The data are drawn from the Multi‐City Study of Urban Inequality. The author analyzes black and white participants' responses to open‐ended questions about community undesirability in 23 communities spread across four US metropolitan areas. Rather than examine residential preferences in relation to hypothetical communities of varying relative racial compositions, the author uses respondents' subjective perceptions of actual communities, and the reasons they give for their perceptions, as measures of residential preference. The major finding of the article is that preferences are mediated by class‐ and race‐based considerations, such as perceived community crime rates or a community's reputation as a hotbed of racial animosity and hostility.Logan, John R., Brian J. Stults, and Reynolds Farley 2004. 'Segregation of Minorities in the Metropolis: Two Decades of Change.'Demography 41: 1–22.The authors report on national‐ and metropolitan‐level residential segregation trends for white, black, Hispanic, and Asian groups using a cross‐sectional analysis of 2000 Census data. They also present findings from a longitudinal analysis of changing residential segregation trends for the period 1980 to 2000. During this time black–white segregation levels, measured by the Index of Dissimilarity, steadily declined nationally and in most major metropolitan areas. However, Hispanic–white and Asian–white segregation levels increased slightly at both the national and metropolitan levels since 1980. The authors estimate regression models to test prevailing hypotheses that seek to account for these changes. Notably, they conclude that black–white segregation remains high especially in older manufacturing centers in the Northeast and Midwest. Levels of Hispanic–white and Asian–white segregation meanwhile are increasing in regions where these minority groups are most heavily concentrated and where they continue to grow due to high levels of foreign‐born in‐migration.Massey, Douglas S., and Nancy A. Denton 1993. American Apartheid: Segregation and the Making of the Underclass. Cambridge, MA: Harvard University Press.This book is a seminal contribution to the scholarly debate about the causes and consequences of black urban poverty in the US. The authors argue that racial residential segregation is the key social process which explains the conditions under which a black urban underclass forms and is maintained. Segregation creates a 'structural niche' of concentrated black socioeconomic deprivation wherein, for instance, conditions of welfare dependency become normative and oppositional cultures emerge in reaction to the contradictory values of dominant groups. Massey and Denton claim that segregation is perpetuated by, but also compounds, the effects of institutional racism and white prejudice. To support their claim the authors point to historical trends in levels of racial residential segregation they attribute to public policy as well as private decision‐making. The book makes a methodological statement as well in relation to the conceptualization and measurement of residential segregation.Williams, Richard, Reynold Nesiba, and Eileen Diaz McConnell 2005. 'The Changing Face of Inequality in Home Mortgage Lending.'Social Problems 52: 181–208.The authors develop a theoretical framework to account for an emerging 'new inequality' in home mortgage lending and home‐ownership that has contributed to contemporary patterns of residential segregation. The 'old inequality', which was characterized by individual‐ and neighborhood‐level race‐ and class‐based discrimination, gave way in the early 1990s to a new form of inequality based on access to high‐cost loans and exposure to predatory lending practices. The authors rely on descriptive metropolitan‐level data on home mortgage lending to document rising rates of home‐ownership and loan origination among African American and low‐income borrowers, and within minority neighborhoods, since the early 1990s. Their interpretation of these data, however, leads them to conclude that despite these gains, the residential segregation generated by the old inequality creates the conditions for the emergence of the new inequality and similar patterns of residential segregation.Wyly, Elvin K., and Daniel J. Hammel 2004. 'Gentrification, Segregation, and Discrimination in the American Urban System.'Environment and Planning A 36: 1215–41.This article is a nice companion to the article by Williams et al. (2005) (see above). The authors examine racial and economic inequalities, such as residential segregation and racial discrimination, related to mortgage reinvestment and gentrification in major US central cities since the early 1990s. Using regression models to analyze home mortgage lending data and credit market characteristics across 30 US cities, the authors find that both early‐ ('peripheral') and late‐stage ('core') gentrification reproduce familiar patterns of race‐ and class‐based segregation, and are associated with more intensified forms of racial discrimination by property developers, realtors, and lenders.Online materials
Federal Financial Institutions Examination Council (FFIEC) –Home Mortgage Disclosure Act http://www.ffiec.gov/hmda/ This website provides access to publicly reported loan data under the provisions of the federal Home Mortgage Disclosure Act. The site allows users to view descriptive information on consumer lending institutions as well as borrower and loan characteristics that can be geocoded by census tract. The site is fairly user‐friendly yet provides access to powerful aggregate loan data. Researchers have used these publicly available data to compile profiles of consumer finance and investment trends across metropolitan areas or to begin to document patterns of disinvestment, redlining, and subprime lending. Racial Residential Segregation Measurement Project (Reynolds Farley, University of Michigan) http://enceladus.isr.umich.edu/race/racestart.aspQuoted from the website:This website provides you with indexes of racial residential segregation for all states, for all counties, for all metropolitan areas and for all cities of 100,000 or more using information from the Census of 2000. Indexes of dissimilarity, exposure indexes and interracial contact measures are available for five single races and for the three most frequently reported combinations of two races. Segregation measures are provided using three different levels of local area geography: census tracts, block groups, and blocks. The links on this page provide you with access to the calculation of measures, descriptions of their meaning, information about the census data and the measures as well as to a bibliography of major studies of the extent, causes, and consequences of racial residential segregation in the United States. Windows on Urban Poverty (Paul Jargowsky) http://www.urbanpoverty.net/ This website provides interactive features that examine the 'spatial context' of urban poverty; that is, the ways in which poor and segregated neighborhoods shape the life chances of impoverished individuals and families. The site has links to reports and policy briefs as well as a mapping tool which allows users to view the spatial expression of concentrated poverty neighborhoods and related demographic information. Lewis Mumford Center for Comparative Urban and Regional Research (University at Albany, State University of New York) http://www.albany.edu/mumford/ The site allows users to access a wide range of social and economic indicators that document conditions of racial residential segregation across the US. The Mumford Center is a leader in reporting on national‐ and metropolitan‐level demographic trends compiled from publicly available US Census data. The U.S. Census Bureau http://www.census.gov/ This is the official US government website where users can access US Census data. The site includes a range of interactive mapping tools that can be used to generate profiles of key demographic, social, and economic indicators at varying geographic scales, such as the neighborhood and metropolitan levels. The site also links users to relevant census‐based government reports, news releases, and even multimedia content (e.g., video, radio, photography).
Sample syllabusCourse outline and reading assignments Section 1: Segregation Trends and Patterns Residential Segregation in Black and White 'Census 2000 Basics' (http://www.census.gov/mso/www/c2000basics/00Basics.pdf)For an updated and extended discussion of measurement issues see: http://www.census.gov/hhes/www/housing/housing_patterns/housing_patterns.htmlMassey, Douglas S., and Nancy A. Denton. 1993. American Apartheid: Chapter 1: 'The Missing Link'; Chapter 2: 'The Construction of the Ghetto'; Chapter 3: 'The Persistence of the Ghetto'Massey, Douglas S., and Nancy A. Denton. 1988. 'The Dimensions of Residential Segregation.'Social Forces 67: 281–315.Adelman, Robert M., and James Clarke Gocker. 2007. 'Racial Residential Segregation in Urban America.'Sociology Compass 1: 404–23. Moving Beyond the Black/White Dichotomy Logan, John R., Brian J. Stults, and Reynolds Farley. 2004. 'Segregation of Minorities in the Metropolis: Two Decades of Change.'Demography 41: 1–22.Fischer, Claude S., Gretchen Stockmayer, Jon Stiles, and Michael Hout. 2004. 'Distinguishing the Geographic Levels and Social Dimensions of U.S. Metropolitan Segregation, 1960–2000.'Demography 41: 37–59.White, Michael J., Eric Fong, and Qian Cai. 2003. 'The Segregation of Asian‐origin Groups in the United States and Canada.'Social Science Research 32: 148–67.Crowder, Kyle D. 1999. 'Residential Segregation of West Indians in the New York/New Jersey Metropolitan Area: The Roles of Race and Ethnicity.'International Migration Review 33: 79–113. Section 2: Causes of Residential Segregation Institutions and Actors Charles, Camille Zubrinsky. 2003. 'The Dynamics of Racial Residential Segregation.'Annual Review of Sociology 29: 167–207.Briggs, Xavier de Souza. 2005. Chapter 1 ('Introduction') and Chapter 2 ('More Pluribus, Less Unum? The Changing Geography of Race and Opportunity').Tegeler, Phillip. 2005. Chapter 9 (Briggs): 'The Persistence of Segregation in Government Housing Programs'.Jackson, Kenneth.1985. Crabgrass Frontier. Chapter 11: 'Federal Subsidy and the Suburban Dream: How Washington Changed the American Housing Market'. Group Differences in Socioeconomic Status and Neighborhood Preferences Logan, John R., Richard D. Alba, Thomas McNulty, and Brian Fischer. 1996. 'Making a Place in the Metropolis: Locational Attainment in Cities and Suburbs.'Demography 33: 443–53.Alba, Richard D., John R. Logan, Brian J. Stults, Gilbert Marzan, and Wenquan Zhang. 1999. 'Immigrant Groups in the Suburbs: A Reexamination of Suburbanization and Spatial Assimilation.'American Sociological Review 64: 446–60.Harris, David R. 2001. 'Why are Whites and Blacks Averse to Black Neighbors?'Social Science Research 30: 100–16.Krysan, Maria, and Reynolds Farley. 2002. 'The Residential Preferences of Blacks: Do they Explain Persistent Segregation?'Social Forces 80: 937–80.Emerson, Michael O., George Yancey, and Karen J. Chai. 2001. 'Does Race Matter in Residential Segregation? Exploring the Preferences of White Americans.'American Sociological Review 66: 922–35. Mortgage Lending Discrimination Yinger, John. 1995. Closed Doors, Opportunities Lost: The Continuing Costs of Housing Discrimination. Chapter 2 ('The Housing Discrimination Study'); Chapter 3 ('Discrimination in Housing'); Chapter 7 ('The Impact of Housing Discrimination on Housing Quality, Racial Segregation, and Neighborhood Change').Ross, Stephen L., and Margery Austin Turner. 2005. 'Housing Discrimination in Metropolitan America: Explaining Changes between 1989 and 2000.'Social Problems 52: 152–80.Williams, Richard, Reynold Nesiba, and Eileen Diaz McConnell. 2005. 'The Changing Face of Inequality in Home Mortgage Lending.'Social Problems 52: 181–208.Freidman, Samantha, and Gregory D. Squires. 2005. 'Does the Community Reinvestment Act Help Minorities Access Traditionally Inaccessible Neighborhoods?'Social Problems 52: 209–31. The Search for Housing Turner, Margery, and Stephen Ross. 2005. Chapter 4 (Briggs): 'How Racial Discrimination Affects the Search for Housing.'Farley, Reynolds. 1996. 'Racial Differences in the Search for Housing: Do Whites and Blacks Use the Same Techniques to Find Housing?'Housing Policy Debate 7: 367–85.Massey, Douglas S., and Garvey Lundy. 2001. 'Use of Black English and Racial Discrimination in Urban Housing Markets: New Methods and Findings.'Urban Affairs Review 36: 452–69.Feagin, Joe. 1994. Living with Racism: The Black Middle‐Class Experience. Chapter 6: 'Seeking a Good Home and Neighborhood.' Section 3: Consequences of Residential Segregation Poverty Concentration and Hypersegregation Massey, Douglas S., and Nancy A. Denton. 1993. Chapter 5: 'The Creation of Underclass Communities'; Chapter 6: 'The Perpetuation of the Underclass'.Jargowsky, Paul A. 1997. Poverty and Place: Ghettos, Barrios, and the American City. Chapter 5: 'Theory and Evidence on Inner‐City Poverty.'Wilkes, Rima, and John Iceland. 2004. 'Hypersegregation in the Twenty‐First Century: An Update and Analysis.'Demography 41: 23–36.Roy, Kevin. 2004. 'Three‐Block Fathers: Spatial Perceptions and Kin‐Work in Low‐Income African American Neighborhoods.'Social Problems 51: 528–48. Neighborhood Effects Sampson, Robert J., Jeffrey D. Morenoff, and Thomas Gannon‐Rowley. 2002. 'Assessing "Neighborhood Effects": Social Processes and New Directions in Research.'Annual Review of Sociology 28: 443–78.LaVeist, Thomas A. 1993. 'Segregation, Poverty, and Empowerment: Health Consequences for African Americans.'The Milbank Quarterly 71: 41–64.Rosenbaum, Emily, and Laura E. Harris. 2001. 'Low‐Income Families in Their New Neighborhoods: The Short‐Term Effects of Moving from Chicago's Public Housing.'Journal of Family Issues 22: 183–210.Wagmiller, Robert L. 2007. 'Race and the Spatial Segregation of Jobless Men in Urban America.'Demography 44: 539–62. Crime and Neighborhoods Anderson, Elijah. 1999. Code of the Street: Decency, Violence, and the Moral Life of the Inner City. Preface, Introduction ('Down Germantown Avenue') and Chapter 1 ('Decent and Street Families').Pattillo‐McCoy, Mary. 1999. Black Picket Fences: Privilege and Peril among the Black Middle Class. Chapter 4: 'Neighborhood Networks and Crime'.Massey, Douglas S. 2001. 'Segregation and Violent Crime in Urban America.' Pp. 317–44 in Problem of the Century: Racial Stratification in the United States edited by Elijah Anderson and Douglas S. Massey.Logan, John R., and Brian J. Stults. 1999. 'Racial Differences in Exposure to Crime: The City and Suburbs of Cleveland in 1990.'Criminology 37: 251–76. Section 4: Mobility, Class, and Public Policy Residential Mobility Lee, Barrett A., R.S. Oropesa, and James W. Kanan. 1994. 'Neighborhood Context and Residential Mobility.'Demography 31: 249–70.South, Scott J., and Kyle D. Crowder. 1998. 'Leaving the 'Hood: Residential Mobility between Black, White, and Integrated Neighborhoods.'American Sociological Review 63: 17–26.Crowder, Kyle D., Scott J. South, and Erick Chavez. 2006. 'Wealth, Race, and Inter‐Neighborhood Migration.'American Sociological Review 71: 72–94.Pattillo‐McCoy, Mary. 2000. 'The Limits of Out‐Migration for the Black Middle Class.'Journal of Urban Affairs 22: 225–41. Intersection of Race and Class: The Black Middle Class Pattillo, Mary. 2005. 'Black Middle‐Class Neighborhoods.'Annual Review of Sociology 31: 305–29.Cashin, Sheryll D. 2001. 'Middle‐Class Black Suburbs and the State of Integration: A Post‐Integrationist Vision for Metropolitan America.'Cornell Law Review 86: 729–76.Adelman, Robert M. 2004. 'Neighborhood Opportunities, Race, and Class: The Black Middle Class and Residential Segregation.'City and Community 3: 43–63.Lacy, Karyn. 2004. 'Black Spaces, Black Places: Strategic Assimilation and Identity Construction in Middle‐Class Suburbia.'Ethnic and Racial Studies 27: 908–30. Public Policy and Politics Rubinowitz, Leonard S., and James E. Rosenbaum. 2000. Crossing the Class and Color Lines: From Public Housing to White Suburbia.Briggs, Xavier de Souza. 2005. Chapter 14: 'Politics and Policy: Changing the Geography of Opportunity'.Massey, Douglas S., and Nancy A. Denton. 1993. Chapter 8: 'The Future of the Ghetto'.Project ideas US Census Data Assignment (Adapted from an assignment developed by Nancy Denton, University at Albany, State University of New York)Your task for this assignment is to compare one US metropolitan area to another one. Your focus of the comparison should be on key sociodemographic variables including, but not limited to, the overall population size of the areas, the racial and ethnic composition of the areas, the socioeconomic standing of the areas, the housing quality, what types of occupational opportunities exist, the level of immigration in the areas, the level of residential segregation between groups in the areas, among others.You can choose any two metropolitan areas but they must be defined as such by the Census Bureau (i.e., make sure you obtain information at the metropolitan level). There should be some component of change; that is, identify how these variables have changed over time (an ideal strategy would be to focus on 1980 to 2000 changes, but there could be other strategies). In the end, you want a five‐page report comparing the two places. Which one would be better to live in? Why? From whose perspective?Potential data sources include:
The US Census: go to http://www.census.gov and click on 'American Factfinder' or another census tool The Lewis Mumford Center: go to http://www.albany.edu/mumford and click on 'Census 2000' and use one of the tools to obtain data
Urban Ethnography Assignment (Adapted from an assignment developed by Charles Gallagher, Georgia State University)Write a short ethnography about an urban, public space. Your task is to choose a public space (broadly defined) and examine who uses the space, how the space is used, and the interactions that occur between people in that space. Pay close attention to issues like (but others too) the racial and ethnic background of the people using the space, the socioeconomic reasons which explain the location of the site (e.g., exchange versus use values; urban development), and the extent to which the space is actually 'public' (i.e., are there restrictions to the space like bars separating benches in half?).You can observe any public space. For example, the extent to which a park is actually public is continually and consistently contested and negotiated. What about transportation nodes? Malls? Restaurants? Comparative Urban Assignment Your task for this assignment is to review three scholarly articles about a city outside of the US. Your focus can be on any aspect of the city but you should include some general information about the area including, but not limited to, the geographic and demographic size of the area, the socioeconomic standing of the area, the residential segregation of groups in the area, among other issues.You can choose any city or metropolitan area as long as it is outside of the US. In the end, you want a five‐page report reviewing the three articles with a brief introduction about the city (this information could be gleaned from one of the articles).The main international urban journal, International Journal of Urban and Regional Research, will be very useful for this assignment, but you can obtain articles from any peer‐reviewed journal. Make sure to use only scholarly journals rather than popular magazines, newspaper articles, or the internet. Rely on the social science literature.
The New Political Economy1 is based on the postulate of homo politicus that Downs (1957) presents as the clone of homo oeconomicus, a rational agent mo- tivated by the maximisation of his material self-interest. Goodin and Roberts (1975) were the first to propose an alternative to the homo politicus postulate by introducing the notion of 'ethical voter' 2. The 'ethical voter' describes a rational agent who is not only motivated by the maximisation of his short term material self-interest but also by the promotion of what he considers as fair for the society as a whole. There have been so far only few attempts to model 'ethical voting'. Most of them liken 'ethical voting' to caring about the well-being of the worst-off when voting (see Snyder and Kramer (1988), Kranich (2001) and Galasso (2003)). Alesina and Angeletos (2005) constitute an exception. Following responsibility-based theories of justice, they assume that individuals share the conviction that one deserves the income on the basis of his skill and effort and that only luck creates unfair differences they are consequently willing to compensate. However, the 'responsibility cut' (Dworkin (1981)) used by Alesina and Angeletos (2005) lacks justification, should one consider the theoretical literature on fair redistribution or the empirical literature on individual opinions on distributive justice. I propose to analyze 'ethical voting' in a more comprehensive way. The thread of this work is a 'fair utility function'. More precisely, I specify in paper 1 a 'fair utility function' to model citizens' trade-off between their self-interest and some of their major concerns for fairness. Paper 2 and paper 3 rely on the 'fair utility function' to study voting behavior over the (re)distribution of economic surpluses in different contexts of democracy4. In paper 2, my coauthor and I compute the politico-economic equilibrium that emerges when citizens are endowed with the 'fair utility function'. We model the institutional setting of a typical Western democracy where political cleavages are mainly income-based. In paper 3, I estimate the 'fair utility function'. I base my estimation on survey data that I collected in an ethnically polarized democracy where political cleavages are mainly ethnic-based. Paper 1 investigates whether concerns for fairness influence the aggregate out- come in real life interactions so that economic analysis should complete the postulate of homo economicus with the postulate of homo ethicus. I conduct a three-step analysis addressing the following research questions: • Which are the main concerns for fairness that individuals are able to show? • Do these concerns for fairness influence the aggregate outcome in the eco- nomic field? • Do these concerns for fairness influence the aggregate outcome in the po- litical field? Based on experimental evidence, I identify three main concerns for fairness likely to influence individual behaviors besides self-interest: utilitarian altru- ism, 'Rawlsian' altruism and desert-sensitivity. Utilitarian altruism consists in maximizing the sum of all utilities. 'Rawlsian' altruism consists in maximizing the utility of the worst-off. Desert-sensitivity consists in weighting one's con- cerns for fairness towards others, should they be utilitarian altruistic concerns or 'Rawlsian' altruistic concerns, depending on these others' deservingness with respect to their responsibility characteristics. I find out that concerns for fairness have no impact on market aggregate out- comes, should I focus on markets involving complete contracts or on markets involving incomplete contracts. I provide evidence that concerns for fairness have a significant impact on po- litical aggregate outcomes. More particularly, concerns for fairness (utilitarian altruism, 'Rawlsian' altruism, and desert-sensitivity) seem to express through citizens' position on a liberalism/conservatism scale which ultimately impacts their voting behavior. However, evidence also shows that ethnic prejudice, an unambiguously unfair motivation, constitutes a serious challenger to individual concerns for fairness, even in the Western democratic context where political parties are officially divided along income-based, not ethnic-based, lines. My findings suggest that economic theory in general (and the New Political Economy in particular) should pay more attention to the modelling of ethical voting behaviors to improve its explanatory and predictive power. I propose a provisional 'fair utility function' to model citizens' trade-off between their self-interest and the three various concerns for fairness which are utilitarian altruism, 'Rawlsian' altruism and desert-sensitivity. • Which is the politico-economic equilibrium emerging in a society where individuals are endowed with the 'fair utility function'? We study a simple voting model where a unidimensional redistributive parame- ter is chosen by majority voting in a direct democracy where political cleavages are income-based. We allow for heterogeneities in productivities and preferences for consumption and leisure and incorporate the incentive effects of taxation. We show that in a society where altruistic preferences are desert-sensitive, (i) strictly lower levels of redistribution emerge in political equilibrium comparedto a society where altruistic preferences are not desert-sensitive and (ii) lower or equal levels of redistribution emerge in political equilibrium compared to a society where preferences for redistribution are purely egoistic. We then investigate the following research question: • Can our theoretical result help explain the differences between the Ameri- can and the European social contract? Using data from the International Social Survey Programme (ISSP) 1992 dataset, we provide empirical evidence that: (i) preferences for redistribution are not purely egoistic, (ii) desert-sensitivity induces lower support for redistribution and (iii) differences in desert-sensitivity hold between both continents, inducing lower support for redistribution among Americans compared to Europeans. We see two apparent explanations helping to understand why preferences for re- distribution are more desert-sensitive among individuals in the US than among individuals in Europe (see Alesina et al. (2001) and Alesina and Glaeser (2004) for an extensive discussion). First, the myth of the US being the 'land of op- portunity' greatly entrenched its customs. Meanwhile, European perceptions are influenced by the historical (from medieval times till the nineteenth cen- tury) division of society into classes, where birth and nobility were the main determinants of wealth and success. Second, the American belief of undeserv- ingness of the poor may reflect racial prejudice against the black minority. Poor white voters might reduce their support for redistribution when they believe that poor black citizens also benefit from redistribution (see Luttmer (2001) for strong empirical evidence). Roemer et al. (2007) find out that marginal income taxes would have been much higher when racial prejudice would have been absent. They believe that racial prejudice is the major underlying factor explaining why in the US, while the past twenty years were characterized by a sharp rise in inequality, the effective marginal income taxes have fallen. • In an ethnically polarized country, does aversion towards inter-ethnic in- equity induce citizens to vote for a party promoting an equitable allocation of national resources among ethnic groups?5 or, in other words, Could ethical voting help reduce risks of conflict in ethnically polarized countries? Relying on data collected among students from Addis Ababa University, my answer is threefold. First, I show that aversion towards inter-ethnic inequity significantly lowers university students' temptation to vote for their ethnic party. This finding is encouraging. Under my initial assumption that the degree of ethical concerns of university students constitute an upper bound of the degree of ethical concerns of the average citizen, this finding indeed suggests that ethical concerns could also influence his voting behavior. In other words, nationwide civic education programmes could be a promising conflict-reducing strategy in ethnically po- larized countries. Finkel (2002, 2003) provides evidence that civic education programs have a significant impact on participants' 'political tolerance', while his concept of 'political tolerance' is close to our notion of 'aversion towards inter-ethnic inequity'. Second, I find out that, though significant, the relative impact of ethical concerns is very small in comparison to the impact of ethnic group loyalty, an important determinant of ethnic voting. This finding is discouraging since it suggests that the relative impact of ethical concerns will be even lower across a more representative sample of the Ethiopian population. In other words, the 'return' on nationwide civic education programmes in terms of switch from ethnic voting to ethical voting is expected to be low. Third, I analyse the sociodemographic determinants of university students' aver- sion towards inter-ethnic inequity and ethnic group loyalty. I provide confirma- tion that some specific sociodemographic characteristics significantly (i) increase the degree of aversion towards inter-ethnic inequity and (ii) lower ethnic group loyalty. Those characteristics have in common that they reduce the 'psycholog- ical' distance between ethnic groups, like living in a cosmopolitan city and hav- ing parents belonging to different ethnic groups (see Atchade and Wantchekon (2006) for a first evidence). Besides, I find that ethnic group loyalty is par- ticularly strong among ethnic groups experiencing a severe level of grievance. Finally, evidence shows that aversion towards inter-ethnic inequity depends pos- itively on the income of the household in which the respondent grew up in. ; La politique de la Nouvelle Economy1 est basée sur le postulat de l'homo politicus qui Downs (1957) présente comme le clone de l'homo oeconomicus, un agent rationnel mo- tivé par la maximisation de son intérêt matériel. Goodin et Roberts (1975) ont été les premiers à proposer une alternative à l'homo politicus postulat en introduisant la notion de «électeur éthique» 2. Le «éthiques des électeurs »désigne un agent rationnel qui n'est pas seulement motivé par la maximisation de son matériel à court terme l'intérêt mais aussi par la promotion de ce qu'il considère comme équitable pour la société dans son ensemble. Il ya eu jusqu'ici que peu de tentatives pour le modèle «vote éthique». La plupart d'entre eux vote éthiques assimiler »pour veiller au bien-être des plus démunis au moment de voter (Voir Snyder et Kramer (1988), Kranich (2001) et Galasso (2003)). Alesina et Angeletos (2005) constituent une exception. À la suite de la responsabilité fondée sur théories de la justice, ils supposent que les individus partagent la conviction que l'on mérite le revenu, sur la base de ses compétences et de l'effort et que la chance ne crée différences injustes, ils sont donc prêts à compenser. Toutefois, le «Couper la responsabilité» (Dworkin (1981)) utilisé par Alesina et Angeletos (2005) n'a pas justification, doit-on considérer la littérature théorique sur la redistribution équitable ou la littérature empirique sur les opinions individuelles sur la justice distributive. Je me propose d'analyser «vote éthique» d'une manière plus globale. Le fil de ce travail est une «fonction d'utilité équitable». Plus précisément, je précise en papier 1 une «fonction d'utilité équitable» au modèle des citoyens compromis entre leur intérêt personnel et certaines de leurs préoccupations majeures pour l'équité. Livre 2 et document 3 compter sur la «fonction d'utilité équitable» pour étudier le comportement des électeurs au cours de la (re) distribution des excédents économiques dans différents contextes de democracy4. Dans le document 2, mon coauteur et je calculer l'équilibre politico-économique qui émerge quand les citoyens sont dotés de la «fonction d'utilité équitable». Nous modélisons les institutionnels création d'une démocratie occidentale typique où les clivages politiques sont principalement fondée sur le revenu. Dans le document 3, je estimer la «fonction d'utilité équitable». Je me base estimation des données d'enquête que j'ai pu recueillir dans une démocratie ethniquement polarisés où les clivages politiques sont principalement fondées sur l'ethnie. Document 1 cherche à savoir si les préoccupations d'équité pour l'influence sur l'ensemble- viennent dans les interactions réelles de sorte que l'analyse économique devrait compléter le postulat de l'homo economicus avec le postulat de l'homo ETHICUS. -Je effectuer une analyse en trois étapes l'étude des questions suivantes: • Quelles sont les principales préoccupations d'équité que les individus sont en mesure de spectacle? • Ne ces préoccupations pour l'équité influence le résultat global de l'éco- domaine économique? • Ne ces préoccupations pour l'équité influence le résultat global de la po- litical domaine? Sur la base de données expérimentales, je identifier trois principales préoccupations pour l'équité susceptibles d'influencer les comportements individuels en plus de l'intérêt: utilitaire ALTRU- ISM, «l'altruisme rawlsienne et désert sensibilité. l'altruisme utilitariste consiste à maximiser la somme de tous les services publics. «Altruisme rawlsienne» consiste à maximiser l'utilité des plus démunis. Desert sensibilité consiste en un coefficient de con- préoccupations d'équité envers les autres, devraient-ils être utilitaires préoccupations altruistes ou «préoccupations altruistes rawlsienne», selon le caractère méritoire de ces autres avec fonction de leurs caractéristiques responsabilité. Je trouve que les préoccupations d'équité n'ont pas d'impact sur le marché global hors vient, dois-je mettre l'accent sur les marchés portant sur des contrats complets ou sur les marchés impliquant des contrats incomplets. Je fournis des éléments de preuve que les préoccupations d'équité ont un impact significatif sur le Po- litical résultats globaux. Plus particulièrement, les préoccupations d'équité (utilitaires l'altruisme, «l'altruisme rawlsienne», et le désert de sensibilité) semblent exprimer à travers citoyens position sur une échelle de libéralisme conservatisme qui a un impact à terme leur comportement de vote. Toutefois, la preuve montre également que les préjugés ethniques, une ambiguïté déloyale motivation, constitue un concurrent sérieux aux préoccupations individuelles pour l'équité, même dans le contexte occidental de démocratie où les partis politiques sont officiellement répartis le long de revenus, pas à base ethnique, des lignes. Mes résultats suggèrent que la théorie économique en général (et les nouveaux enjeux politiques Économie en particulier) devrait accorder plus d'attention à la modélisation de l'éthique les comportements de vote pour améliorer sa capacité explicative et prédictive. Je propose à titre provisoire «fonction d'utilité équitable» au modèle des citoyens compromis entre leurs l'intérêt et les trois différentes préoccupations d'équité qui sont utilitaires l'altruisme, «l'altruisme rawlsienne et désert sensibilité. • Quel est l'équilibre politico-économique émergent dans une société où les individus sont dotés de la «fonction d'utilité équitable»? Nous étudions un modèle simple de vote où une redistribution unidimensionnelle para- ter est choisi par vote à la majorité dans une démocratie directe où les clivages politiques sont fondées sur le revenu. Nous tenons compte de l'hétérogénéité dans les préférences et les productivités à la consommation et de loisirs et d'intégrer les effets incitatifs de la fiscalité. Nous montrons que dans une société où les préférences altruistes sont désertiques sensibles, (i) strictement niveaux inférieurs de la redistribution émerger dans comparedto équilibre politique d'une société où les préférences ne sont pas altruistes désert sensibles et (ii) inférieur à ou des niveaux équivalents de redistribution émerger dans l'équilibre politique par rapport à un société où les préférences pour la redistribution sont purement égoïstes. Nous avons ensuite étudier la question de recherche suivante: • Peut notre résultat théorique aider à expliquer les différences entre les Améri- peut et du contrat social européen? En utilisant les données de l'International Social Survey Programme (ISSP) 1992 dataset, nous fournir des preuves empiriques que: (i) les préférences pour la redistribution ne sont pas purement égoïste, (ii) du désert sensibilité induit support inférieur pour la redistribution et (iii) les différences dans le désert sensibilité tenir entre les deux continents, induisant support inférieur pour la redistribution entre les Américains contre les Européens. Nous voir deux explications apparentes aide à comprendre pourquoi les préférences pour les re- de distribution sont plus sensibles du désert entre les individus aux États-Unis que chez personnes en Europe (voir Alesina et al. (2001) et Alesina et Glaeser (2004) pour une discussion approfondie). Tout d'abord, le mythe des Etats-Unis étant le "pays de l'op- portunity «fortement enracinées ses coutumes. Pendant ce temps, les perceptions européennes sont influencés par les historiques (de l'époque médiévale jusqu'à la dix-neuvième de la CEN- siècle), une division de la société en classes, où la naissance et la noblesse ont été les principaux déterminants de la richesse et de succès. Deuxièmement, la croyance américaine de undeserv- disponibilité manifestée des pauvres peuvent refléter les préjugés raciaux contre la minorité noire. Pauvres électeurs blancs pourraient réduire leur soutien à la redistribution quand ils croient que les pauvres citoyens noirs aussi profiter de la redistribution (voir Luttmer (2001) pour de solides preuves empiriques). Roemer et al. (2007) constatent que marginal impôt sur le revenu aurait été beaucoup plus élevé lorsque les préjugés raciaux aurait été absent. Ils croient que les préjugés raciaux est le principal facteur qui sous-tendent expliquant pourquoi les États-Unis, tandis que les vingt dernières années ont été caractérisées par une forte hausse des inégalités, les impôts en vigueur du revenu marginal ont chuté. • Dans un pays ethniquement polarisés, ne aversion envers inter-ethniques en l'équité amener les citoyens à voter pour un parti de promouvoir une répartition équitable des ressources nationales entre les groupes ethniques? 5 ou, en d'autres termes, Pourriez vote éthiques aider à réduire les risques de conflit dans des environnements ethniquement polarisés pays? S'appuyant sur des données recueillies auprès des étudiants de l'Université d'Addis-Abeba, mon réponse est triple. Tout d'abord, je montre que l'aversion envers l'inégalité inter-ethniques réduit considérablement la tentation des étudiants universitaires à voter pour leur parti ethnique. Cette constatation est encourageant. Sous mon hypothèse de départ que le degré de préoccupations éthiques des étudiants constituent une limite supérieure du degré de préoccupations d'ordre éthique du citoyen moyen, cette constatation suggère en effet que les préoccupations éthiques pourraient également influer sur son comportement de vote. En d'autres termes, l'éducation civique à l'échelle nationale programmes pourraient être une stratégie prometteuse de réduction des conflits dans des environnements ethniquement po- tif pays. Finkel (2002, 2003) fournit la preuve que l'éducation civique programmes ont un impact significatif sur la tolérance des participants «politique», tandis que son concept de «tolérance politique» est proche de notre notion de «aversion envers l'inégalité inter-ethnique ». Deuxièmement, je trouve que, bien que significative, l'impact relatif des préoccupations d'ordre éthique est très faible par rapport à l'impact de la loyauté envers le groupe ethnique, un important facteur déterminant du vote ethnique. Ce résultat est décourageant, car elle suggère que l'impact relatif des préoccupations d'ordre éthique sera encore plus faible sur une plus échantillon représentatif de la population éthiopienne. En d'autres termes, le «retour» sur les programmes d'éducation civique à l'échelle nationale en termes de passage du vote ethnique au vote à l'éthique devrait être faible. Troisièmement, je analyser les déterminants socio-démographiques des étudiants de l'Université moyenne- sion vers l'inégalité inter-ethnique et loyauté envers le groupe ethnique. Je fournis des confir- tion que certaines caractéristiques socio-démographiques spécifiques de façon significative (i) augmenter le degré d'aversion pour l'inégalité inter-ethnique et (ii) inférieur à un groupe ethnique fidélité. Ces caractéristiques ont en commun qu'elles réduisent la «psycholo- iCal «distance entre les groupes ethniques, comme vivre dans une ville cosmopolite et HAV- ING parents appartenant à différents groupes ethniques (voir Atchade et Wantchekon (2006) pour une première preuve). D'ailleurs, je trouve que la fidélité groupe ethnique est par- particulièrement forte parmi les groupes ethniques connaît un niveau sévère de grief. Enfin, il est prouvé que l'aversion envers l'inégalité inter-ethnique dépend pos- itively sur le revenu du ménage dans lequel le répondant a grandi po
Issue 49.3 of the Review for Religious, May/June 1990. ; REVIEW I:OR RELIGIOUS (ISSN 0034-639X) is published bi-monthly at St. Louis University by the Mis-souri Province Educational [nslilule of lhe Sociely of Jesus; Editorial Office; 360~ Lindell Blvd., Rm. 428; St. Louis, MO 63108-3393. Second-class postage paid at St. Louis MO. Single copies $3.50. Subscriptions: United States $15.00 for onc year; $28.00 for two years. Other countrics: US $20.00 for one year: if airmail, US $35.00 per year. For subscription orders or change of address, write: Ri~vn-:w FOR R~uc, ous: P.O. Box 60"/0; Duluth, MN 55806. POSTMASTER: Send address changes to RF:VlEW vok REI.I~;IOt~S; P.O. Box 6070; Duluth, MN 55806. Ol990 REVIEW voR REt.l~;Iot~s. David L. Fleming, S.J. iris Ann Ledden, S.S.N.D. Richard A. Hill, S.J. Jean Read Mary Ann Foppe Editor Associate Editor "~ Contributing Editor ~.~o' Assistant Editors Advisor\, Board David J. Hassel, S.J. Sean Sammon, F.M.S. Mary Margaret Johanning, S.S.N.D. Wendy Wright, Ph.D. Suzanne Zuercher, O.S.B. Ma\'/June 1990 Volume 49 Number 3 Manuscripts, books fl~r review and correspondence with the editor should be sent to REVIEW ro~ REt.l~aOt~s; 3601 Lindell Blvd.; St. Louis, MO 63108-3393. Correspondence about the departmenl "Canonical Counsel" should be addressed to Rich-ard A. Hill, S.J.; J.S.T.B.; 1735 LeRoy Ave.; Berkeley, CA 94709-1193. Back issues and reprinls should be ordered from REVIEW VO~ REI.tC;IOt~S; 3601 IAndell Blvd.; St. I~mis, MO 63108-3393. "Out of print" issues are available from University Microfilms Internalional; 300 N. Zeeb Rd.; Ann Arbor, M1 48106. A major portion of each issue is also available on cassette recordings as a service for the visually impaired. Write tn the Xavier Society for the Blind; 154 East 23rd Street; New York, NY 10010. PRISMS . Questions play an important part in our biblical tradition. The first question presented in the Bible is the one which God directs to us hu-man beings, "Where are you?" In the gospels, Jesus" question, "Who do you say that I am?," demands a response from every Christian, per-haps more than once in a lifetime. "Woman, why are you weeping? Who is it you are looking for?" challenges us in our sorrow and our dis-appointments. "Simon, son of John, do you love me?" pricks the con-science of sinner and saint alike. Not all questions are neatly answered. For example, "how does one pray" and "how does one love" have pieces of answers which together make up a simple but intricate mosaic that stretches as far as human ex-perience can reach. Jesus, in trying to share with us his experience of God, seemed to be most at home in everyday images of the living world around us and the parables which capture some basic human experience writ large. Who does not remember a woman sweeping a house for a lost coin? That is the way God searches out each of us in our lost moments. Who has not been touched by a story of a person, robbed and left half-dead by the roadside, and the various passers-by among whom there is one who cares? From such a parable, we all know a little better what it means to be neighbor. Stories, symbols, and images become so often the prisms whereby we gain new or fresh insight into some of our deepest human and divine realities. Some of our authors in this issue are directly led into their reflec-tions by a question. "What is a priest?" led Richard Hauser, S.J., to his considerations on the "Spirituality of the Ministerial Priesthood.'" Basil Pennington, O.C.S.O., is making a report on the Religious Life Futures Project as he looks at the question "Where is Religious Life Go-ing? . Whence Come the Candidates?" stirs Gabrielle Jean, S.C.O., to focus once again on the instrumentation for the screening of candi-dates for the priestly and.religious life vocations. William Mann, F.S.C., raises the question "Brothers, Do We Have a Future?" and enters into his own religious life experience to provide a response. If I could make five wishes for a new novice director, Melannie Svoboda, S.N.D., asks, what would they be? Her answer to that ques-tion is her article "Wishes for a 'Novice' Novice Director." Mary Polu-tanovich, D.C., faces the questions, "do the poor need the artist'? does 321 322 / Review for Religious. May-June 1990 the artist need the poor? how is Christ served and the gospel preached by this charism?" Her reflections are captured in her article "More than Bread: Art, Spirituality, and the Poor." Religious imagination unveils how God may be working in "The As-sociate Movement in Religious Life" according to Rose Marie Jasinski, C.B.S., and Peter C. Foley. Thomas F. McKenna, C.M., seeks out meta-phors as he tries to stimulate our thinking about "Images for the Future of Religious Life." Correcting some metaphors may be important in our understanding of "Obedience and Adult Faith" as presented by James D. Whitehead and Evelyn Eaton Whitehead. Other authors in this issue suggest creative ways to pair a deeper un-derstanding of violence and ministry as a response, the connection be-tween the stages of conversion and the gift of tears as imaged in the spiri-tuality of Catherine of Siena, naming experiences that represent the sur-rendering of ourselves to the Divine Other, discovering the gifts and the pitfalls of praying through a tradition which is non-Christian, and re-flections on the historical sweep of foreign mission involvement and its effect on the renewal movement in women religious congregations dur-ing the past quarter-century. It is true that questions sometimes only lead to more questions. But questions also lead to ways of responding that affect the direction of our lives and our ministry. Some questions can truly affect our relationship with God, with our fellowmen and women, and with our world. Perhaps our authors will raise some of those questions and also provide us with some of those images which will call forth such a personal conversion. The God who asks questions is also a God of surprises. Our Pentecost prayer: recreate in us your own Spirit, Lord. David L. Fleming, S.J. Spirituality of the Ministerial Priesthood Richard J. Hauser, S.J. Father Richard Hauser, S.J. is Chairman of the Theology Department at Creighton University in Omaha. Nebraska. His last article in Rv.\,lv.w FOR R~.L~(;IOUS was pub-lished in July-August, 1986. His address is Creighton University: California at 24th Street: Omaha, Nebraska 68178. [~uring a recent board meeting of the Emmaus Priest Renewal Program I had a disconcerting experience. The discussion moved to the question: what is a priest? For the next hour we worked in vain to come to a con-sensus. In exasperation someone said, '~No wonder priestly morale in the United States is so low. We don't even know what it means to be a priest?" At that point the Emmaus board commissioned me as their theo-logical consultant to put together a five-day retreat on priestly idefitity and spirituality. Immediately I found myself resisting the task, claiming ignorance of the topic. This resistance was even further disconcerting. Since I have been a priest more than twenty years and writing on spiritual topics for almost as long, why wouldn't I have something to say on the spirituality of the priest, supposedly my own spirituality? Gradually I realized that my hesi-tancy had many roots. First I was self-conscious about my identity as priest because rightly or wrongly as a priest I have felt under attack by two very important movements in the Church, the lay movement and the women's movement. As a result I have inadvertently downplayed this aspect of my identity so as not to occasion criticism from these groups. Further as I reflected on the documents of Vatican II, I became more aware that they gave thorough treatment both to the roles of the lay per-son and the bishop in the Church but have said very little about the role 323 :324 / Review for Religious, May-June 1990 of the priest. Though Vatican II did set some new directions for a recon-sideration of the identity of the priest, it did not develop this theology to any great extent. Finally I saw that many currents in the Church have subtly made me hesitant to reflect on the area: the debates on priestly celi-bacy and married clergy, the prevalent--and inadequate--theology of the priest as the "holy man" set apart in a separate caste to "mediate" grace to the laity, the tendency to "clericalize" most ministries in the Church, the ecumenical movement. I should also note that as a priest from a religious congregationl had defined my spirituality almost solely by the charism of n~y order and therefore neglected aspects of spiritual-ity related to my role as priest of the universal Catholic Church. In this I suspect I am typical of many religious order priests. The following reflections are an effort toward a theology of priestly identity and spirituality. I believe the lack of such a theology has had dele-terious effects both on morale of many current priests as well as on re-cruitment of future priests. The American bishops in their statement is-sued 1988 "Reflections on the Morale of Priests" agree that there is a morale problem: " . . it is aiso clear to us that there exists today a se-rious and substantial morale problem among priests in general. It is a prob-lem that cannot be simply attributed to one or another cause or recent event, but its profile and characteristics can be clearly described, and its presence needs to be addressed directly." It is my conviction that one of its causes is an ambiguity about what it means to be a priest. These reflections attempt to address that problem using guidelines from Vati-can II as well as recent documents from the Priestly Life and Ministry Committee of the American bishops. All Christian spirituality flows from incorporation into the Body of Christ through faith and baptism. The priest's spirituality is no excep-tion. Basically, then, priestly spirituality is Christian spirituality. How-ever, since the priest has a special role in the Body of Christ it is appro-priate to discuss how this role specifies the practice of Christian spiri-tuality. But an integral examination of priestly spirituality must first situ-ate the priest within the Body and only then discuss the aspects of spiri-tuality proper to the priest as priest. This article is concerned with priest-hood in the Roman Catholic Church; hence the terms Body of Christ and Church have primary reference to this community. Body of Christ: Priest as Member Priests are members of the Body of Christ. Their dignity as mem-bers of the Body has frequently been obscured by treatment of their spe-cial role within the Body. The Decree on the Ministt3, and Life of Priests Ministerial Priesthood / 325 from Vatican II clearly situates the priest's leadership role through ordi-nation within the priest's membership in the Body through the sacra-ments of initiation: "Therefore, while it indeed presupposes the sacra-ments of Christian initiation, the sacerdotal office of priests is conferred by that special sacrament through which priests, by the anointing of the Holy Spirit, are marked by a special character and are so configured to Christ the priest that they can act in the person of Christ the head" (par. 2). Membership and leadership must be seen together for comprehensive understanding of priestly identity and spirituality. It is significant that Vatican II chose the image of the Body of Christ to discuss priestly identity and ministry. This image highlights both the equality of all in the Body as well as the difference of roles in the Body. The equality of all members within the Body is clear: "There is but one body and one Spirit, just as there is but one hope given all of you by your call. There is one Lord, one faith, one baptism; one God and Father of all, who is over all, and works through all, and is in all" (Ep 4:4-6). Equally clear is the difference of roles within the Body: "There are dif-ferent gifts but the same Spirit; there are different ministries but the same Lord; there are different works but the same God who accomplishes all of them in everyone. To each person the manifestation of the Spirit is given for the common good" ( I Co 12:4-7). Furthermore Paul's image of the Body of Christ highlights the Spirit as the source of all life within the Body. Membership in the Body flows from the Spirit received through faith and baptism. Specific roles (charisms) within the Body flow from the special gifts given by the Spirit to different members of the Body for the sake of the entire Body, Finally, the Church as the Body of Christ shares Christ's mission. This mission so clearly presented in all the Gospels is serving the king-dom of God. Each member is called by baptism to assume a share of re-sponsibility by accepting ministry according to his or her specific charisms. This ministry is oriented to serving the kingdom of God both within the Body of Christ itself as well as beyond the Body in the world. The example is, of course, Jesus himself. Jesus ministered to his disci-ples; the washing of the feet in John's gospel is the most dramatic exam-ple of his role of service to his disciples. Still this concern for his own in no way lessened his ministry toward those outside his community of followers; his preaching, healing, and love extended to everyone he en-countered. These reflections presume that the priest's basic identity is that of a member of the Body of Christ and consequently the priest's ba-sic spirituality will be living that identity. 326 /Review for Religious, May-June 1990 Body of Christ: Priest as Leader As members of the Body of Christ priests have received the Spirit incorporating them into the Body and giving them charisms for the ser-vice of the Church and of the kingdom. What, then, differentiates the priest's identity and spirituality from that of other members of the Body? Most agree that ministerial priesthood in the Church implies a permanent office flowing from charism and formally recognized by the Church. The very important statement of 1977 from the Bishop's Committee on Priestly Life and Ministry "As One Who Serves" expresses the consen-sus well: "In summary, the holder of an office in the Church would be (1) a person endowed by the Spirit, (2) with personal gifts (charisms), (3) called to a public and permanent ministry, and this call is formally recognized by the Church" (par. 20). The fact that this office implies a role of leadership in the community is also agreed upon by the magis-terium and by most theologians. Yet there remain theological disagree-ments on the relationship of the priest's role as head of the Body (always with the bishop) to the Body itself. The discussion is focused on a pas-sage from The Dogmatic Constitution on the Church from Vatican II: "Though they differ from one another in essence and not only in de-gree, the common priesthood of the faithful and the ministerial or hier-archical priesthood are nonetheless interrelated. Each of them in its own special way is a participation in the one priesthood of Christ" (par. 10). Since this article is concerned primarily with the spirituality of priests as leaders of the Body--an identity that is acknowledged by most--it does not seem necessary to treat the doctrinal disputes. Christian spirituality flows from response to the Holy Spirit, the sanc-tifier. Priestly spirituality is simply the priest's effort to respond faith-fully to the Spirit in living the priestly identity as defined by the Church. The Church teaches that ordination establishes the priest in three new, distinctive, and permanent relationships: with Christ, with the Church, and with the world beyond the Church, This identity today includes-- for both diocesan as well as religious order priests--a call to observe the evangelical counsels. Since observing these counsels affects the living out of the three basic relationships, they must be discussed with them. It should be recalled again that this discussion focuses on those aspects of priestly spirituality that distinguish the priest as priest; it does not fo-cus on aspects of spirituality common to all Christians through baptism. Priest and Christ: Person-Symbol of Christ the Head of Body Through ordination the priest is established in a new, distinctive, and permanent relationship to Christ: the priest becomes the person-symbol Ministerial Priesthood / 327 of Christ, the head of the Church. Priests receive an anointing of the Spirit which enables them to act in the name of Christ the head. Thus priests are empowered to act in persona Christi. "As One Who Serves" makes the crucial observation that priests can be the person-symbol of Christ the head of the Body only because of their membership in the Body: "It is only because of the Church that the priest can be said to act in persona Christi. He is called to be an effective sign and witness of the Church's faith in the reconciling Christ, who works through the Church and through the one whom the Church has sent to be the steward of its gifts and services" (par. 22). It is the Body of Christ that is holy through the presence of the Spirit. The priest, as the preeminent head of this Body, becomes the symbol of the holiness of the Body. And as head of this Body, priests can now act in persona ecclesiae and so also in per-sona Christi. Through ordination the priest is established in a special relationship to Christ. As head of the Body, the priest becomes an "effective sign" or sacrament of Christ's authoritative presence in the Church. All aspects of priestly spirituality flow from this relationship. Since it is the role of a symbol to make present what it represents, the priest is called by the Church through ordination to awaken Christ's presence within the com-munity in all service for the community. Consequently all priestly min-istry to the Church must be done in a way that awakens faith within the community. This awakening of faith in others is possible only if the priest has a deep relationship personally with Christ. The biggest chal-lenge of priestly spirituality is becoming internally the Christ symbolized externally. To a great extent the effectiveness of priestly ministry flows from a heart transformed by the Spirit and then ministering to others. All Christians desiring to follow Christ fully are called to observe the evangelical counsels of poverty, chastity, and obedience within their own state of life. The priest is no exception. However, the priest's ob-servance of the evangelical counsels is orientated toward conforming the priest more closely to Christ and so increasing effectiveness as the person-symbol of Christ the head of the Body. The priest today is called by the Church to celibacy and so to meet personal affective needs in ways con-sonant with the celibate state. Christ is the model of priestly celibacy in his relationships with the Father, his community, and his apostolate. Above all the celibacy of Christ was founded on his relationship to his most dear Father, Abba. From within this intimate and often solitary pres-ence before his Father Christ's entire life flowed. Christ's relationship to the Father is the model for the priest's relationship to Christ. As 328 / Review jbr Religious, May-June 1990 Christ's heart flowed instinctively to the Father, so does the priest's heart flow to Christ and the Father. Love unites without obliterating personal distinctiveness. As Christ was able to say "The Father and I are one," and as Paul could say, "I live, now not I, but Christ lives in me," so the priest prays to become equally one with the Father and Jesus. By em-bracing celibacy the priest imitates Jesus in allowing sufferings of fail-ure, loneliness, and isolation to foster even deeper intimacy with God and with Jesus himself. Christ is the model of priestly celibacy in his relationship to his com-munity. He looked to certain of his apostles and disciples for the per-sonal support he needed to sustain the failures and loneliness of his min-istry. So Christ is the model for priests in developing deep human rela-tionship, especially with fellow priests. Finally Christ's affectivity was also directed toward those he served. We recall how Jesus wept over Jerusalem because he was not able to draw the chosen people of God to himself as a mother hen draws her chicks to herself. In embracing the vow of celibacy the priest strives to imitate Christ in each of these three dimensions of affectivity and so become a more effective person-symbol of Christ as head of the Body. To be faithful to the call of today's Church to live this identity of person-symbol of Christ we priests must ask some basic questions. First, do I see my vocation primarily as a call to become Someone, Christ, and not merely as a duty to perform certain ministerial functions closed to others? The Church today is saying to priests that who we are is more primary than what we do; presence has replaced power. We are being called to be so configured to Christ that our actions radiate his presence and so awaken awareness of God's own love. Have I built into my daily life the rhythms necessary both to grow continually in knowledge and love of Christ and to allow this knowledge and love to permeate my ac-tions? And second, have I actively embraced my celibacy'? Do I cherish my celibacy as a gift intended to foster intimacy with Christ and the Fa-ther and thereby increase my effectiveness as a person-symbol of Christ in my leadership? DO I imitate Christ in meeting my affective needs pri-marily in my relationships with Christ and the Father and with my pres-byterate? Do I allow myself to be supported by and do I support my fel-low priests'? Do I allow the crosses of celibacy to deepen intimacy with Christ? Priest and Church: Servant-Leader of Body Through the anointing of the Spirit at ordination the priest is also es-tablished in a new, distinctive, and permanent relationship to the Church: Ministerial Priesthood / 399 the priest becomes the servant-leader of the Church, the "effective sign" of Christ the head of the Body. As the preeminent leader of the community the priest thereby acts in persona ecclesiae. This leadership of the Body is marked by four functions essential for the community. The priest is called to serve the Church by proclaiming the Word of God, by presiding at worship, by pastoral care of the People of God, and by fa-cilitating the different charisms within the Church. But the priest's lead-ership will take many differing forms depending on the talents of the priest and the needs of the community. The American bishops high-lighted the importance of sensitivity to varying forms of priestly leader-ship with which the Spirit endows priests: "All priests are endowed by the Spirit in various ways to serve the People of God. There are forms of leadership . The gifts differ and each must discern in the Spirit how he has been gifted. No one has all the gifts. Some seem to disap-pear in the history of the Church; some are transient even in the lives of priests" ("As One Who Serves," par. 32). Christ is the model for the priest's leadership of the Church. Just as Jesus' love of the Father impelled him to live for the Father's kingdom, so does the priest's love of Christ impel the priest to live for the Body of Christ. The priest wil.I, furthermore, exercise leadership in the same way Jesus exercised leadership--through service: "The Son of Man has not come to be served but to serve--to give his life in ransom for the many " (Mk 10:45). And through the special anointing of the Spirit in ordination Christ now stands with the priest empowering the priest to be an "effective sign" of Christ in all ministry to the Church. Thus the priest can fulfill the vocation to be the sacramental symbol-person of Christ actually awakening Christ's presence in the community through his .daily service. In a new way since Vatican I! priests are being called to facilitate service and leadership of others within the Church. The role has been com-pared to that of a conductor of an orchestra: "The conductor succeeds when he stimulates the best performance from each player and combines their individual efforts into a pattern of sound, achieving the vision of the composer. The best leader is one who can develop the talents of each staff person and coordinates'all their efforts, so that they best comple-ment each other and produce a superior collective effort" ("As One Who Serves," par. 46). In facilitating ministry of others the priest is not unlike Christ who prepared the disciples and then sent them off on their own. The priest recognizes that the Spirit in baptism incorporates mem-bers into the Body and simultaneously gives them differing gifts of min- 330 / Review for Religious, May-June 1990 istry for the Body. Yet according to the above document the priest re-mains the one "in whom the mission of the Church, and therefore its ministry, finds focus and visibility" (34); thus the priest acts within the community preeminently in persona ecclesiae. To enhance the priest's effectiveness as a person-symbol of Christ, the Church calls the priest to evangelical obedience through the promise or vow of obedience to their bishops or ecclesiastical superiors. This prom-ise or vow of obedience places the priest in special union with the uni-versal Church and so enhances the ability to act in persona ecclesiae. The priest symbolizes the unity of the entire Church in Christ: the local parish or community, the diocese, the national Church, the universal Catholic Church. In addition, the priest symbolizes the continuity of the Church through the ages from the apostles and Peter to the present-day bishops and pope. It follows from this that the priest must fully own this position in the Church by loving, protecting, and defending it at every level and, even when called to prophetic criticism, by doing so with love. While acknowledging the Church's faults and foibles past and present, the priest still believes that it is the privileged place of the Spirit's activ-ity in this world for the kingdom of God: "I for my part declare to you, you are "Rock," and on this rock I will build my church, and the jaws of death shall not prevail against it" (Mt 16:18). The model for the priest's obedience is again Christ. Nothing stood between Christ and doing his Father's will. The priest's obedience is to God. The priest is convinced that the will of God is now revealed through the authoritative structures of the Church. In obeying these structures the priest is obeying the Father. The priest's obedience to the bishop or ec-clesiastical superiors gives eloquent testimony to the belief that Christ continues to work through the ages within the authoritative structures of the Church. By embracing the promise or vow of obedience the priest refuses to allow any personal desire not in accord with God's will as ex-pressed through Church superiors to determine actions. The sufferings of obedience to God's will are accepted and offered to the Father in the same manner as Christ's. To be faithful to living this identity of servant-leader of the Body we priests must reflect on our underlying attitudes toward ministry. First, do I truly see myself as servant to my community, that is, do I radiate the attitude of Christ who came to serve and not to be served'? Do I strive to be an effective servant-leader in each of the four major ministerial roles, that is, teaching, presiding at worship, pastoral care, facilitating gifts of community? Or do I find myself holding back in some particular Ministerial Priesthood / 331 aspects of my ministry'? Have I identified charisms of leadership that are unique to me and used these in a special way for the Church? Do I fully grasp that as a person-symbol of Christ in my leadership role I can trust that Christ stands behind each aspect of my ministry enabling me to be an effective sign of his presence'? Second, do I embrace my promise or vow of obedience? Do ! see it as a gift enhancing my effectiveness as a person-symbol of the universal Church, the Body of Christ'? Do I love the Church and protect and defend it at every leve~? If necessary to criti-cize, do I speak in love? Is my obedience ultimately to the Father? Do I allow the crosses of obedience to conform me more totally to Christ'? Priest and Society: Promoter of Justice in the World Through ordination the priest is established in a new, distinctive, and permanent relationship to Christ and to his Church. Contained in this iden-tity is a new relationship to the world beyond the Church. Because the priest now acts in persona ecclesiae and in persona Christi, the priest becomes the preeminent witness of the Church's and Christ's concern for the world. Vatican II and subsequent documents of the Church both on an international and national level have put increasing emphasis on this aspect of the Church's mission. The statement of the World Synod of Bish-ops in 1971 entitled Justice in the World is apt: ". action on behalf of justice and participation in the transformation of the world fully ap-pear to us as a constitutive dimension of the preaching of the Gospel, or in other words, of the Church's mission." The priest today is called to integrate this dimension into ongoing ministry. The American bishops echo this thrust by presenting their descrip-tion of the priestly ministry under four co-equal divisions: To Proclaim the Word of God, To Preside at Worship, To Serve the Christian Com-munity, To Serve Humankind. The last-named section begins as follows: "The Church is called to serve all of society: that is its mission and the hope of its ministry. While the priest may have a certain primary respon-sibility to the Catholic community which he serves, nonetheless he has been sent by Christ and the Church to all people who comprise the larger community in which the parish community exists. The concern for all people gives reality to the presence of the risen Lord" ('~As One Who Serves," par. 50). The priest has a double role in this ministry to humankind. As ser-vant- leader of the Body tile priest is called to be engaged personally in actions on behalf of justice to witness most effectively to the Church's concern. In addition, the priest is called to facilitate action and leader-ship by others for the transformation of society. Church teachings ac- 339 / Review Jbr Religious, May-June 1990 knowledge that time constraints may limitthe priest's personal involve-ment but also point out that the apostolate within society is also most ap-propriate for the laity: "The apostolate of the social milieu, that is, the effort to infuse a Christian spirit into the mentality, customs, laws, and structures of the community in which a person lives is so much the duty and responsibility of the laity that it can never be properly performed by others. In this area the laity can exercise an apostolate of like towards like" (Decree on the Apostolate of the Laity, para. 33). In addition to working for justice throughout society, the priest is called to have spe-cial concern for the poor: "Although the presbyter has obligations to-wards all persons, he has the poor and the lowly entrusted to him in a special way. The Lord himself showed that he was united to them, and the fact that the Gospel was preached to them is mentioned as a sign of his messianic a.ctivity'" (Decree on the Miniso3, and Life of Priests, par. 6). Again Christ is the model of the priest in this dimension of minis-try. Jesus' concern for others was not limited to his immediate commu-nity of disciples. He continually extended himself beyond his followers to others. His entire ministry is marked with personal compassion for any person who came to him in need. In addition to his one-on-one concern for others, Jesus also spoke out against society's injustices. At times the condemnation was marked by actual disobedience to laws when he viewed them as contradictory to the revelation he received from his Fa-ther. Indeed, his criticism was so threatening to the establishment that it eventually precipitated his death. And finally the Gospel reflects that Jesus had special care and concern for the poorest of the poor, the out-casts of society. The parable of the Last Judgment testifies to the cen-trality in Jesus' eyes of service to the hungry, thirsty, shelterless, impris-oned. To enhance the priest's effectiveness as a witness of Christ, the Church asks all priests to have special concern for evangelical poverty within their own priestly vocation, diocesan or religious. And again the model is Christ himself. Christ was poor. He let no material desire or possession come between himself and doing the Father's will. He was detached from possessions in order to be more free to serve. And Christ chose to live a simple lifestyle, perhaps to be more approachable by the poor or to witness to the sufficiency of the Father's providence for his material needs, taking his cue from the birds of the air and the lilies of the field. Through embracing evangelical poverty the priest refuses to al-low any inordinate attachment to food, clothing, shelter, possessions to Ministerial Priesthood / 333 affect service of the kingdom either within or outside the Body of Christ. With this inner quality of heart the priest thus becomes an even more ef-fective witness of Christ to the Church and world. To be faithful and responsive to the call of promoting justice in the world we priests must ask whether we have adapted to this rather new dimension of priestly ministry. First, does my ministry include leader-ship in witnessing to Christ's concern for the world both through actual "hands-on" service to promote justice in society as well as through fa-cilitating service of my congregation? Most especially am I an effective sign in witnessing to Christ's concern for the most needy and under-privileged of my parish and my society'? Second, what is my attitude to evangelical poverty? Do I desire to imitate Christ by adopting a simple lifestyle? Do I embrace evangelical poverty as a gift because it conforms me more closely to Christ and so makes me a more effective symbol-person of Christ in my leadership, especially in his concern for the poor'? Do I allow the crosses of poverty to deepen my bonds with Christ'? Ministerial Priesthood: Challenge and Consolation The challenge of priesthood is perhaps greater today than ever be-fore. In the ministry of leadership for the Church the priest is called to become the person-symbol of Christ and so live and serve in a way that awakens awareness of God's continual presence and love both for the com-munity and for the world. A recent document from the American bish-ops catches the immensity of this challenge putting it in the context of the role of the pastor today: "The pastor in the parish today becomes-- whether he knows and likes it or not--a religious symbol to his people. The pastor becomes a religious symbol of tradition, the keeper and speaker of the revealed Word in all of its rich expressions. He becomes the religious symbol of God's care for his people, expressing compas-sion for the wounded and outrage at injustice. He becomes the religious symbol of order, calling the community to an effective stewardship of its gifts and shared use of its resources" ("A Shepherd's Care: Reflec-tions on the Changing role of Pastor," 1988). But if the challenge is immense, so is the consolation. Through or-dination the priest exists in a new, distinctive, and permanent relation-ship to Christ, to the Church, and to society. But like all sacraments the sacrament of orders confers the grace it proclaims and signifies. There-fore, priests have the immense consolation of knowing that the Holy Spirit stands behind them enabling them to live this threefold relation-ship conferred at ordination. In their relationship to Christ, the Spirit en-ables priests to be configured to Christ poor, celibate, and obedient and 334 / Review for Religious, May-June 1990 so be more powerful person-symbols of Christ. In their relationship to the Church, the Spirit enables priests to be effective servant-leaders in the fourfold dimensions of priestly ministry: proclaiming the Word of God, presiding at worship, caring for the pastoral needs of community, and facilitating charisms of the community. Finally in their relationship to society, the Spirit enables priests to be eloquent witnesses of Christ's care for.the world in promoting justice in society and most especially in serving the poor both personally and in their leadership of the Body of Christ. Priestly ministry, like all ministry, is a charism, a gift of the Spirit. The challenge for us priests is living in a way that facilitates the Spirit's action. We must take a serious look at our daily schedules and ask whether they, in fact, foster our living in tune with the Spirit, thereby growing in knowledge and love and Christ and so radiating a Christ-presence in all our ministry. Being fully effective sacramental signs of Christ demands daily attention to our physical, emotional, and spiritual needs. And this may require rearrangement of our schedules, especially to assure we have the leisure to grow in an ever deeper union with Christ whom we sacramentalize in our leadership. A recent document from the Priestly Life and Ministry Committee pointedly advises us that the crite-ria for the effectiveness of our ministry ought not be the quantity of our work but its quality: "One of the most probable causes of difficulties with spirituality in a priest'~ life today is simply his ability to find (or at least justify) sufficient time to spend in solitude and prayer. A consci-entious priest, especially when under pressure of incessant demands, can forget that the quality of his work is more important than the quantity. What people are looking for in him more than anything else is a spiri-tual guide and model who will help them come to know the Lord and find his peace. Thus he must be, first of all and above everything else, a man of God's peace. Regular time each day for prayer, meditation, and spiritual reading is a sine qua non for the unfolding in a priest's life of an authentic Christ-centeredness" ("The Priest and Stress," 1982). There are many ministries in the Body of Christ. The priest's is but one of these, yet it is distinctive. Only the priest is called by today's Church to a ministry of leadership whose essence is symbolizing Christ's presence. Hopefully a deeper appreciation of this calling will have its ef-fect on morale of current priests as well as attract many others to this vo-cation. Where is Religious Life Going? M. Basil Pennington. O.C.S.O. Father Basil Pennington, O.C.S.O., is well known for his conferences and writings on centering prayer. His address is Assumption Abbey: Route 5: Ava, Missouri 65608. This is a question that is being asked with concern not only by religious themselves and the Church at large but even by the wider community. One significant indication of this is the fact that a secular foundation has recently given a secular university over a half million dollars to study the question. Lilly Endowment, Inc. has awarded Boston University a $575,000 grant to have its Center for Applied Social Sciences serve as the site to study the question "Factors Influencing the Transformation of Religious Life in the Catholic Church in the United States." This cur-rent research grant follows the successful completion of an earlier $100,000 planning grant. It is almost twenty-five years since the close of the Second Vatican Council which called for an adaptation and renewal of religious life. In that time the average age of members of many religious congregations and monastic communities has increased dramatically while the number of members has decreased just as dramatically. Many traditional works of religious have been called into question. New works have been un-dertaken and the whole understanding of mission reconsidered by some groups. The sense of separation from the laity is greatly diminished. Lay persons take a much greater part in the life and mission of religious and religious generally feel closer to the active lay Catholic. What does all this portend for the future'? More importantly, what must religious do in order to be truly renewed, adapted to the twenty-first century Church, so that they may continue to bring to the Church 335 336 / Review Jot" Religious, May-June 1990 and to society as a whole the gift that they are? The proposal submitted to the Lilly Endowment set forth six basic or broad objectives for the study: I. Identify the interpretative schemes used by reli-gious to describe the meaning structure of their commit-ment and their perceptions of the distinctions of religious life in relation to the other ministerial roles in the Church. The interpretive schemes will be examined from the perspective of the psychological, theological, and or-ganizational changes that have occurred over time, with special attention to the degree to which religious orders are becoming more or less distinct. 2. Describe and analyze the psychological, struc-tural, and organizational changes that have occurred and those yet to occur both in religious life in general and within congregations in order to predict the future shapes of religious life. 3. Identify individual religious who are perceived as the emergent leaders of religious life and explore with them systematically the changes that have occurred and must yet occur if religious life is to remain a vital social and ecclesial reality. 4. Describe and analyze some effects of change and perceptions of religious life on the commitment of in-dividual religious, former religious, and recent candi-dates to religious life. 5. Describe the environmental influences on re-ligious life in the United States, including cultural shifts that influence commitments, the supply and demand econ-omy for religious service, and the enhancement of the role of the laity in the Church within the historical con-text of theology. 6. Provide a paradigm for developing strategies of leadership that will enable leaders to move the pro-cess of renewal that was begun in Vatican II through a process of systematic transformation. The term "interpretive schemes" may not be familiar to many but it refers to a very important factor in religious life. Interpretive schemes are made up of the understanding the members of the group or commu-nity share in regard to the world and their place in it. They are primary Where is Religious Life Going? in drawing the members together, giving them a shared sense of belong-ing. These guide religious as they interpret their own past and look at their present environment, select their value priorities, and allocate their resources. Oftentimes these interpretive schemes are not explicitly articu-lated by a group. They are revealed rather in the metaphors the mem-bers use to describe their community, the stories they tell and the rites they celebrate. Transformation involves a shift in interpretive schemes. The pro-posal describes transformation as "qualitative, discontinuous shifts in organization members, shared understandings of the organization, accom-panied by changes in the organization's mission, strategy, and formal and informal structures." Transformation usually begins with a crisis that unfreezes dominant organizational members' current interpretative schemes by presenting a significant challenge to their validity. The Sec-ond Vatican Council did this to religious. But not the Council alone. The transition from the modern to the postmodern era, one of the three great cultural shifts in the history of humankind necessarily brought on a "cri-sis" for all human organizations. The next step in the transformation pro-ess is the development of alternative interpretative schemes leading to new types of action which in turn leads to changes in the structure of the organization. There is likely to be considerable conflict among the origi-nal and developing interpretive schemes and the subgroups espousing them. Leaders of the community will necessarily have a large impact on the process and its outcome. If they support only one perspective they are likely to decrease the potential creativity of the transformational pro-ess and the sense of belonging and involvement of the members whose perspectives have not been taken into account. If they try to separate out the different perspectives they are likely to perpetuate splints within the community. If they facilitate the interaction among the conflicting per-spectives they will increase the chances of paradoxical outcomes of trans-formation, of new and creative shared understandings, of a truly renewed and vital religious life. During the course of the process members will experience discomfort both with the ambiguities and the confusion. The conflict of understandings and those who espouse them will create ten-sions. But when (and if) a new synthesis is reached that is experienced by the whole group as acceptable, there will not only be a sense of satis-faction but there will be a new force in the community for life. In its study of the factors influencing the transformation for religious life, the study is going to give special attention to two: the environment, 338/Review for Religious, May-June 1990 that is, the factors external to the community that impinge on it in some way and can effect the transformation process by inducing the crisis and affecting the development of new interpretative schemes, and the lead-ership. Two types of leadership within the communities need to be and will be considered. There are formal leaders, those who are designated to see that the roles, resources, and necessary structures are maintained to provide for both the mission and the members. Emergent leaders are members who are generally recognized in the community as complemen-tary to the formal leaders, but distinct from them in purpose and func-tion. These often act as catalysts for new ideas within the community and, as such, are seldom selected by the membership to represent them. The study hopes to explore the underlying changes in interpretive schemes both qualitatively and quantitatively arid at several levels: within the social institution of religious life as such, within individual congre-gations, and within individual members of religious communities. This will involve questionnaires, regional meetings, and individual interviews to be carried out over the course of the next two to three years. The proposal sees as the outcome of the project: I. Identification of the normative beliefs about reli-gious life and how they will likely shape the future of re-ligious life in this country. 2. Build a national comparative data base of all male and female religious that includes current demographic data, membership information, existing and emerging structures, current member attitudes on multiple dimen-sions, and projections for the future. 3. Enable the leadership of religious communities to identify in the current context paradigms of planning that enable transformation, consolidation, merging, or extinc-tion. 4. Label the changes that must yet occur if reli-gious life is to remain a vital social and theological gift to the Church into the next millennium. The results of the study will, of course, be published and generally available to interested parties. But the researchers hope also to work with organizations and groups of religious to consider and further explore the findings. The principal researchers for the project are David Nygren and Miriam Ukeritis. Father Nygren is a Research Associate at the Center for Applied Social Science, a unit of the Graduate School of Boston Uni- Where is Religious Life Going? / 339 versity. He has been a member of the Congregation of the Mission (Vin-centians) since 1968 and has served his congregation in many capacities over the years. He holds six academic degrees. Sister Miriam, a mem-ber of the Congregation of Sisters of Saint Joseph of Carondelet, is com-pleting a term as a Post-Doctoral Fellow at the Harvard Community Health Plan, Boston. She is a clinical psychologist by profession and has served as a director of the House of Affirmation in Hopedale, Massachu-setts. Besides the extensive facilities of the Center for Applied Social Sci-ence, the researchers will be aided by a National Advisory Board which includes Archbishop Thomas Kelly, O.P., the newly elected chairper-son of NCCB's Committee on Religious; Abbot James Jones, O.S.B. of Conception Abbey; Howard Gray, S.J., former provincial of the Detroit Province, five religious women, two brothers, a monk and two represen-tatives from the Lilly Endowment. The Advisory Board will meet regu-larly with the researchers to assess the results of their work and offer guid-ance to the pursuit of the project. The success of the project will, of course, depend largely on the col-laboration of religious, both as groups and as individuals. But the bene-fits that they can hope to reap from it are considerable, so such collabo-ration is well assured. However, they will not be the only ones to profit from the study. Reviewing the expected outcomes it is easy to see why the Lilly Endowment and a community oriented university are willing to make such a considerable investment in this study. If the study does suc-ceed in producing the results it projects, there can be little doubt as to the significance of the contribution it will make not only to the Church but to society as a whole by enlivening and promoting the social outreach which depends so heavily on the leadership and support of the religious communities. Whence Come the Candidates? Gabrielle L. Jean, S.C.O. Sister Gabrielle Jean, S.C.O., last appeared in these pages with her article. "'The Alcoholic Religious Woman," in September/October 1985. Her address is 715 Per-shing Drive: Silver Spring, Maryland 20910. Over the past several years, authoritative articles on the assessment of can-didates for the priestly/religious life have appeared in Catholic periodi-cals. Kraft (1978)~ clearly stated the differential role and competencies of the psychiatrist and psychologist relative to evaluation and treatment of religious personnel. While both professional groups are involved in therapy, the psychiatrist focuses on the abnormal behavior while the psy-chologist deals with a much broader range of human behaviors. The psy-chiatrist's forte lies in his medical expertise and pharmacological arma-mentarium; the clinical psychologist's educational background provides for research and evaluation of human behavior, especially personality as-sessment. Kraft strongly recommended that such professionals have a working knowledge and appreciation of the role of spirituality in the life of religious men and women. Values incongruent with those of the cli-ent could prove prejudicial to his or her ongoing spiritual growth. A more recent article by O'Connor (1988)~- addressed the appraisal of candidates with attention directed to the formation process, the test-ing of the applicant's spirit, assessment of his or her motivation and fit-ness for the chosen institute. The key elements lie in the interactional pro-ess of interview and dialogue. The present article focuses on the instrumentation for the screening of candidates, that is, the psychological tests selected for that purpose. It is intended to inform superiors, vocations directors, and formation teams of the rationale and philosophy inherent in the selection of instru- 340 Whence Come the Candidates? / 34"1 ments; a "model" battery will then be suggested. Do the candidates come from the general "normal" population or from a psychiatric pool? The choice of instruments such as the MMPI (Minnesota Multiphasic Personality Inventory), TAT (Thematic Apper-ception Test) and Rorschach Inkblots reflect the latter since they are stan-dardized or normed on a psychiatric or dysfunctional population. Granted, they provide valuable information (in terms of impairment), but would it not be more helpful for the formation teams to know the strengths and weaknesses of the personality of their candidates? Would they not be in a better position to maximize the psychological and spiri-tual growth of their charges with a positive set of data on them'? If one begins the psychological screening process with scales normed on a psy-chiatric population, the results can only reveal the extent of the pathol-ogy found in that individual when compared to psychiatrically impaired individuals. The strengths of the personality are clouded by the pathol-ogy and the formation personnel are left to ferret for themselves the per-sonal resources of the recruits. Personality measurement is a typically American phenomenon; it originated in the United States and has evolved greatly, especially since the early 50s. Its scope includes both personality inventories (standard-ized on the general population) and instruments designed more specifi-cally to detect the presence and extent of behavior pathology. The re-spective personality theories provide the background for such instruments and caution the user relative to the holistic nature of the person. Because of the importance of the psychological screening process, further clarification seems warranted, especially since Vatican II alerted to the need of heeding the advances made in the behavioral sciences. So-ciology and psychology do shed scientific light on human behavior both as individuals and in groups. Purpose and Ethics Tests are standardized tools for the measurement of individual dif-ferences in intellectual, emotional, social, and motivational aspects of behavior. Personality assessment focuses primarily on the emotional ad-justment, social relationships, motivation, attitudes, interests, and val-ues of the individual. The American Psychological Association has codified ethical prin-ciples to govern psychological testing. Many personality tests are re-stricted to qualified users, and the qualifications vary with the type of test. The rationale is that test scores should be released only by and to persons qualified to interpret them. The candidate is entitled to know the 342 / Review for Religious, May-June 1990 information he or she revealed in the testing. Knowledge of the test scores only may be emotionally disturbing to the candidate; they should be properly interpreted to him or her in a situation that allows for dis-cussion of the results. Many personality instruments and measures of emotional, motiva-tional, or attitudinal traits are necessarily disguised; the subject may re-veal characteristics about the self without realizing that he or she is do-ing so. It is of primary importance that the examinee have a clear understanding of the use that will be made of the test results, who will receive the report, and how long it will remain in his or her file. Quot-ing directly from the Ethical Standards of Psychologists: "The psycholo-gist who asks that an individual reveal personal information in the course of interviewing, testing, or evaluation, or who allows such information to be divulged to him, does so only after making certain that the person is aware of the purpose of the interview, testing, or evaluation and of the ways in which the information may be used." No report should be sent without the consent of the examinee through a "release of confiden-tiality" form. The receiver of such information is bound by confiden-tiality; the information is privileged; if the examinee agrees to release such information, it is because it will be handled as privileged commu-nication. Evaluation: Testing, Interviews, or What? There are many arguments for and against testing, and I wish to share my biases with you; I do so willingly because psychological test-ing is my area of specialization and, therefore, I feel better qualified to support them than I would be in other areas of psychology. The arguments I would advance in favor of a sound testing program are these. First, it serves to provide an appraisal of candidates who feel attracted to the religious/priestly life. Secondly, it can help the candidate gain insight into his or her own behavior. Thirdly, it can serve as a basis for counseling in view of overall personal growth. The reservations I would have to comprehensive testing are many; my remarks here pertain primarily to candidate assessment for the priestly/religious life. ( I ) Psychiatric screening should not be required of all candidates; if the findings on the personality inventory suggest more than average pa-thology, a psychiatric instrument could be used to determine the extent of the pathology. If psychiatric screening is required for all candidates, are we not suggesting that our pool of subjects lies in the "disturbed" group? However, I favor scheduling a psychiatric interview/evaluation Whence Come the Candidates? / 343 for applicants to monastic life. The withdrawal from the world implied in the lifestyle could attract individuals ill-equipped for social inter-course. (2) There is a danger of categorizing people for life, very much like the penal system where no room is allowed for growth and change. (3) In the hands of poorly trained people, these instruments are ex-tremely dangerous. Granted that most formation personnel would not ad-minister the tests themselves, there is still grave danger that reports will be misinterpreted. People with little sophistication in this area tend to put more faith in the instruments than is warranted. (4) The use of test information for acceptance/refusal makes sense only if the results are validated by information from other sources: let-ters of reference, observed behavior, and the like, No matter how good and competent that psychiatrist or psychologist is, the dynamics of grace elude measurement, and everyone involved in the assessment process must be mindful of this fact. (5) I would not advocate involvement in a screening program unless there is a willingness to share the information with the candidate. A good policy is to provide a feedback interview to discuss the test findings with the examinee. Should the evaluation be psychodiagnostic (with the use of psychiatric questionnaires), the feedback would then be provided by the therapist who would be in a better position to decide on the timing for such disclosure. In all such work, Catholic psychologists consciously strive for the fundamental attitude which Pope Pius XII advocated in 1953: 'Psychotherapy and clinical psychology must always consider man as a psychic unity and totality; as a structured unit in itself; as a social unit and as a transcendent unit, that is to say, in man's tending towards God.' ,3 Candidate Assessment We are reminded through the Second Vatican Council documents that the unity of the Church thrives on the variety of gifts in its mem-bers. In Perfectae Caritatis, it is explicitly stated that religious are to bring "to the execution of commands and to the discharge of assign-ments entrusted to them the resources of their minds and wills and their gifts of nature and grace" (PC, Art. I). The text is supported by Paul's I Corinthians: "All these gifts are the work of one and the same Spirit, distributing them separately to each individual at will" (I Co 12:l I). The decree on religious life was intended for all religious men and women, whether in the ranks or in authority. It must be admitted; how- 34"4 / Review for Religious, May-June 1990 ever, that when it comes to acknowledging the "special gift of each," we are somewhat in the dark. The Superior/Director/Coordinator is ex-pected to be respectful of the Giver of gifts by avoiding arbitrary assign-ments. The religious man or woman may be an individualist who feels that one owes it to oneself to fulfill the self in the sense of using one's gifts for personal enhancement and satisfaction; a correct interpretation would lead one to regard all gifts as intended for service to the commu-nity and to the whole Church. A scientific way of arriving at a knowledge of these gifts is psycho-logical testing and evaluation. I would set as one of the primary func-tions of candidate assessment: the identification of the assets of the indi-vidual. There is room for screening out undesirable applicants but this aspect of screening should not supersede the screening in of those who have great gifts of heart and mind to use in the service of the Church. As a marginal note, may I add that it is usually enlightening for the vocation directors (or whoever requests the assessment) to subject him-self or herself to the whole process. It may be an eye-opener as to the anxiety-provoking experience of personality assessment. For some cli-ents, self-disclosure is a very traumatic experience, and counseling may be advised. For most who have been exposed to testing in all forms, the whole procedure is taken in stride. Criteria Used What are we looking for in a good candidate to the priesthood/ religious life? The criteria have generally been clearly stated by the vari-ous religious groups, rectors of seminaries, experienced masters in the formation of candidates, and vocation directors. In general, they can be grouped as follows. ( 1 ) Intelligence I think we are justified in looking for average intelligence or better; without it, a religious professional cannot grasp the import of his or her commitment to Church service within the framework of a religious life-style. During the assessment, the candidate's intellectual efficiency is con-sidered in the light of one's intellectual potential. Does the client oper-ate better in a situation where conformity is rewarded or where auton-omy and independence are viewed as positive behaviors? The individ-ual's cognitive style is also studied along with factors capable of reduc-ing his or her mental efficiency such as anxiety, perfectionism, compul-sivity, or poor thought control. (2) Personality Here, it is important to have inventories/questionnaires standardized Whence Come the Candidates? / 345 on a non-psychiatric population; the candidate is not expected to live in a psychiatric ward! Instruments are usually selected which address prin-cipally the personality characteristics important for social living and so-cial interaction. Attention focuses first on personal integration: the individual's self-concept as covered by such factors as social presence, sociability, self-acceptance, sense of well-being. The candidate's social maturity and re-sponsibility come under scrutiny in a cluster of scales tapping socializa-tion, self-control, and tolerance. Temperamental variables such as per-sistence, cooperation, aggressiveness, tact, moodiness, impulsiveness, and adaptability are given some attention. The motivational aspects of the applicant are usually considered in a separate scale covering the home environment, career, religion, social endeavors, needs, values, and in-terests. A social-religious orientation is usually a more favorable indica-tor of a true call than a political or power orientation. (3) Sexuality This area is considered critical for today's candidates who will com-mit themselves to a celibate life. Projective techniques (disguised tasks) are used in this case to assess the basic sexual orientation of the candi-date and impulse control. The leads provided by the test data are openly discussed with the candidate in view of verification of the findings and subsequent recommendations. Not all information gathered in the inter-view need to be reported; problems resolved earlier fall in this category. (4) Magisterium The candidates are also queried about their attitudes toward author-ity, toward the Church and her teachings, and toward the ministry or apos-tolate. Feedback The feedback interview can be used advantageously to cover impor-tant areas such as interpersonal relationships: at home, at school, and at work, and for the older candidates, relationship to the local church. The individual can be further interrogated relative to anger and hostility: what triggers his or her anger and how is it handled? Recommendations for the proper handling of st.tong emotions are usually in order. The area of sexuality is probed further: orientation, ~,ex education, if given (when, by whom), dating history, the applicant's understanding of celibacy/ chastity, and his or her readiness to make the commitment to a celibate life. The last area tapped in the interview pertains to "spiritual evolu-tion," or the applicant's personal spiritual journey. When was he or she first attracted to the Church, (rites, sacraments, music, service, and so 346 /Review for Religious, May-June 1990 forth) and how did that attraction grow (or lapse) in the course of his or her life? Conclusion It is obvious to whoever has read up to this point that the evaluation/ assessment of candidates is serious business and a time-consuming propo-sition. Is it not worth the effort for a lifetime of service to the Church? The full day of testing and the few hours needed for the feedback/ interview are little when one considers the benefits to be derived through a lifetime of dedicated service to others. It is a rewarding task tbr the examiner who is constantly confronted with the promptings of grace in the life of today's young people. NOTES ~ William F. Kraft, "'Psychiatrists, Psychologists and Religious." R~vw.w FOR RF.LIGIOUS, Vol. 37, (1978), pp. 161-170. 2 David F. O'Connor, "Appraising Candidates for Religious Life or Priesthood," Human Development IX (Fall. 1988), pp. 26-30. 3 Address of His Holiness Pope Plus XII, "On Psychotherapy and Religion," Fifth International Congress on Psychotherapy and Clinical Psychology (April 13, 1953). Converted i come into Your glorious presence Changed, Newly dressed In Your garments, Feeling strangely at home there. Delighted, excited, I am waiting . . . Longing once more For Your kiss of peace. Sister Columba Howard St. John of God Convent P.O. Box 14 SUBIACO 6008 Western Australia Wishes for a "Novice" Novice Director Melannie Svoboda, S.N.D. Sister Melannie Svoboda, S.N.D. is currently dividing her time between teaching and writing. She served as novice director for six years. Her address is Notre Dame Academy; Route One, Box 197; Middleburg. Virginia 22117. For six years I was novice director for my religious community. During those years, the number of novices I had was anywhere between nine and one. As I reflect back on my experience as novice director, especially now that I have a little distance from that ministry, I ask myself, "What advice would I give to a new novice director--to a novice novice direc-tor? What would I wish for him or her?" There are many things I could say, much I could wish for. But if I had to limit myself to five words of advice, five wishes, what would they be? My answer to that question is this article. Warning.t Self-knowledge. Beware.t And give thanks. In my second year as novice director, I made my annual retreat as usual. During my first one-on-one conference, the retreat director asked me what my min-istry was. When I told him I was novice director for over a year, he smiled and said, "Well, well! I bet you've come to a beck of a lot of self-knowledge this past year!" His words struck me. They encapsulated something I had been experiencing, but something I had not yet been able to name: formation ministry has a terrible and marvelous way of en-couraging growth in self-knowledge--and this growth is usually accom-panied by discomfort, confusion, or even pain. Prior to becoming novice director, I had been a successful teacher and free-lance writer. It was easy for me to begin to find a good meas-ure of security in my obvious successes in these two areas. Success has 347 348 / Review for Religious, May-June 1990 an insidious way of leading us into a kind of "spiritual coziness." My success tended to give me the illusion that, indeed, God is in his heaven, I am in my classroom or at my typewriter, and all is well in the world. Formation work, which was both new and challenging, had a way of nudg-ing me (sometimes even shoving me) out of my complacency. I noticed my prayer becoming less pharisaical: "I thank you, Lord, that I am so successful!" and more "publican-ish": "Lord, now what do I do? Help!" As disconcerting as this growth in self-knowledge was at times, I see it now as a very real blessing for me. There is another reason why formation work was such a challenge for me personally. Both teaching and writing have goals and objectives by which one can, to an extent, measure one's success. Are my students learning? Yes. Are editors accepting my articles? Yes. The'n I am doing something right. I am a success. But formation ministry does not have such clear-cut ways of measuring success. In fact, by some measures, I was quite unsuccessful as novice director. Were novices flocking to our novitiate now that I was director? No. In fact, the formation team and I were not even accepting all of the few that did apply. Once they came to our novitiate, did they stay'? No. Some stayed, but many left. And, worse yet, some of the ones that did leave, ! even encouraged to leave. Formation ministry forced me to redefine success. More than that, it caused me to question how much l needed success in order to minis-ter. The ministry of formation challenged me to devote time, energy, and creativity to a work that, for the most part, did not give me the steady encouragement of measurable results. It called forth new kinds of strengths in me--such as patience, trust, letting go, and greater depen-dence on others who could help me. I needed such qualities which might otherwise have remained undeveloped because of apparent outward suc-cess. Decisions, decisions! Shortly after receiving my appointment as nov-ice director, I met my own novice director in the lunch line at our pro-vincial house. She had been a novice director for more than twenty years. Now, confined mostly to a wheelchair, she continues to serve the com-munity in the mailroom and archives. When she saw me in the lunch line, she took me aside, wished me well, and then said, "Just remem-ber: as long as you believe your decisions are right before God, that's all you've got to worry about." In those few words, my novice director had gotten to the core of for-mation ministry: the making of decisions. For me, the crux of being nov-ice director (and I use the word "crux" intentionally) was having to Wishes for a Novice Director I 349 make a decision that affected the future of another human being. Of course, I knew that I was not totally responsible for deciding whether a woman should remain in our novitiate or leave. The novice herself played a paramount role in that decision. I also knew full well that I had other people I could and did consult for valuable advice and input. I also realized that the provincial and her council ultimately were responsible for this decision. But despite knowing these things in my head, I still felt in my heart that the decision whether a novice should stay or leave was essentially mine. For me there was nothing ever easy about making such a decision--one way or the other. And there certainly was nothing easy about being the one to tell a novice that she could not stay--especially if she was unable to understand why. As I told my provincial superior onc+ after the council had decided to let a candidate go, "You're not the one who has to look into her eyes and tell her. I do." For me personally, this was the greatest challenge as novice direc-tor: trying to make the right decision for each individual. It meant I also had to face the possibility that, despite my conscientiousness and my good will, I could, indeed, make the wrong decision about someone. I had to ask myself, "Do I trust God enough that ! can be at peace with every decision I make? Can I entrust even a possible wrong decision to his love and creativity?" I never fully appreciated what a burden this was for me until I no longer bore it. After | left formation work, I was given other big respon-sibilities- among them was being local superior of a rather large com-munity. But, so far, none of these new responsibilities quite compares with the responsibility I felt as novice director: having to make a deci-sion that profoundly affects the future life direction of another person and a religious community. At the risk of sounding pious, this is a burden we cannot bear alone. As my own novice director implied, we make our decisions before God. I add: we also make them with God. With hoops of steel. In Shakespeare's Hamlet, Polonius gives some beautiful advice to his son, Laertes, before he sets out on his own. His words of advice should be given to every new novice director: Those friends thou hast, and their adoption tried, Grapple them unto thy soul with hoops of steel. l, iii One of the greatest needs of a novice director is friends. Hopefully, most novice directors enter their ministry with a "generous supply" of good and loyal friends. But even if this is the case, a novice director soon 350/Review for Religious, May-June 1990 learns that the ministry of formation has some built-in obstacles to the retention of friends. First of all, as novice director, I was in a ministry all by myself. No one else in my community did exactly what I did. As a teacher and writer, I had enjoyed the camaraderie of other sisters in my community who were actively engaged in the same ministry. We swapped stories, shared ideas, and encouraged each other in our com-mon ministry. But when I became novice director, I suddenly had no one. There is another reason for the sense of aloneness that novice direc-tors sometimes feel. Much of our ministry involves things we cannot talk about or share with others. Even our schedule may prevent us from so-cializing with our friends. For example, as a teacher I looked forward to weekends when I had a little time to "unwind" with my sisters and friends. But as novice director, my weekends suddenly became my busi-est time. That was when 1 had classes with the novices, I tried to see them individually, and I "socialized" with them. These factors cannot be allowed to become excuses fo~" losing touch with our friends. But they are challenges for us to find new and creative ways to "grapple" our friends to our souls "with hoops of steel." Eventually, I did find considerable support from novice directors in other religious communities. Sometimes when we got together, we tended to "talk shop." We found ourselves talking only about problems in formation and expressing to each other worries and frustration. This has its place, of course, but we soon realized we needed each other not merely to "gripe with" but also to "play with." As a new novice di-rector, find ingenious ways to hang on to your old friends, and be ready and eager to make new ones. The wideness of the sea. One of my favorite old hymns says this: "There's a wideness in God's mercy like the wideness of the sea." I think we could paraphrase those words and say. "There should be a wideness in a novice director's life like the wideness of the sea." A nov-ice director could be tempted to live in a very narrow world--a world no larger than his or her novitiate. Do not succumb to this temptation. It is important for a novice director to receive some professional prepa-ration for the ministry of formation. Yes. It is also vital for him or her to keep abreast of developments in the field of formation. Definitely. But we novice directors must not limit our input solely to formation. My ad-vice is to widen your world. Get involved with other groups of people, with issues besides formation and religious life. As novice director, for example, I taught a course in pastoral ministry at our college almost Wishes for a Novice Director / 351 every semester. The course met once a week in the evenings. Teaching that course was extremely healthy and beneficial for me. When I was not teaching a course, I was often taking a course. Some of these courses had nothing to do directly with formation. I also continued to write arti-cles for publication--the vast majority of them riot on formation. I know other novice directors who widened their world by being life guards at swimming pools, music ministers in parishes, volunteers in soup kitch-ens, or teachers in seminaries. As directors, we need ample time for a ministry of formation, true. Bui we also need time to extend our bounda-ries beyond the walls of the novitiate and our religious community. Let them love you. So far I have said nothing specifically about the novices themselves. As novice director, you must love your novices. Sometimes your love will take the form of gentleness and kindness. Other times it will assume the shape of firmness or even apparent hard-ness. Whatever form it takes, love is essential. This goes without say-ing. But there is a flip side to this fact that gets too little attention: allow your novices to love you. Be open to their love. More than that, encour-age it, welcome it. As directors we can become overly conscious of our role as director, as formator. We can shield ourselves from the give-and-take of relationships by setting strick boundaries with our novices. I am director, you are directee. I form you. I love you. Formation becomes a one-way street. When we do this, we are forgetting this great truth about formation: while we are helping to form our novices, they are also helping to form us. If we allow them. My novices helped form me in many ways--sometimes gently, other times almost roughly. They formed me by their honesty and humility-- especially in the one-on-one sessions I had regularly with each one. I was always amazed at how the novices were, for the most part, incredibly honest with themselves. By their honesty, they encouraged me to be more honest with them. During my six years, I found myself trusting the novices more and more. I had always basically trusted other people, I believe, but my six years as novice director only encouraged this atti-tude. The novices ministered to me at times in my need. One time a friend of mine in the community was dying of cancer. I left her infirmary room one night on the verge of tears. Shortly afterwards I ran into one of my novices in the hall. My initial reaction was to put on a cheerful front and hide my tears from her. After all, I was her director. In fact, I was the one who had dried the tears of this particular novice on more than one 359 / Review for Religious, Mav-Jttne 1990 occasion. But when I saw the concerned expression on her face, I was unable to hold back my tears. I cried, "Nadine's dying." Without a word, she took me in her arms and held me for a few minutes, comfort-ing me. In one way, it was a reversal of roles, but I still treasure the mem-ory of that moment when I allowed the novice to minister to me. Sometimes novices will love us in "tougher" ways--challenging our judgments, questioning our decisions, asking us to explain something we would just as soon leave unexplained. As novice directors, we must be open to that kind of love, too. My father, now retired, spends much time growing things on my par-ents' three-and-one-half acre plot of land. He grows apple trees, exotic grapes, peach trees, English walnut trees, and'the like. He once told me, "I get a kick out of figuring out how to help things grow." I would hope that every new novice director could say something similar: "I get a kick out of figuring out how to help people grow." My final wish for the "novice" novice director is this: May you figure out (often through trial and error--plus the help of God's grace) how to help (not "make" or "'force") people grow. And, in the process of your helping, may you yourself grow in faith, hope, love, and much joy! Retreat at Glenstal Abbey I have no preacher here but only quiet trees that pray one solemn silent so-be-it frown cell, from sap, from sinewed standing stem frown bough and branch from twig and sprig all said all summed in this brief silent now. The Master called and with the stars each answered to the limit of every limned lettered lace-like latticed leaf: "Here 1 am." Cothrai Gogan, c.s.sp. Naraiga Catholic Church Box 220 Limuru Kenya, Africa The Associate Movement in Religious Life Rose Marie Jasinski, C.B.S., and Peter C. Foley Sister Rose Marie Jasinski. C.B.S. is currently director of the associate community for the Sisters of Bon Secours and president of Bon Secours St. Joseph Hospital and Nursing Care Center in Port Charlotte, Florida. Peter C. Foley is presently working as a free-lance consultant and facilitator for religious congregations, dioceses, and parishes. Correspondence should be addressed to Associate Membership Office: Sis-ters of Bon Secours: 1525 Marrionsville Road: Marriottsville, Maryland 21104. The task of the imagination, specifically the religious imagination, has been described as naming, even "composing," the real. Another way of saying this is that the religious imagination unveils where God is at work among us. Stories of God at work, and of the unfolding of a real-ity whose scope and power have not yet been imagined were told in May 1989 at the Bon Secours Spiritual Center in Marriottsville, Maryland where more than 100 Directors of Religious Associate Memberships, and associates too, gathered to share the histories of their associate move-ment. It was the first such gathering of lay people and religious designed .just to explore how spiritualities or charisms of the Church, previously identified with particular religious congregations, were being assimilated by groups of lay people who claim the identity, history, and traditions of a particular spirituality as their own. The reality that emerged is that the traditional spiritualities are alive and well, even flourishing, but in ways we had not imagined. Most congregations reported more applicants to the associate program than to the congregation, and some associate members outnumbered the sisters themselves. But even more striking than the rapid growth of associate memberships was the intensity of the 353 Review for Religious, May-June 1990 commitment brought to them. These were not casual or sentimental re-lationships- it was clear that there was great personal significance in be-longing to an evolving spiritual community. This powerful movement has been quietly erupting within the Church for the last ten to fifteen years. Among the groups gathered to-gether in May we discovered associate members of women, men, sin-gle, married, of various professions, of differing faiths and even a few clergy and religious of other congregations. Associate membership tends to look and act differently within individual religious communities. The basic ingredient, however, is a strong emphasis on forming bonds be-tween laity and religious around a specific charism and mission; attempt-ing to live out that spirit and charism in one's particular lay lifestyle be-comes a significant piece of the "bonding" together. An area of richness that was shared by the groups in May was the expressed felt need and desire to journey together toward deeper spiri-tual growth. The word "together" here is significant and seems to be gaining in popularity. While indeed there still lingers the sentiment that "sister is better at this than I am" we discovered also that the notion that "the same Spirit moves among all of us" is gaining ground as well. Of course, this growing sense and desire for "bonding" also tends to blur the distinctions between laity and religious which is a challenge for some and a gift for many. Developing a sense of community was an important and, at times, a primary reason for approaching associate membership. For some it is the lack of community experienced in the local parish setting; for others it is the desire to deepen their prayer life that initiated the attraction. This sense of community and "bonding" that begin to take shape between the lay and religious members is encouraged and strengthened through regular times of coming together to share prayer, ritual, reflections, Eucharist, and other social feastings. Along with these activities the de-sire to have a "significant" role within the religious community is also exerting its influence among laity and religious. Participating in commu-nity decision-making, committee functions, chapter meetings and the like were not an uncommon topic at our May meetings. The area of service or ministry had a broad range of response among the groups. For some it was an integral part of the associates" role; for others it almost appeared as a distraction from the original intent of spiri-tual development; and still others seem to be on a progressive path of moving through spiritual development outward to "mission.'" This brings us to the progression of "gerierations" that is becom- The Associate Movement / 355 ing evident to those people who have been around this movement ['or a period of time. A pattern appears to be evolving within the associate move-ment. The first generation seemed to be people who wanted to be "filled up" spiritually plus a few who just could not say "no" to sister in those communities where the religious extended the invitation to join. In this generation the religious were looked to for the leadership. The second generation seemed to move more deeply into spiritual development in that the laity and religious have journeyed that path together as equals. The third generation emerges as associates become active in, or are in-vited into, various ways of participating in community life itself. Spiri-tuality as well as leadership is shared. A fourth generation seems to be spiritually motivated and supported by a faith community to go out in mission to share the charism. Throughout this progression of generations has remained a growing, though sometimes ambiguous, sense of commitment--ambiguous in that it is not always clear if the commitment is to the congregation, to the lo-cal community, to the associate community, or to individual sisters. And growing in that there are those rich experiences when associate members feel they have no choice but to live the charism--they have become so imbued it is as though "the charism has me!'" It seems most desirable for each group to grow in its own understand-ing and expression of, and comfort with, the focus of its commitment. While all groups expressed uncertainty about the long-term embodi-ment of their spirituality, they were equally comfortable with a sense of journeying together, accompanying ehch other in a life of prayer, shar-ing, and service. This was the area of greatest commonality among the participants. Otherwise their differences were so great that many of our assumptions about the associate movement were exposed and dispelled. Our first assumption was that a healthy associate program needed to be closely knit to the sponsoring congregation, starting with a strong for-mation program (conducted by the sisters), ongoing liaison with or lead-ership from the sisters, and some degree of monitoring of prescribed norms of behavior. Not so. Although many of these chara~:teristics were present in most programs, there were some that were not even started by the sisters, much less "managed" by them. A "healthy" and vigorous program depended more on the quality of the relationship between indi-vidual lay person and sister (living or dead) than on the sophistication of its organization and structures. The spirit or charism of the congrega-tion was passed on most effectively, it seemed, from person to person. In one group, the "formation" program consisted primarily of one-to- Review for Religious, May-June 1990 one storytelling on the part of the retired sisters with the prospective as-sociate. Another had an adoption structure, in which the associate and sister became family with each other. Another assumption was that there were sisters, on the one hand, and associates on the other. But for some, the associate membership con-sisted of lay people and those sisters who chose to join it including, in-terestingly, sisters from other congregations. These groups, obviously, had no trouble "getting sisters involved"--one of the more common problems expressed. The sisters were free to commit themselves to this other expression of their charism, or not. Another surprise was the range of expectations or requirements for associates to "keep up their membership." Many groups had calendars of annual events that included monthly meetings, annual retreats, "home-coming weekends" with all the sisters at the motherhouse, and some even offering weekly prayer meetings. But it was clear, due to geo-graphical movement of both sisters and associates, that the real and ef-fective criterion of memberships for some groups was the intention and commitment of the individual associate. In a movement like this there is a lot of giving and receiving. Who is giving? Who is receiving'? The obvious answer is that the congrega-tion is extending itself to others, including them, giving them something that they could not have by themselves. The opposite seems to charac-terize many of the groups reporting. The more the sisters listened to what was going on in the desires, dreams, and active faith life of their friends and dedicated collaborators, the more they received. Their own appre-ciation of their congregational charism and history was renewed and en-livened. Many sisters reported "receiving their charism back" from their lay associates. And, on a more pragmatic vein, the more the con-gregation included its associates in governance and community struc-tures, the greater the commitment of time and energy of the associates to the religious group. Finally, we had assumed, of course, that we were talking about per-sons of the Christian faith when we were discussing associates. Not so. A number of congregations reported including not only non-Catholic Christians in their associate programs, but also non-Christian persons. How could this be? We did not ask. If we had had the time, we would have asked three other questions: -What human behaviors facilitate the "passing on" of a charism from person or group to another'? -This seems to be more a women's movement than one The Associate Movement / ;357 commonly or equally shared by men and women. If so, how does it relate to the larger feminist or women's move-ment? And, also, how is it related to earlier women's movements in the history of the Church? -Are congregations that have a vital and active associate membership capable of having an equally vital and ac-tive group of "lay volunteers"? We ended the May meetings with no conclusions other than it was very good to get together and share what is happening; that some groups would initiate regional networks: and that we should all meet again in two years to hear the continuing story of the associate membership move-ment. As participants and observers we rejoice and hope to see the continu-ing openness to the Spirit-filled variety of associate memberships in the Church. A variety that may lead us to a fifth generation of associate mem-bers and "religious" sharing community: living together in a variety of many different ways, providing a variety of different services, praying in a variety of different styles--all through the power of one Spirit-- one baptism. Sunrise When the earth tipped its rim this morning, letting the sun in, filling itself with color and.light, You handed it to me; putting my mouth to the other side, I drank the dawn wind, the morning sun rising, dripping with glory. Then handing the cup back to You, I wiped the drops from my mouth, touching my lips again with Your light: Satiated with splendor, so glad of Your love. Sister Columba Howard St. John of God Convent P.O. Box 14 SUBIACO 6008 Western Australia Images For The Future Of Religious Life Thomas F. McKenna, C.M. Father Thomas McKenna, C.M., is an assistant professor in the theology department at St. John's University in New York. He has also served as novice director for the Eastern Province of the Vincentians. His address is Vincentian House: 101-25 104th Street: Ozone Park, New York 11416. One of the signatures of any age is the time-dimension to which it is drawn. At a given period, a culture is fascinated by past, present, or what is to come. For a number of interwoven reasons, religious life in this pres-ent age is taken with the future. The harder times it has fallen upon in filling up its thinning ranks and the upsetting wonder about what forms will take it into the next. century raise questions which only forward-looking answers will give. Add to this the growing appreciation that the origins and, therefore, the identity of religious life lie in visions precisely about what could be, and the reasons for concern about that future be-come all the more apparent. Often enough, these worries and hopes find expression in a search for what is termed "The New Image.'" That taken-for-granted inner land-scape which grounded the operations of a congregation for generations is less and less able to hold the center. Members realize that some new image is required, a different "root metaphor"~ which once in place will again provide that clear prism through which the apostolates, govern-ance, prayer styles, and, indeed, the very self-concept of the order can be freshly perceived. In his book on the meaning of history,2 Theodore White describes the precariousness of trying to peer into the future from the only van-tage point available, the present. He invites the reader into a small boat 358 Images of Religious Life / 359 bobbing up and down on the swells of the mid-Pacific, thousands of miles from any coast. Inside, the waves lifting and lowering the boat feel much the same, but in fact they are not all alike. Some are only surface ripples blown up for a few hundred yards or even miles. Others are surges left from mid-ocean storms out still farther over the horizon. They, too, will smooth out and die. But others still are the tips of deep running transoceanic currents. They were born in the river canyons of continents two thousand miles to the east and will crest on the shores of another coast four thousand miles westward. The historian is the person who thinks himself able to read which of the waves are shallow and so eventually will fade, and which reach to the floor of the sea and so will roll on into the future. While the bases for his judgments are not the kind which can serve up airtight predictions, they are rooted eno'ugh in pres-ent conditions to get him beyond clairvoyance. His knowledge of the cur-rents and tides enables him to give some backing for claims about what will continue beyond the horizon. This article intends to feel for some of those currents. While there are any number of root images which might be the synthesizing meta-phors on which religious life will be carried into the future, there are some which because of their ancient lineage in the religious movement on the one side and their attunedness to present society on the other show promise beyond mere guesswork--though, to be honest, not perhaps be-yond wishful thinking! The metaphors to follow can stand by themselves, but are more use-ful when anchored in the first. Connecting them sequentially allows for a certain priority but also for enough interaction that each can be a cor-rective for the others. The Religious Infiltrators of the Culture The scenario here is one body of people led forward by a common vision who insert themselves into the dead spots, so to speak, of the world of another group. They attempt to work their variant view into the places in the dominant culture which are spiritually empty and hunger-ing for freedom and new meaning. The sportscaster's phrase "in the seams" catches the idea. In a zone defense, players are assigned to cover certain sectors of the field or rink. The weakest points are along the bor-ders of zones because that is where confusions and even collisions be-tween the defenders are most likely to occur. The pass or shot is aimed "in the seams" between the zones; it is put "in the crease" at the edges of the coverage where the system most often breaks down. This analogy places religious among those believers who carry the 3BO / Review for Religious, May-June 1990 cause of Mystery to those border areas in a culture. Into those margins where the prevailing world view has lost its depth or has failed in nerve, religious bring the riches, appropriately enough, of religion. They are the outriders of the culture, the hikers along the margin where moder-nity has unraveled and is dealing death rather than life. The orders are among the entrepreneurs of the Mystery in a resistive society. This last figure brings out the assertive and perhaps even aggressive side of the image. Not intimidated by the muscular idols of the culture, religious purposefully seek out opportunities for evangelization and join with other groups who struggle to inculturate kindred values. They are convinced of the profundity of what they carry and so actively search out the soft spots in a society for chances to penetrate. Opportunistically, they move into the seams. In the description of the mid-ocean sailor, we spoke of the need to justify the use of a particular image. Why does this metaphor show more promise than another'? In this case, what signs of the times recommend the infiltrator over competitors'? Both negative and positive warrants come to mind. The negatives cluster around a foreboding sense of the spiritual bank-ruptcy of certain sectors in the modern world. By modern we connote here modernity, that whole ethos born in the Enlightenment and bred in the industrialized West whose place in history is slipping off its assumed highest perch to a level of one era among others, but one, indeed, whose effects are threatening to annihilate the gains of all the rest. Interestingly, this critique is being mounted by commentators who truly admire many of the accomplishments of the modern era such as freedom, communi-cation, labor saving devices, democracy, and so forth. They counsel not so much a nativist return to some pre-technological world, but rather a move beyond technology. To that end, they make the case that within the soil of the very blessings modernity bestows are sprouting the mostly unnoticed seeds of its own destruction. The most noxious plants on the American scene are being fed by the system of total capitalism. When left unchecked, they poison the very kind of moral character needed to sustain the democratic society in which capitalism flourishes. Among the more widely known critics are Robert Bellah and his as-sociates3 who have detailed the ways in which individualism threatens to remove its communal counterbalance, republicanism, from the ethi-cal arena in American life. A flattened self, the person as a "bag of needs" disconnected from other subjects and unable to collaborate from motives beyond self-gratification is the narcissistic prospect. Barbara Hat- Images of Religious Life / 36"1 grove's depiction of the "New Class" analyzes the ways which the spe-cializing and rationalistic tendencies of the baby boomer culture can shut down its own best possibilities.'~ In a more popular vein are the addresses of Franciscan preacher, Richard Rohr, who of late has been announcing "the death of the liberal agenda."-s An inability to cooperate with any-one besides an elite few, an idolization of personal feelings, and a per-fectionistic search for the fullest experience and/or the flawless process are some of the disturbing undersides he fears now beginning to surface. A more philosophical warning is being sounded by a group known as the Post-Modernists. Taking negative expression in its Deconstruction-ist variety,6 the critique is more optimistically stated by a group who call themselves, fittingly so, the Constructionists.7 Affirming the benefits of modernity, they also desire to move beyond its pitfalls and so join the assault on individualism. Their particular contribution is not only to have analyzed further its pedigree and progeny, but to have proposed means by which it can be overcome. There is an anthropomorphism in the culture, they contend, which immoderately subordinates the whole of creation to its human part. The attitude denies any "inwardness" to what is not human, thereby remov-ing nature's intrinsic value and laying it open to the worst kinds of ex-ploitation. The social counterparts of this dominative style are the patri-archal rules in society, assumptions which prevailed in all ages but get honed to their sharpest edge by the competitive, rationalistic, and ef-ficiency myths of the present.8 Powering everything are the twin dynamos of economism and con-sumerism. The blanket moral pardon granted the so-called side effects of the free market (steered by its invisible hand of self-interest) is ex-tended to all sectors of life. Social, aesthetic, moral, and religious issues are approached as if their ultimate bearings were also supply and de-mand. The pressures to define self by possessions, to regard the public good solely as economic wealth, and to eliminate concern even for one's posterity are some of the more chilling prospects when the profit princi-ple is transmuted into the universal moral touchstone. Such a world, in a Constructionist phrase, has lost its enchantment.9 Emptied of mystery and dulled to the wisdom of the best of its myths, it can no longer re-spond to the deeper hopes and so begins to feed on itself. Modernity's prospects: a superficial and morally spinning world set on a disastrous course that of itself modernity is powerless to change. If the infiltrator metaphor stayed only with condemnations, its indict-ments could have the ring of a culture-bashing fundamentalism which 369 / Review for Religious. May-June 1990 railed against the society but did not involve itself in it. Happily, these critiques are simultaneously stirring up a kind of religious revival or at least the beginnings of one. ~0 In the so-called secular disciplines for in-stance, there is a growing movement to sacralize the world. Proponents in the natural sciences for one, awed not only by the indeterminacy of things but also by their interconnectedness, are proclaiming a newly dis-covered mystery in creation. Various schools of psychology for another are reclaiming a spiritual base. Educational circles are feeling a surpris-ing pressure for more theology and religion courses at secular universi-ties. ~ These and other indications mark a widening search for values which are rooted in something other than the economic. This quest has a prag-matic ring to it inasmuch as the conviction is spreading that religiously grounded foundations are the only ones on which lasting social change can be built. Interestingly, the revival appears to have gathered greatest momentum among Roman Catholics. A 1987 Gallup poll names them as the denomination which feels most able to provide religious leadership in American society because of both the wide backing they accord their bishops' social teachings and because of the stronger communal bonds they enjoy. ~- In sum, there is on a number of fronts a growing unease about the spiritual vacuum in the culture together with initial signs of an initiative to fill it. Motivation for the renewal is not the self-righteous and con-demning sort, but comes from culturally sympathetic people who at the same time sense the dissonance between their own religious experience and the hollowness in key sectors of modernity. This analysis was done to indicate possible points at which religion could be inserted into the culture. Such intersections hold invitations for religious to join with other subgroups in society~3 in witnessing to firmer grounds of meaning. Carrying in their traditions such wisdom as the in-terrelationship between humans and the rest of creation, the universal dis-persion of spiritual energy, the immanence of the divine feminine, and the riches which cannot be packaged as a commodity and which flow out of the acts of loving and hoping, members of orders do not come empty-handed to those vulnerable seams. Nor do they come alone. The infil-trator is meant to work alongside of other servants of Mystery who are soon discovered to be, in Thomas Merton's phrase, "the monks' natu-ral allies in the world.''~4 If this line of thought sounds familiar to the religious reader, it is likely because something of the sacred time of his or her beginnings is hnages of Religious Life / 36:3 evoked. All founding persons were in effect entrepreneurs of religion in a culture. The desert journeys of the monks as response to the dying and brutal fourth-century society, the ingenuity of the mendicants in evan-gelizing a world of new city-states, the missionary fervor of the congre-gations of the seventeenth century reaching across from the Old World to the New--all these were tides taken at the ebb to penetrate a weak-ened and changing society. The crisis of meaning in American culture today and some initial responses to it present new windows of opportu-nity for would-be refounders. What special qualities are required of these so-called otitriders of re-ligion? In an essay on the future of spirituality, ~5 Karl Rahner addressed the situation of believers living in a time of sociological diminishment. Their faith must be sustained by what he termed "a solitary, immediate experience of God." They are to be new types of mystics whose con-viction does not come from any place other than the hearts of their own existence. Infiltrators are, therefore, marked in the first place by a per-sonal experience of God. Their second trait might be called culture-friendliness. Refounding persons exhibit that certain feel for the divine possibilities in society, that willingness to mix it up with the shapers of meaning in the wider world. While they are not uncritical of the age, their more basic desire is to engage it in order to move quickly into the spiritual openings it presents. But infiltrators also have blind spots. A common one is to so con-centrate on the strategy and practicalities of insertion into a culture that they lose sight of the sources of the salvation they bring it. Two further images, each able to stand on its own, speak more pointedly to ways of listening for the Word which religious carry to the world they would serve. The Navigator A type of spiritual sensibility long associated with the religious move-ment is at the core of this metaphor. To arrive at it, we add to Theodore White's image of the boat bobbing in the mid-Pacific the lore surround-ing certain revered individuals in Polynesian culture known as Naviga-tors. Now gone, these adventurers were the last repositories in their so: ciety of the secrets of open ocean sailing. Without modern navigational instruments, they could make landfall on a tiny dot of coral thousands of miles across the seemingly trackless Pacific. Anthropologists found their basic talent to be an ability to read the movements of the waves. Through a long and spiritually intense initiation, they learned to tell the crucial difference between the surface disturbances and the ocean- 364 I Review Jbr Religious, May-June 1990 spanning bottom currents which led in definite directions, changed head-ings with the seasons, and were deflected as they ran past the archipela-goes that speckled the Southern Seas. From their minuscule platform on the raft, they could judge which of the great ocean waves to follow and which to let roll past. In terms we will use, these were the special ones who could read in the present which movements had the long-range prom-ise and which would not reach the far shore of the future. Joseph Campbell speaks of an analogous phenomenon in other primi-tive societies which today might come under the title recruitment. While undergoing the long initiation to adulthood, one of the adolescents suf-fers a kind of nervous breakdown. He seems to take things too seriously. He does not see reality the way his peers do and is not in step with their pace and general rhythms. Observing this, the elders remove him from the group--and make him their religious leader! Their intuition, says Campbell, is that the youngster is picking up the contours of another world. He is reading signals from a different depth and perceiving a pic-ture of the way the tribe could be when at its very best. In the language of the previous example, this person becomes the tribal navigator, not just in sailing but in all things, because he can discern directions com-ing 'back from the future,' directions which the rest of the clan recog-nizes as valuable and even salvific. In this metaphor, religious are among those special ones with sensi-tivity for what of God's future is just over the horizon. Intuiting the source and goal of the divine good working in the world, their faith vi-sion focuses more on the da~vning of God's presence than on its fruition in the present. To paraphrase Karl Rahner, they are among the first to catch the glimmer of the morning light on the far mountain which will eventually turn into the brilliance of day. ~6 Following him again, these are the eschatologically inciined believers whose intimations of God's grace which comes from beyond the world creates the saving tension with those disciples whose more incarnationa[ faith celebrates the pres-ence of that grace already come. ~v Two signs of the times which in an obverse way recommend the Navi-gator are the sleek idol-making machines of secularism and materialism. To those driven by them, all observable ~:eality is explainable in terms of itself, and things (including persons perceived as things) hold the high ground of ultimacy. To counteract this massive message, there is great need for the relativizer, the individual who cherishes the good of this world but who also spots its incompleteness and inability to save. These are the ones who catch the presence of the world-to-come in the midst hnages of Religious Life / 365 of the world-that-is-here and so can accept the graciousness of the pres-ent while rejecting its different pretensions to absoluteness. Groups who can "name grace''~8 because they know the difference between groundings which are ultimate and penultimate help save a world which too indiscriminately mixes the two. And indeed, has it not always been one of the liberating functions of religion to lead people into places where, in one writer's imagery, "they can transcend the mazeways they have known to glimpse new visions of what may be"?~9 If this metaphor again seems an old friend, it is because it carries strains of both a classic description of religious communities and of a strong trait in the spiritual experience of their founders. Magisterial docu-ments depict religious orders as witnesses to the world-to-come, as fore-tastes of the kingdom's fullness, and as apostles of the transcendent.2° The innovative apostolic strategies of founding women and men sprang from their ability to see the world which hemmed in their contemporar-ies against the backdrop of the better one illuminated by the light of the coming kingdom. The ancestry of religious life is heavily eschatologi-cal. Witness to that faith-dimension is needed in every age but for the reasons discussed above crucially so in this one. The community which images itself as Navigator values discern-ment. As a group it not only spots the religious possibilities and then im-plements them, but lays explicit hold of the power and source of its vi-sion. It is a mobile group, able to roam free, and has a lower than usual need for the security and predictability of set roles. Its critique of the status quo will disturb those less attuned to the future and it will line up more quickly with other visionaries in the world and Church. For all its sensitivity, such a community also has its limits. Naviga-tors can so focus on the land over the horizon that they miss some of the places they travel through in the present. Eschatological types have their eyes on the better world ahead and tend to be impatient with the slow birthing process needed to bring that world to light of day. In the lan-guage of psychology, they can be perfectionistic, enamored of the ideal, and intolerant of development toward it. In theological talk, they are tempted to angelism, imagining they can detour around the process of history instead of laboriously going through it.2~ Often enough, naviga-tors need to be brought back down to the agitated ocean surface and re-learn the wisdom of the journey itself. Enter the next image, a specialist in the art of journeying. The Lean and Light Remnant The title draws the scene for this third metaphor. It is the Israelite 366/Review for Religious, May-June 1990 people on a long and ragged trek across the desert. Their march this time is not toward the new Promised Land but toward their old one, having just been released from their captivity in Babylon and now heading back to rebuild a ruined Jerusalem. They have little to carry because recent slaves do not amass many possessions. They rely on no social standing other than the dubious kind of the refugee. Most telling, because so many of their kin fell off the trail on the way to Babylon or chose to remain behind there, their numbers are hardly the kind to pose a threat to world order. For all that, they are grateful for their station because they have learned from their experience and their prophets that dispossession and pilgrimage have a way of opening hearts to Yahweh. They are the Remnant. Not lamenting their losses nor ashamed of their smallness, they are in some measure even glad for them because these deprivations have proved to be better teachers about what counts before their God than the power they wielded generations ago. These travelers have no preten-sions of overwhelming their world with multitudes or even talent. What they have to offer is what they are constan,tly aware of receiving, the di-vine mercy and sustenance. At best, they see themselves as catalysts, tiny enzymes in a large mass, invisible and unobtrusive. They are satis-fied on the circumference of society because their ordeal has convinced them that circumferences can often enough in God's eyes be near the cen-ter. The fit between Remnant and the orders of the 1990s is the obvious demographic one of diminishment. Not just on the way, smallness is al-ready here. To begin to extol the benefits of shrinkage at such a time could be written off as a kind but unreal attempt to console the dying, a thought which most likely occurred to Babylon-bound Israelites as they heard the same sentiment from their preachers. But to at least some of them, the truth of the claim proved itself over time. That proof is being given again today in a number of testimonies to the spiritual good which can come of vulnerability and powerlessness. One especially forceful witness is given by the liberationists who in their own pragmatic way have unearthed the riches at the margins. The poor evangelize the wealthy, the no-accounts unlock the Gospel's mean-ing for people of consequence, the small, ordinary, and forgotten ones are revealed as standing at the hub of the kingdom's activity. The very meaning of insignificant is transposed. Another more quiet testimony comes from Jean Vanier and his years of living with the handicapped.22 These sociologically most invisible of Images of Religious Life / :367 people have their own ways of making very visible the presence of grace in creation. The precariousness of their existence and their survival-need for the compassion of others lays bare the essence of how it is be-tween God and all of humanity. Such little people, when cared for and allowed to progress on their own terms, turn out to be large gifts to the caretakers. Gospels such as these are advancing the claim that diaspora time is the spiritually best time. Facing the onset of their own smallness, reli-gious communities could do worse than take to heart this winter spiritual-ity. In its bleakness they might come to see another kind of beauty and in its silence a call to a more anonymous style of influencing the world around them. Is this not the climate in which most all orders and con-gregations began? In the desert where smallness reveals itself as bless-ing by keeping the group real, minority status does not allow social and numerical superiority to figure in its estimation of success. Pilgrim com-munities of the coming decades will have both grieved the loss of high visibility and learned better to rely on their own inner experience as sus-tainer and guidepost. Like the tiny band of emigres approaching the out-skirts of Jerusalem, they will recognize their smallness as the lean and light condition which best suits them for the task of building their old/ new city. Scripture experts tell us that when the exiles entered the settlement, they found others already there, both their own who had been left be-hind as well as others who over the decades had wandered in. To move to our final metaphor, we add the following piece of imagination. Because the project of reconstructing the Temple and city would re-quire more arms than these pilgrims could supply, they realized they needed the help of the resident aliens. But the Jews also noted that these foreigners possessed building skills different from their own which might add much beauty to the final product. The New Jerusalem could better be built collaboratively. The last image is at hand. The Square Dance The picture here is of a swirling group, moving to the rhythm of the same tune and the shouts of the one caller. The dancers begin as a single couple, then join larger and still larger circles, change to other partners along the way, then come back to the original two--and repeat the cycle again and again. While at the beginning the steps and switches are a bit ragged and the caller's instructions hard to understand, the promenaders do not drop out because the energy spreading across the floor has caught them. They know best the partners they came with, but they also know 368 / Review for Religious, May-June 1990 how much more dance there is when they can join hands with other cir-cles and be part of the bigger whirl in the room. They trade some of the freedom of couple-dancing for the chance to be part of something larger to which they now know they can contribute. The dance metaphor speaks of new ways for the religious communi-ties to be together, both with themselves and with others. Beginning within the circles of their own congregations, they move out to other prov-inces and communities, to laity, to their natural families, couples, friends outside their order, co-workers, to other Infiltrators, Navigators and Remnants both Christian and non. The image encourages them to listen for the rhythm which matches the cadence of their own religious experi-ence no matter where in society it is sounding. With a graciousness, they let go the hands of the community partners with whom they began so that these too are free to step off into the bigger enterprise. But they are also happy to welcome them back when the time for regrouping comes round again. Each member of the congregation sacrifices some independence, convinced that the overall cause is worth the initial unsettlement and risk. The sign of the times for Square Dance is quite simply its present existence. Many congregations have already moved the borders on their maps of inclusion. Associates, service corps, laymission extensions, in-terprovincial apostolates, joint ventures by men's and women's branches of the same order all testify to the shifting sense of what it means to be-long. If the initial enthusiasm for widening circles produced some overly fluid boundaries, it did enlarge perceptions of membership. This stretch-ing permitted groups to recognize certain natural allies outside their walls who were in effect anonymous carriers of the community charism. A more recent attempt to strike a better balance between centrifugal and cen-tripetal forces has sought to tie tighter but still flexible bonds between the members. One fine instance is the recent essay by George Wilson which tracks the sharp change in attitudes of Jesuits about inclusion.-~3 The image of a single closed circle embracing all the spiritual, profes-sional, familial, apostolic, and even recreational aspects of communal life has largely been supplanted by another of many smaller circles, some not connected to each other and most tellingly not to the Jesuit one. Be-longing no longer means fitting everything inside the one ring of total community but rather negotiating between the different circles (for ex-ample, professional societies, local living group, non-Society friends both male and female, the world Jesuit fellowship, and so forth), espe-cially between those of one's primary and secondary commitments. hnages of Religious Life / 369 Useful as it is on the intra-community level, a Square Dance model also serves the wider society, Any truly collaborative venture on behalf of issues other than the group's self-preservation is a prophetic word to a culture so tilted away from the ability to cooperate by the weight of individualism. And could it not also be that arguments within religious communities themselves against widening the circle (phrased at times as the loss of needed autonomy or dilution of our special spirit) are partially an echo of the privatist bias in the wider society? Whatever the case, the move to collaborate for reasons beyond self-interest is not only evangeli-cally countercultural, but hearkens back to that surrender to something greater which gave rise to the religious movement in the first place. People of the Square Dance have a mind for the communal. The op-posite of in-house types who require the safety of same-sex, walled-off environments, they still maintain primary loyalties to their own, Their toleration for fluidity in boundaries is high. They have opted to learn ne-gotiation between different memberships rather than to close ranks around the one. This insight that collaborative communities are in a position to infil-trate the individualistic culture completes the circle. The Square Danc-ers widen the Remnant's sphere of influence. Both look to the Naviga-tors for the source and direction of their projects. And all three join in the Infiltrator's attempt to bring the depth of the kingdom to the shallow places of the world. It is time to conclude. Conclusion Nearly twenty years ago when reflecting on the spirituality of the fu-ture, Karl Rahner predicted that whatever forms it takes, it "will remain the old spirituality of the Church's history."24 He meant that even though the relationship between the different parts of Christian existence will shift, its essential elements (for example, adoring the incomprehensible God, following the suffering and triumphant Lord, protesting the world's forms of wealth, power, and pleasure, living within the Church, and so forth) will remain. In a somewhat reverse way, the same holds true for the different images of religious life with which we have been playing. These paradigms do not submerge those components which the recent Vatican document termed "Essential Elements,''25 but they do recon-figure them. Communal living, for instance, is linked to mission in a much different way in a Square Dance framework than it had been in more tightly inclusive forms of the Augustinian one-heart-and-one-spirit tradition. It is precisely that repatterning which makes all the dif-ference. For it allows religious the suppleness not only to set new courses 370 / Review for Religious, May-June 1990 by the waves of the future moving past them, but also to take conscious advantage of the momentum those waves contain. To return to Rahner, religious life will and will not remain the same. Its refounders are those people who through freshly imaging its possibilities will keep the reli-gious movement intact and at the same time reshape it into its most us-able form for the coming age. The overall interplay between the images seems an apt point on which to conclude. The Remnant calls the Infiltrator to remember the hum-ble conditions under which the message is given; the Infiltrator in turn cautions the Remnant against enshrining smallness as a value unto itself. The Navigator supplies the direction for the Infiltrator; the Infiltrator pow-ers the boat which the Navigator might be content only to steer. All three are vitalized by community living, but now expanded into its Square Dance form. Our attempt has been to suggest culturally relevant paradigms which might anchor 'newly emerging syntheses for religious life. If these par-ticular ones do not speak to individuals or communities, they might at least trigger the power of other imaginations to discover even deeper ly-ing metaphors which can again hold the center for this ancient and ever new blessing in the Church. NOTES ~ Thomas Clark, "Religious Leadership in a Time of Cultural Change," Religious Life at the Crossroads, David Fleming, ed. (New York: Paulist Press, 1985), p. 169. 2 In Search of History (New.York: Harper and Row, 1978). 3 Habits of the Heart (New York: Harper and Row, 1985). 4 The Emerging New Class (New York: The Pilgrim Press, 1986). 5 "Religious Life Of The Future," Origins, Sept. 22, 1988 (Vol. 18, no. 15) pp. 234-239. 6 For a general sketch of this school and its leading proponent, Jaques Derrida, see Religion and Intellectual Life, Wint
La importancia de esta investigación se plantea desde la estrategia de comunicación para la ejecución de un proyecto de diseño de mediana complejidad para el mercado digital, como elemento fundamental para plantear el diseño de estrategias de comunicación y análisis de datos, que se ajusten a las necesidades y el presupuesto de la empresa.
Partiendo desde un análisis del mercado en la comparación de precios, diseño web, estrategias de comercialización y publicidad que permitan a emprendimientos y pequeñas empresas conseguir llegar a nuevos mercados evitando intermediarios.El poder llegar directamente a sus clientes en el mercado de usuarios de internet le permitan analizar y buscar los estímulos en el proceso compra, tratando de entender la configuración mental o el comportamiento de compra de los usuarios a través de la experiencia con la comunicación e interacción en el sitio web.
El proceso de compra por internet a cambiado la relación con el mercado tradicional de venta de productos y servicios, dando una nueva dinámica a las relaciones de las personas en el manejo de los medios de comunicación y los comportamientos de consumo ofrecidos por el desarrollo constante de la tecnología aplicada en internet, con la facilidad de comunicación que dan estas interfaces necesarias para el desempeño de las empresas y los usuarios en sus interfaces auto gestionadas como los correos electrónicos, buscadores, redes sociales y portales de comercialización.
El capítulo uno hace una introducción al fenómeno de la sociedad de la información y la manera como se está gestionando los procesos tecnológicos con el desarrollo macro estructural de la empresas al nivel de los factores externos que puedan influenciar su rendimiento.
El segundo capítulo se trabaja sobre el micro entorno, donde se definen los conceptos y diferencias entre la publicidad tradicional y publicidad en internet, profundizando en los espacios publicitarios que brinda internet a sus anunciantes y la capacidad de segmentación que brindan al poder medir el comportamientos de los usuarios en internet.
El capítulo tres busca documentar el fenómeno de las nuevas plataformas de comunicación en internet y la diferenciación de la publicidad tradicional, definiendo el uso dado a cada una de estas plataformas utilizadas en internet, detallando cuales son las más sobresalientes en el mercado online en este caso el elección de buscador Google con respecto a los otros medios como: las redes sociales, foros, plataformas de comercio. Analizando el uso que hace el internauta argentino de estos medios online en cuanto acceso a internet, consumo de medios, comercio electrónico y la diferenciación en la identidad adquirida de la publicidad tradicional con respecto a la publicidad online.
El capítulo cuarto es la investigación por medio de entrevistas realizada a los especialistas del proyecto de cuentas nuevas de Google AdWords, especialista en el desarrollo de PYMES y especialistas en estrategias de publicidad, documentando el comportamiento del marketing online en el surgimiento del consumo de la publicidad online en Buenos Aires Argentina, como parte fundamental del diagnóstico.
En el quinto capítulo se analiza la publicidad como medio de comercialización para PYMES y su capacidad de innovación y mejoramiento de productos y servicios en los procesos de comercialización al llegar cliente de forma directa. Se analiza el fenómeno del nuevo concepto de marketing digital creado por Google donde el usuario recibe estímulos publicitarios que lo llevan a tomar la decisión de compra, la diferenciación de estrategias de posicionamiento y comunicación orgánica y patrocinada en Google AdWords y en la red de YouTube. Se diseña un Plan estratégico para la aplicación de publicidad patrocinada a una estrategia de posicionamiento en motores de búsqueda para las PYME, por medio de un caso real de éxito de una PYME en Bogotá-Colombia.
Además, se muestra el seguimiento de las campañas de Google AdWords y los distintos tipos de estrategias y análisis que se puede lograr con las herramientas diseñadas para la optimización de sitios web y campañas de Google AdWords, al igual que la capacidad del diseño de las estrategias de comunicación en móviles y en el seguimiento de posibles clientes con estrategias de publicidad en Remarketing.
El periodo escogido para esta investigación fluctúa entre el año 2011 al 2013, periodo donde se identifica parte de la creación de la operación tercerizada de Google y el análisis de estudios que versan sobre el crecimiento de la publicidad online de Internet en Buenos Aires.Estado del arte
Cabe destacar que uno de los antecedentes más interesantes para comprender el auge de la publicidad en Buenos Aires reside en la elección de Argentina como país presidente de la Comisión Interamericana de Ciencia y Tecnología durante el período de 2008 al 2009, el país propone y coordina proyectos y actividades de cooperación entre países miembros. Para esto, se recogen estudios e índices que se vinculen con el uso y desarrollo del Internet, y tras el análisis de esos estudios, se comparan con los índices de otros países latinoamericanos, pese a la minuciosidad del trabajo, aun no existe ningún estudio que establezca la dinámica mediante la cual las PYMES se relaciona con las plataformas de publicidad online. Por esta razón, se decidió realizar una investigación que realice un análisis del uso de la plataforma auto gestionada Google AdWords por parte de las PYMES en la ciudad de Buenos Aires durante el período 2011-2013.
Dados los fines de investigación del fenómeno de la publicidad online, el estudio se enfocará en un estudio aplicado a especialistas que se vinculen con la operación que realiza la Agencia Atento para Google desde el año 2011 en Argentina. Este estudio se reforzará con una entrevista de preguntas abiertas, tomando una muestra del marcado y considerará a un grupo de ambos géneros, mayores de 18 años y que residen en la capital porteña. Las entrevistas tendrán como finalidad encontrar el público más idóneo con el manejo de la plataforma de Google AdWords y cómo ésta se vincula con las PYMES.
A su vez, este trabajo se ubica dentro de las líneas Temáticas de nuevas tecnologías, medios y estrategias de comunicación, identificando la importancia que tienen éstas en la cotidianeidad gracias a las innovaciones creativas que introducen al área del diseño y la comunicación como herramientas de trabajo que permiten explorar otros lenguajes, que aportan a la renovación de los modelos organizativos de las empresas, junto con movilizar la dinámica del consumo de bienes y servicios.
De esta forma, se puede indicar que el tema de esta investigación nace a partir de una inquietud natural de todo aquel que ya se siente preparado para enfrentar el mundo profesional del diseño y considerarlo desde otros puntos de vistas, como la creación de planes estratégicos que contribuyan al desarrollo de nuevos campos del conocimiento.
Así, se puede precisar que, tras una vinculación laboral dentro del desarrollo de la publicidad online, esta investigación ha logrado identificar la necesidad de analizar el uso que hacen las PYMES de la publicidad online como un medio de comunicación auto gestionado a través de interfaces virtuales que le permiten crear y medir su propia comunicación, por medio de una planificación estratégica a nivel de los medios tradicionales de comunicación que permita sopesar las altas inversiones que requiere la publicidad tradicional en televisión, radio, revistas y prensa, supliendo la necesidad de comunicación con interfaces que le permiten personalizar la comunicación segmento de mercado hacia el cual se dirige sus productos o servicios.Teniendo en cuenta las herramientas precisas y desarrollando una planificación inteligente y perspicaz, se logra un impacto mayor, que deriva en un crecimiento económico para la empresa en cuestión. De esta forma, se desea exponer los beneficios que ha tenido el uso de Internet para generar una dinámica de consumo que permita un crecimiento rentable y sostenible.Aspectos metodológicos
El proyecto aplica el método de investigación descriptivo, porque examina las características del problema escogido, se definen y formulan las hipótesis y los procesos adaptados, por medio del diagnóstico del comportamiento de las PYMES respecto a la publicidad online, por medio de entrevistas a funcionarios, desde 2 puntos de vista, el de las agencia Atento Google quienes conocen a fondo la realidad de las necesidades y problemas de las PYME y desde el punto de vista del director de desarrollo y PYMES de la Bolsa de Comercio de Buenos Aires. El proyecto busca el porqué de los hechos mediante el establecimiento de relaciones causa-efecto. En este sentido, se analizan los efectos del diagnóstico, como los efectos de la investigación experimental realizada en las entrevistas, presentación del caso y del plan estratégico para probar la hipótesis. Sus resultados y conclusiones constituyen el nivel más profundo de conocimientos.
Incluye la explicación del problema y la deducción de los resultados de las entrevistas y el diseño del plan estratégico como solución tanto a las PYME como a los profesionales en diseño y comunicación en manejo de campañas online en Google Adwords.Hipótesis
La hipótesis propone que el uso de Google AdWords tuvo un crecimiento sostenido por parte de las PYMES de la Buenos Aires Argentina entre el año 2011 y 2013, con bajo rendimiento en los resultados esperados respecto a su inversión en campañas publicitarias, debido a la falta de capacitación en el uso de la interfaz Google AdWords, de conocimiento en la segmentación del público objetivo y la falta de seguimiento y control de las campañas publicitarias online, por lo anterior se formula la siguiente pregunta: ¿Cómo incorporan las PYMES en la ciudad de Buenos Aires, Argentina, las exigencias que han surgido con las nuevas formas tecnológicas de publicidad en internet y específicamente en el caso de Google AdWords? En este sentido, la hipótesis de esta investigación se basa en el gran crecimiento que tuvo el uso de Google AdWords por parte de las PYMES de Buenos Aires, pero que obtuvo bajo rendimiento en los resultados esperados respecto a su inversión en campañas publicitarias. Así, esta investigación considera esta relación inversamente proporcional, debido a la falta de capacitación en el uso de la herramienta Google AdWords, en la falta de conocimiento de la segmentación del público objetivo y la falta de seguimiento y control de las campañas publicitarias online.Objetivo general
Como objetivo general se busca analizar el comportamiento publicitario online de las PYMES en Buenos Aires Argentina a través de la herramienta Google AdWords, durante el periodo 2011-2013.Objetivos específicos
Los objetivos específicos proponen indagar las ventajas y desventajas comparativas que ofrece Google AdWords para los diferentes clientes PYMES frente a otros sistemas de publicidad online; analizar las formas de segmentación de las plataformas publicitarias online y las utilizadas por Google AdWords para promocionar los productos y servicios de la PYMES; conocer las dificultades más frecuentes y los modelos de capacitación que tuvieron los PYMES de Buenos Aires Argentina en el uso de Google AdWords; diagnosticar el Micro y Macro entorno de las Pymes de Buenos Aires - Argentina en el uso de la publicidad online; y diseñar un plan estratégico de diseño y comunicación para que las Pymes puedan aplicar la plataforma Google AdWords de una forma fácil y estructurada, con el fin que tanto las Pymes como los profesionales con maestría en Diseño y Comunicación puedan implementarlo, por medio de un caso de éxito.Antecedentes
Para efectos de esta investigación, se tiene en cuenta que la herramienta de Google AdWords es un medio de comunicación y publicidad online nuevo en el mercado Latinoamericano, ya que es países como España y Estados Unidos, tienen procesos de comercialización por internet avanzados y a gran escala. Por esto, para el caso en Buenos Aires Argentina se realiza un análisis desde los inicios de los años 90s, donde un grupo de físicos encabezado por Tim Berners-Lee creó el lenguaje HTML y luego el WWW -Word Wide Web- y generó nuevas facilidades de interconexión y herramientas gráficas amigables. Han pasado casi 22 años y la importancia de las TIC's (tecnologías de la información y la comunicación) es cada vez mayor, incluyendo el desarrollo en las redes sociales, que parte desde los diferentes procesos de manejo de la información en su producción, circulación y utilización, que se ha basado en diferentes conocimientos científicos, empíricos, subjetivos, prácticas sociales e instrumentalismo acerca del desarrollo de la información y la comunicación en la realidad, política, cultural y económica desde un contexto social tecnológico, en el cual se encuentran la información con la comunicación.
Manuel Castells afirma que "La Era de la Información" es nuestra era (Castell, 2007): "Es un periodo histórico caracterizado por una revolución tecnológica centrada en las tecnologías digitales de información y comunicación, concomitante, pero no causante, con la emergencia de una estructura social en red, en todos los ámbitos de la actividad humana, y con la interdependencia global de dicha actividad. Es un proceso de transformación multidimensional que es a la vez incluyente y excluyente en función de los valores e intereses dominantes en cada proceso, en cada país y en cada organización social. Como todo proceso de transformación histórica, la era de la información no determina un curso único de la historia humana; sus consecuencias, sus características dependen del poder de quienes se benefician en cada una de las múltiples opciones que se presentan a la voluntad humana. Pero la ideología tecnocrática futurológica trata de presentar la revolución tecnológica, la ley del mercado, se refuerza la una a la otra. En ambos casos, desaparece la sociedad como proceso autónomo de decisión en función de los intereses y valores de sus miembros, sometidos a las fuerzas externas del mercado y la tecnología".Internet se convierte en un fenómeno masivo a nivel mundial donde se crea un gigantesco centro comercial virtual, de tiendas que están abiertas las 24 horas del día, 7 días a la semana, 365 días al año, que permiten el libre acceso de todas las personas que tengas acceso a la red. Existen tiendas que venden de todo: productos, servicios, ideas, creencias, contactos, en fin es un centro comercial donde sólo algunos clientes saben a qué tienda van, mientras que la mayoría, para no perderse, pide ayuda en un stand a la entrada que dice "buscadores". (Ordozgoiti, 2010, p. 17)Este espacio creado por la Internet no solo propició una comercialización masiva, sino que también permitió innovar en las relaciones interpersonales, diseños web personalizados, nuevos modelos de negocio, nuevas formas de publicidad y nuevas formas de comunicación a través de redes sociales. En la actualidad los usuarios conocen gente, intercambian opiniones, comparten experiencias, compara precios, productos y calidad, se compra y se vende, y la gente se siente como en su casa, por lo cual no desea ser molestada (Ordozgoiti, 2010, pp. 17-18).
De esta forma, se puede ver cómo el desarrollo de Internet y la evolución sostenida de las TIC impusieron una modificación ineludible de los procesos de comunicación entre los hombres, mujeres y niños de cada país de Latinoamérica. Son cada vez más las personas que utilizan la web como plataforma para la búsqueda de información, el entretenimiento y la interacción con otros individuos. En Argentina según el diario La Nación (Julio, 2013), el crecimiento de la publicidad –online– es importante, puesto que ha superado considerablemente a la publicidad en medios tradicionales. En el año 2010, la web se consolida como medio publicitario de amplia relevancia en Argentina, creciendo un 49.5% respecto de 2009 y superando en 528 millones de pesos la inversión efectuada en los diarios y la televisión.
En 2011, los pronósticos que estimaban un crecimiento del 40%, la publicidad –online– creció un 117%, facturando 1147 millones de pesos, pasando al 3º puesto entre los medios más demandados (Crettaz, 2012). Se atribuye este crecimiento principalmente al cambio de hábito en el consumo de medios por parte del público argentino.
Los cambios generados por Internet y su vertiginoso crecimiento, han llevado a las empresas a replantear sus modelos de negocios e incorporar estrategias basadas en los medios –online–, lo que se ha visto apoyado por el cambio de costumbres, hábitos de información, comunicación y consumo de los usuarios. El novedoso fenómeno comunicacional que es Internet, también ha tenido etapas de grandes cambios que se trasladaron inmediatamente a empresas y usuarios. La banda ancha y la web 2.0 y el surgimiento y ascenso de Google, simplificaron el acceso y la navegación, así como los niveles de creación y participación de los usuarios. Por su parte, la banda ancha permitió que los usuarios pasaran más tiempo navegando y la web 2.0 dio acceso a los usuarios a herramientas de uso relativamente sencillo, debido a su diseño focalizado en el usuario. Con estas herramientas, el usuario puede crear y compartir contenidos que se suban a la red, gestionando sus propias redes sociales o utilizando plataformas como Facebook o Twitter para compartir opiniones, conocimiento, contenidos e información. Desde esta perspectiva, los nuevos modelos de publicidad, dilucidaron nuevas oportunidades de negocios dentro de esta participación activa del usuario en el Internet, debido a que eran los mismos usuarios quienes daban cuenta de sus gustos e intereses, información sumamente valiosa para las empresas.
La nueva facilidad en la información creó un mercado o ventana de visualización para las empresas ofertantes, beneficiándose de aquella información obtenida de los propios usuarios denominados nuevos modelos de investigación de mercados y de consumo del usuario. Algunas de empresas han hecho grandes esfuerzos para posicionar la promoción de sus servicios y productos en miles de páginas web y blogs a través de publicidades en Google, Facebook, YouTube, MercadoLibre, Taringa y otros, para que dichos usuarios puedan satisfacer sus necesidades de manera rápida desde cualquier lugar. Estas tendencias hacen a la publicidad online cada vez más accesible y rentable.
Desde este contexto mencionado, ha llevado al ámbito empresarial argentino y latinoamericano de pequeñas y medianas empresas –PYMES– a replantearse sus estrategias de marketing y comunicación, debido al gran potencial que propicia hoy en día el Internet para poder tener un acceso mucho más fluido a las nuevas tendencias, permitiendo delimitar las nuevas posibilidades que tiene la empresa dentro del mercado. Así, se demuestra cómo Internet tiene que ser estudiado de manera consciente, puesto que se constituye en una fuente creciente de difusión de bienes y servicios. En este sentido, la posibilidad de las empresas no solo tienen ser considerada por las grandes corporaciones, sino que, sobre todo, por aquellas PYMES y comerciantes que están comenzando sus emprendimientos, puesto que Internet les ofrece la posibilidad de visualizarse de manera fácil y económica. Lo importante, es tener una planificación estratégica que permita reconocer cada una de las fortalezas del producto o bien a ofrecer.
En las etapas iniciales de Internet en las década de los ochenta, los modelos de negocio online requerían de una importante inversión inicial, pero el escenario se vio profundamente modificado por las interacciones de Google, la banda ancha y la intervención de la web 2.0. Según (Zanoni, 2008) "Google cambió todo, en 1999 Google era irrelevante y hoy domina Internet. Este hecho tiene efectos fenomenalmente relevantes. En 1999, para lograr tráfico masivo hacia un sitio era necesario hacer publicidad masiva y para eso era necesario mucho capital, millones de dólares". Por esta razón, Google en parte fue el gran responsable de la dinamización y circulación de las ofertas dentro de la red. Es tan potente que puede ayudar a una empresa a que se posicione rápidamente. Lo importante es que ésta tenga una página web bien construida para que la empresa logre indexar el contenido (lo cual se realiza por medio de la herramienta Webmaster tools y Adsense, de esta manera comienza a generar divisas o clientes en la red).
El éxito obtenido a través de la popularidad del buscador de Google desde su lanzamiento en septiembre de 1998 llevó a la empresa a replicar su eficiente modelo de indexación (o formato de ordenación de información para elaborar posteriormente su índice) como medio de publicidad para cualquier anunciante. Bajo esta premisa nace Google AdWords una interfaz que permite a sus usuarios crear sus propias campañas de comunicación en el año 2000 como su sistema de publicidad online auto gestionado, que relaciona las palabras clave usadas por los internautas con anuncios patrocinados relacionados a la búsqueda. Este modelo es desarrollado a partir de las ciencias de la información, área del conocimiento encargada de la gestión y organización del conocimiento, así como la indexación de la información en los sistemas de bases de datos que usando los análisis de los buscadores o querys, usan los tesauros o palabras claves para identificar y organizar la información dentro del sistema de buscador de Google, la base del sistema es conocido como page rank. Las herramientas y facilidades que brinda Internet han sido rápidamente captadas por los usuarios, quienes las han adoptado para sus actividades de consumo. Este fenómeno se ha visto profundizado por las sucesivas crisis y distintas recesiones que muchas economías del mundo han sufrido estos últimos años, lo que ha permitido sacar provecho la a información directa sobre proveedores, marcas, precios, productos y servicios, establecer comparaciones y aún efectuar la compra desde la comodidad de su hogar, o desde su teléfono inteligente, sin necesidad de un intermediario. Esto ha llevado a afirmaciones como la realizada por la comunidad de emprendedores Red innova "Salir de la crisis económica pasa por emprender y más concretamente, por emprender en el entorno digital" (Diario informático, 2012). Se puede afirmar así, que los medios elegidos tradicionalmente para publicitar como la televisión, la radio o la gráfica han perdido la hegemonía que poseían entre las preferencias de los potenciales consumidores. Esta situación obligó a las empresas a gestionar nuevas estrategias para captar y retener sus clientes.
Fue así como apareció el concepto de Marketing online. Este fenómeno comunicacional ha cambiado el modo en que se consume, puesto que permite resolver con mayor velocidad las necesidades, además de contar con información cada vez más precisa y detallada sobre los servicios y productos disponibles para los consumidores, también permite combinar la información online, con actividades offline, como acercarse a la tienda más cercana al lugar en el que el usuario realiza la búsqueda y que provea el servicio o producto que éste está dispuesto a comprar. Así, el Internet se convierte en una herramienta de venta fundamental para el éxito de las empresas y marcas, y la publicidad juega en ello un rol indispensable: ser visible en Internet es un factor clave de éxito. Así mismo las nuevas formas del diseño en la publicidad, pues adquieren nuevos parámetros, estilos, estructuras.
La evolución tecnológica no solo genera cambios en los usuarios sino que también en la forma en que se realiza publicidad y es por causa de este dinamismo incesante que la información resulta indispensable para elaborar estrategias comunicacionales acertadas que permitan conocer profundamente al público objetivo, por lo que conocer sus conductas online, sus necesidades, expectativas y preferencias en materia publicitaria, resulta cada vez más necesario, en un contexto de rápidos cambios, alta competencia y de nuevas oportunidades, tanto para las grandes corporaciones, como para las pequeñas empresas. Cabe detenerse en la nueva posición en la que se encuentran las empresas al momento de vender sus productos. Los usuarios de Internet cuentan con una herramienta que les permite obtener con facilidad información sobre un determinado producto o servicio, comparando las ventajas que les ofrecen las diversas marcas. De esta manera, la competencia entre las empresas se intensifica, induciéndolas a presentar sus productos con creatividad e inteligencia a los diversos públicos objetivos.
Ante tal situación, se percibe que las condiciones de éxito empresarial están condicionadas por la manera en que se capitalizan las herramientas que provee Internet. Las reglas del juego para competir en el mercado se han modificado, y todo parece indicar que quien no se adapte a ellas terminará perdiendo en rentabilidad y crecimiento económico.
Como se dijo anteriormente, esta realidad no solo tiene que ser consideradas por las grandes empresas, dispersas por el mundo entero, sino que también por las pequeñas y medianas (PYMES). Es importante enfatizar que el uso adecuado de la web exige a las empresas contar con un equipo dedicado exclusivamente a esta tarea. De aquí la importancia de un departamento de marketing digital. Sin embargo, el presupuesto y estructura de las PYMES no se ajusta a tal requerimiento, no cuentan con el personal suficiente para distribuir las tareas tal como se desearía, haciendo muchas veces que una misma persona ejecute diversas funciones. En estas condiciones, se hace más difícil estar atentos a las condiciones cambiantes del mercado y capacitarse para responder a dichas exigencias.
The dissertation focuses on multiple (or parallel) proceedings in private international litigation. In international civil disputes it is not unusual that jurisdiction for a particular dispute exists in several countries. In that case, each party may be tempted to start litigation in the forum most favorable to it, for example to take advantage of the forum's more generous recovery rules or the extended possibilities of discovery. Similarly, one party can also choose to initiate proceedings in different countries for the same dispute. The question arises how the legal systems involved will and should deal with such 'multi-fora' disputes. The first question addressed is whether and to what extent the international legal community should strive to prevent and/or eliminate such duplicate proceedings. It is undubitable that multiple proceedings could lead to undesirable consequences, such as conflicting judgments. Concurrent jurisdiction also brings about a waste of (scarce) judicial resources, and unnecessary expenses for the litigants. To prevent altogether parallel proceedings from happening however, seems at best utopic or even dangerous. Even if the international community were to achieve a global agreement on a comprehensive set of jurisdiction rules, one cannot imagine that there rules would designate one and only one court for each particular dispute. The desire to concentrate jurisdiction for all related disputes in the hands of one court is indeed but one of the numerous factors influencing the allocation of jurisdiction in international matters. The dissertation therefore undertakes to study the rules and instruments that can be used to resolve parallel litigation once multiple proceedings have been issued. The study learns that courts can adopt a variety of attitudes when faced with parallel litigation. A legal system can decide to ignore altogether the fact that a foreign court is seised of parallel proceedings, relying on the res judicata effect of the first decision to be rendered. It can also decide to abstain from taking up the case in deference to the foreign proceedings. Finally it can try to put an end to the parallel proceedings, by enjoining a party from further proceeding before the foreign court. After an in-depth analysis of these different policies and of the various rules and instruments in which they are embodied, my conclusion is that the preference should be given to mechanisms whereby one court voluntarily declines jurisdiction in favor of the other. The preference I express for a mechanism of 'international abstention' is however qualified. Whether or not a court declines jurisdiction in favor of a foreign court, will depend inter alia on the confidence it has that justice will be done in the foreign forum. Even with a minimum level of trust and confidence between jurisdictions, the abstention rule can follow different models, from the continental lis alibi pendens rule, which offers almost automatic priority to the court first seised, to the common law doctrine of 'forum non conveniens', where priority goes to the more appropriate forum. Between these two extremes lies a world of nuances. The dissertation therefore attempts to formulate an abstention rule which will reconcile these seemingly opposed visions and explain in which circumstances and under which conditions a court should or can decline jurisdiction in deference to litigation pending before a foreign court. ; Het onderzoek handelt over parallelle procedures in het internationaal rechtsverkeer. Met parallelle procedures - in de Engelse terminologie bekend als multi fora litigation - worden procedures bedoeld die éénzelfde geheel van feiten betreffen en tegelijkertijd - of opeenvolgend - voor twee (of uitzonderlijk meer dan twee) gerechtelijke instanties in verschillende landen gevoerd worden. Spaakgelopen huwelijken tussen echtgenoten van verschillende nationaliteiten vormen vaak de voedingsbodem voor het voeren van parallelle procedures : dikwijls zal een echtgenoot de echtscheiding voor de rechter van de echtelijke verblijfplaats vorderen, terwijl de andere, die naar zijn/haar thuisland teruggekeerd is, daar eveneens gerechtelijke stappen zal ondernemen met het oog op de ontbinding van het huwelijk. Beide echtgenoten zullen vanzelfsprekend de fout in elkaars schoenen schuiven en de echtscheiding ten laste van de partner vorderen. Hierdoor worden twee gerechtelijke instanties gevraagd om zich parallel, en in concurrentie met elkaar, over hetzelfde geschil uit te spreken. Parallelle procedures komen ook in de internationale handel voor, bijv. wanneer een kooptransactie tussen ondernemingen gevestigd in verschillende landen fout loopt : indien de koper beweert dat de geleverde goederen gebrekkig zijn, heeft hij vaak de mogelijkheid om schadevergoeding te vorderen van de rechter van het land waar de levering plaatsvond, terwijl de verkoper anderzijds de rechter van zijn eigen land kan vragen te verklaren dat de goederen conform zijn of nog betaling van de koopprijs eisen. 2 Het is onmogelijk gebleken om precieze statistieke gegevens te vinden over parallelle procedures in het internationaal rechtsverkeer. Aldus kan niet met zekerheid worden gesteld dat dergelijke procedures meer en meer voorkomen – zoals nochtans vaak beweerd wordt. Wel kan worden vastgesteld dat concurrerende procedures géén recent fenomeen zijn. Reeds in 1895 heeft het Institut de Droit International zich over dit probleem gebogen. De eindresolutie van het Instituut bevatte een sterke aanbeveling naar de Staten toe om de exceptie van internationale aanhangigheid te aanvaarden. De belangstelling voor dit fenomeen is sedertdien niet verdwenen, getuige hiervan de keuze van de Internationale Academie voor Rechtsvergelijking om het onderwerp in 1994 te bestuderen. Ook in de schoot van de Haagse Conferentie voor het internationaal privaatrecht heeft het onderwerp de nodige aandacht gekregen, met name in het kader van de lopende onderhandelingen die tot een nieuw Haags Executieverdrag (zouden) moeten leiden. De litispendentieregel en de forum non conveniens-leer – twee instrumenten die een belangrijke rol in de oplossing van parallelle procedures spelen, waarover meer infra – werden tijdens deze onderhandelingen het voorwerp van lange besprekingen, die tot een bijzonder vruchtbaar compromis geleid hebben. 3 Binnen één rechtssysteem kan de pluraliteit van procedures op een vrij eenvoudige manier aangepakt worden. Het Belgisch recht voorziet bijv. in een (gesofistikeerde) litispendentieregeling, waardoor parallelle procedures voor één enkele rechtbank geconcentreerd (kunnen) worden (artt. 29 en 565 Ger.W.). Daarnaast belet de exceptie van gezag van gewijsde (artt. 23 t.e.m. 28 Ger.W.) dat een reeds beslecht geschil opnieuw aan de rechter voorgelegd wordt. Het Belgisch recht bevat tenslotte een opvangbepaling voor de uitzonderlijke hypothese waarin, ondanks de twee reeds aangehaalde rechtsfiguren, onverenigbare uitspraken het licht zouden zien (bijzonder rechtsmiddel van de herroeping van het gewijsde - art. 1133, 3° Ger.W.). Op internationaal vlak ontbreekt vooralsnog een sluitende regeling voor parallelle procedures. De meeste Staten beschikken wel over specifieke regels waarmee hun rechtbanken op conflicterende procedures kunnen reageren; tevens bestaan er op regionaal niveau, en in het bijzonder binnen de Europese Unie, afspraken over het lot van parallelle procedures. De coördinatie tussen deze verschillende regelingen is evenwel zoek. Het onderzoek had precies tot doel de bestaande regels kritisch door te lichten en voorstellen voor verbetering te formuleren. Daarbij werd vooral aandacht besteed aan de formulering van algemene beginselen, die niet louter tot één rechtsstelsel of juridische traditie beperkt zijn. It takes two to tango : conflicterende procedures zijn ex hypothesis niet tot één land beperkt. Bij het uitwerken van mogelijke oplossingen moest derhalve rekening worden gehouden met de bruikbaarheid en de aanvaardbaarheid ervan voor meerdere rechtssystemen. Het doel zelf van het onderzoek, beginselen formuleren die de overtuiging van een groot deel van de internationale gemeenschap kunnen wegdragen, heeft op een bijna natuurlijke manier geleid tot het bestuderen van meerdere rechtssystemen. Het internationaal privaatrecht, dat gericht is op de coördinatie van het door rechtsverscheidenheid geplaagde internationale rechtsverkeer, is trouwens op een natuurlijke wijze aangewezen op rechtsvergelijking als bron van internationale rechtsvorming. Bovendien ben ik snel tot de conclusie gekomen dat het rechtsdenken over internationale parallelle procedures, en in het algemeen over internationaal procesrechtelijke vragen, in België nog steeds te weinig ontwikkeld is.1 4 Uitgangspunt van het onderzoek was dat de pluraliteit van procedures in het internationaal rechtsverkeer niet wenselijk is. Parallelle procedures kunnen immers tot tegenstrijdige uitspraken leiden, bijv. omdat beide rechtbanken op basis van verschillende rechtsregels oordelen, of hetzelfde feitelijke begrip - het 'belang' van het kind - anders benaderen. Onverenigbare beslissingen zijn niet alleen schadelijk voor het ideaalbeeld van de rechtspraak; ze kunnen ook aanleiding geven tot netelige problemen bij de concrete uitvoering van de uitspraken. Parallelle procedures leiden weliswaar niet automatisch tot tegenstrijdige uitspraken, doch dit gevaar kan niet genegeerd worden. Bovendien brengt het voeren van parallelle procedures een niet te verwaarlozen verspilling van tijd en geld voor de procespartijen met zich mee, alsook voor de rechtbanken die ze hiervoor aanspreken – dit terwijl het gerechtelijk apparaat van de meeste landen reeds overbevraagd is en over onvoldoende middelen beschikt om aan de minimale vereisten van een snelle en efficiënte rechtsbehandeling te voldoen. Daarom werd het onderzoek opgevat met als doel een oplossingsmodel voor te stellen waarmee parallelle procedures tot een minimum beperkt kunnen worden. Hiervoor werden twee denksporen onderzocht. In eerste instantie werd de mogelijkheid onderzocht om het ontstaan van dergelijke procedures van meetaf aan te vermijden. Naast dit preventief luik werd ook gewerkt rond de mogelijkheid om een einde te maken aan reeds ontstane conflicterende procedures. 5 Parallelle procedures kunnen alleen verklaard worden doordat het forum voor de uitkomst van het geschil geen neutraal gegeven is. Ook m.b.t. de keuze van de rechter staan de belangen van de procespartijen immers tegenover elkaar.2 Het belang van het forum voor de uitkomst van het geschil is slechts de eerste oorzaak van conflicterende procedures. Parallelle procedures zijn verder slechts mogelijk omdat partijen voor een zelfde of aanverwante geschillen verschillende rechterlijke instanties kunnen aanspreken. Voor een groot aantal grensoverschrijdende geschillen zijn meerdere Staten immers vaak bereid de deuren van hun gerechten tegelijkertijd te openen. Hierbij moet niet alleen aan het eenzijdig karakter van de nationale bevoegdheidsregelingen gedacht worden – in beginsel bepaalt elke Staat eenzijdig onder welke omstandigheden zijn gerechten bevoegd zijn om van een internationaal geschil kennis te nemen, hetgeen betekent dat de hierdoor resulterende bevoegdheidsgronden niet noodzakelijk op elkaar afgestemd zijn. Zelfs wanneer de Staten d.m.v. verdragen over de internationale rechtsmachtsverdeling afspraken maken, verdwijnt de ruimte voor parallelle procedures niet automatisch – getuige hiervan het belangrijke contentieux binnen de Europese gerechtelijke ruimte over conflicterende procedures. Een verder bewijs is het feit dat deze verdragen vaak ook regels bevatten die specifiek toegespitst zijn op parallelle procedures, zoals bijv. een prioriteitsregel ten gunste van de als eerste gevatte rechter of bijzondere weigeringsgronden in geval van conflicterende beslissingen. In eerste instantie werd daarom de mogelijkheid onderzocht om de pluraliteit van bevoegdheidsgronden, die aan de grondslag van parallelle procedures ligt, in te dijken. Hiervoor werd een beroep gedaan op het internationaal recht en de rechten van de mens, en in het bijzonder op het recht op een eerlijk proces. De vraag luidde of deze normen concrete aanknopingspunten bieden waarmee een scheidingslijn getrokken kan worden tussen aanvaardbare en onaanvaardbare aanspraken op rechtsmacht door nationale Staten. Vastgesteld moest worden dat de grenzen van de vrijheid waarover Staten beschikken om hun internationale bevoegdheid af te bakenen, bijzonder vaag zijn en geen concrete houvast bieden – behalve dan om zeer algemene beginselen te distilleren. Daarna werd aandacht besteed aan de mogelijkheid om bevoegdheidsaanspraken te coördineren. Hierbij werd stilgestaan bij het forum connexitatis, als instrument bij uitstek om de verschillende facetten van een geschil voor één rechtbank te brengen. Vastgesteld moest evenwel worden dat deze 'catch all' bevoegdheidsregel noodzakelijkerwijze ook aan bijzondere grenzen onderworpen dient te worden, om het evenwicht tussen de overige bevoegdheidsregel niet te verstoren. Dit verklaart trouwens ook waarom deze techniek, hoewel voor de coördinatie van geschillen zeer bevorderlijk, rechtsvergelijkend geen succes is. Uiteindelijk kan de pluraliteit van fora waarschijnlijk worden verklaard door het feit dat bevoegdheidsregels aan verschillende, soms tegenstrijdige beleidsdoelstellingen dienen te beantwoorden, zoals de wens om enerzijds zwakke partijen te beschermen en anderzijds contractuele afspraken aan te moedigen. Hierdoor is het moeilijk of soms zelfs onmogelijk om op voorhand voor elk geschil slechts één enkele (zgn. natuurlijke) rechter aan te wijzen. Het besluit luidde aldus dat bevoegdheidsregels, hoe geperfectioneerd ook, waarschijnlijk steeds de mogelijkheid zullen bieden om voor een zelfde geschil verscheidene rechters aan te spreken. 6 Naast de theoretische onderbouwing van de internationale rechtsmachtsafbakening werd ook aandacht besteed aan de wilsautonomie van partijen als mogelijke remedie tegen het ontstaan van parallelle procedures. Voorafgaandelijke akkoorden over de bevoegdheid kunnen immers bijdragen tot een vermindering van het aantal gevallen van conflicterende procedures. Vastgesteld werd dat de preventieve werking van bevoegdheidsafspraken, hoewel groot, nooit sluitend is, gelet op de versplintering van de controle op dergelijke afspraken en het ontbreken van een algemeen aanvaard kader voor de wilsautonomie. Daarom werden een aantal denksporen aangereikt met als doel de werking van de wil der partijen te versterken. Belangrijk is het voorstel om de verhouding tussen gederogeerde en prorogeerde fora te herschikken, zodanig dat aan die laatste een (voorlopige of definitieve) monopolie zou worden toegekend om de geldigheid en de werking van het bevoegdheidsakkoord te toetsen. 7 Sluitende afspraken over de bevoegdheidsverdeling zullen het ontstaan van conflicterende procedures niet beletten. Daarom steunt het onderzoek ook in een belangrijke mate op een curatief oplossingsmodel. Hiervoor werd in twee fasen gewerkt. In een eerste fase werden twee technieken bestudeerd, waarvan gebleken is dat ze geen voldoening geven en aldus niet tot model-oplossingen uitgeroepen kunnen worden. Het gaat in de eerste plaats om de mogelijkheid voor een rechtbank om een partij, die een procedure voor een buitenlandse rechter instelt, een verbod op te leggen deze procedure verder te zetten. Met een dergelijk verbod – anti-suit injunction in de Engelse terminologie – kan een rechtbank rechtstreeks – of ten minste via de persoon van de verweerder, eiser voor de buitenlandse rechter - een einde aan de buitenlandse procedure maken. Het rechterlijk verbod is een bijzonder krachtig instrument, dat d.m.v. de contempt of court gesanctioneerd wordt. Het procedureverbod biedt het voordeel dat op de buitenlandse procedure zelf een (al dan niet) beslissend invloed uitgeoefend werd, zonder evenwel enige druk op de buitenlandse rechter rechtstreeks uit te oefenen. De sancties waarmee het overtreden van het verbod gepaard gaan, viseren immers slechts de persoon van de verweerder, eiser in het buitenland. Uit het onderzoek is echter gebleken dat de anti suit injunction bezwaarlijk een algemene oplossing voor conflicterende procedures kan bieden. Dit is in eerste instantie te wijten aan het feit dat de voorwaarden waaronder een dergelijke injunction toegekend wordt, bijzonder restrictief zijn. In wezen zal een Engelse of een Amerikaanse rechter slechts naar de injunction grijpen wanneer hij of zij overtuigd is dat de buitenlandse procedure een misbruik uitmaakt, bijv. doordat de eiser in het buitenland op de tegenpartij druk probeert uit te oefenen, of nog door het instellen van een procedure voor een buitenlandse rechter de erkenning resp. tenuitvoerlegging van de toekomstige Engelse beslissing tracht te dwarsbomen. Hierdoor ontsnapt een groot deel van de parallelle procedures aan deze sanctie. Daarnaast is ook gebleken dat anti suit injunctions vaak meer moeilijkheden creëren dan ze oplossingen bieden. Dit heeft te maken met het agressief karakter van het procedureverbod, dat de indruk kan wekken dat een rechter zich het recht toeëigent om te beslissen over het lot van een voor een buitenlandse rechter ingestelde procedure. Dit wordt de Engelse of Amerikaanse rechter niet in dank genomen. In de praktijk wordt op dergelijke procedureverboden soms hevig gereageerd, en wanneer de buitenlandse rechter zelf het instituut van de injunction kent, is een reactie 'in natura' niet uitgesloten (zgn. anti anti suit injunction), waardoor de kans op een ware juridische guerrilla ontstaat. Tenslotte moet vastgesteld worden dat het gebruik van anti suit injunctions fundamenteel onverzoenbaar is met het vertrouwensidee waarop internationale akkoorden tussen Staten gebaseerd zijn. Zijn de betrokken Staten gebonden door een verdrag, dat hun respectieve bevoegdheden nauwkeurig vastlegt en voor het vrij verkeer van hun beslissingen zorgt, dan kan niet aanvaard worden dat een bepaalde rechter 'politieman' speelt en eenzijdig beslist wanneer een andere zich niet aan de afspraken houdt. In dit verband moet vastgesteld worden dat afspraken tussen Staten hoe langer hoe gebruikelijker worden in het internationaal privaatrechtelijk contentieux - niet alleen binnen Europa, maar ook daarbuiten. Hierdoor verdwijnt elke ruimte voor eenzijdige initiatieven zoals de anti suit injunctions. 8 In plaats van zich (on)rechtstreeks in de buitenlandse procedure te mengen, kan een rechter ook beslissen om een afwachtende houding t.a.v. het conflict tussen procedures te nemen en de oplossing tot een later stadium uit te stellen. De gedachte is dan dat het conflict tussen twee procedures wel opgelost zal worden wanneer een van de twee rechtbanken zich uitspreekt, vermits zijn beslissing in de andere procedure ingeroepen kan worden, op grond van de exceptie van gezag van gewijsde of een equivalent hiervan. Deze methode kenmerkt een deel van de Amerikaanse rechtspraak. Onder invloed van interne precedenten hebben Amerikaanse rechtbanken immers als algemene regel geponeerd dat parallelle procedures getolereerd dienen te worden en slechts een einde zullen nemen wanneer de eerste beslissing in de andere procedure ter staving van een exceptie van gezag van gewijsde ingeroepen wordt. In andere landen wordt de exceptie van gezag van gewijsde eerder als een vervangende oplossing beschouwd, waarvan slechts toepassing gemaakt wordt wanneer andere technieken ontoereikend blijken. De exceptie van gezag van gewijsde biedt geen voldoening bij het oplossen van conflicterende procedures. Door de oplossing tot op het stadium van de erkenning uit te stellen, blijven de twee procedures parallel verlopen, hetgeen een onduldbare verspilling van gerechtelijke krachten en tijd met zich meebrengt. Het risico is ook groot dat beide partijen zullen trachten om 'hun' procedure zo snel mogelijk tot een einde te laten komen ('race to judgment'). Bovendien blijft het gevaar bestaan dat tegenstrijdige uitspraken het licht zien. De werking van de exceptie van gezag van gewijsde is immers aan talrijke voorwaarden onderworpen : naast de weigeringsgronden vormt het procedureel statuut van de exceptie ook een obstakel voor de beslechting van parallelle procedures. Het is aldus niet uitgesloten dat de eerste beslissing in het ander land geen uitwerking krijgt. Dit zal met name het geval zijn wanneer de procedure die tot de eerste beslissing geleid heeft, nà de concurrerende procedure ingeleid is geweest. In vele landen is de schending van de eerdere aanhangigheid van het forum immers een weigeringsgrond. 9 Het procedure-verbod en het gezag van het eerste rechterlijke gewijsde kunnen hoogstens als marginale oplossingen getolereerd worden. Voor de oplossing van procedureconflicten biedt de voorrangsregel meer voldoening. Hiermee wordt bedoeld dat een rechtbank die volgens zijn eigen regels bevoegd is, een geschil uit handen geeft t.v.v. een andere rechtbank zodat slechts één instantie zich over het geschil uitspreekt. Voorrang geven aan de concurrerende rechter is zeker geen evidentie, nu het betekent dat het geschil geheel volgens de buitenlandse normen – ten gronde doch ook voor de procedure - beslecht zal worden. Dit verklaart waarom de voorrangsmethode in de verschillende rechtsstelsels slechts zeer geleidelijk ingang gevonden heeft. Tegenwoordig is deze methode echter tot dé oplossing bij uitstek voor parallelle procedures uitgegroeid : zowel in nationale codificaties als in internationale verdragen wordt de 'hoffelijkheid' terecht als de oplossing voor procedureconflicten naar voren geschoven. Deze methode blijkt het best in staat om het uitgangspunt van de studie te helpen verwezenlijken, en wordt daarom geprivilegieerd. 10 Onthoudingsregels komen in verschillende vormen voor, gaande van een automatische litispendentieregel, gebaseerd op de strikte chronologie van de procedures, tot een zeer gesofistikeerde forum non conveniens-regel waarbij een afweging van zowel privé- als van publieke belangen gemaakt wordt. Bij de analyse werden drie verschillende vormen van de voorrangsregel onderscheiden, die aan talrijke modaliteiten onderworpen kunnen worden. De opdracht bestond er daarom in om een keuze te maken tussen de verschillende vormen. De hoffelijkheid kan in de eerste plaats aan het idee van misbruik van procedure onderworpen worden. In deze eerste, beperkte vorm is er slechts plaats voor onthouding door een rechtbank ten voordele van een buitenlandse procedure wanneer vastgesteld wordt dat het instellen van de forumprocedure een misbruik vormt. Deze beperkte opvatting van de onthouding heeft in de 19de eeuw lange tijd de bovenhand gehad. In Engeland stemt ze overeen met de eerste versie van wat later tot de forum non conveniens-theorie zou uitgroeien. De misbruiktheorie biedt geen voldoening om als grondslag voor de hoffelijkheid te fungeren. Door de onthouding tot die gevallen voor te behouden waar er van misbruik sprake is, blijft een groot deel van de parallelle procedures buiten schoot. In vele gevallen worden conflicterende procedures immers zonder (al te veel) bijbedoelingen ingesteld. Bovendien dwingt de misbruiktheorie de rechter tot een moeilijk onderzoek van de bedoelingen van procespartijen. De grens tussen 'gewone' forum shopping en misbruik kan moeilijk worden getrokken. Het recht van rechtsonderhorigen om toegang tot de rechter te krijgen moet centraal blijven en het misbruik mag slechts uitzonderlijk aanvaard worden. 11 De hoffelijkheid kan ook aan het idee worden aangeknoopt dat een bepaalde rechter beter geplaatst is dan een andere om het geschil te beslechten. Deze idee heeft in de common law landen ingang gevonden onder de vorm van de forum non conveniens leer : een Engelse rechter zal aan een buitenlandse rechter voorrang geven indien het oordeelt dat deze laatste, gelet op de bijzondere omstandigheden van het geval, beter in staat is om van het geschil kennis te nemen. De beslissing om zich te onthouden gebeurt in deze hypothese op basis van een erg ruim geformuleerde algemene regel, na een grondig onderzoek van de bijzondere omstandigheden van het geschil, met als doel na te gaan of het geschil tot de natuurlijke bevoegdheidsfeer van de Engelse rechter thuishoort. De leer van het forum non conveniens werd in Engeland en andere common law landen ook ten dienste gesteld van de beslechting van parallelle procedures. Deze bijzonder gesofistikeerde methode overtuigt echter niet als grondslag voor de hoffelijkheid. Het probleem met het forum non conveniens is dat het om een uitzonderingsclausule gaat : in wezen dient de doctrine om de ongewenste resultaten van ruim geformuleerde bevoegdheidsregels ongedaan te maken. Het forum non conveniens werkt aldus best wanneer er een sterk onevenwicht tussen de twee rechtbanken en hun aanspraken op bevoegdheid bestaat. Wanneer de twee rechtbanken integendeel redelijkerwijze op bevoegdheid aanspraak kunnen maken, is het forum non conveniens niet bij machte om de voorrangsvraag te beslechten. Het begrip van 'natural forum' waarop de doctrine gebaseerd is, kan derhalve niet als onderscheidingscriterium weerhouden worden. 12 Tenslotte werd een derde vorm van hoffelijkheid grondig bestudeerd : in deze vorm, geeft een rechtbank voorrang aan een andere omdat deze laatste als éérste geadieerd werd. Het tijdstip van aanhangigheid fungeert dan als onderscheidingscriterium tussen de twee procedures. Deze benadering van de hoffelijkheid kan in de continentaal-europese landen op een lange traditie steunen. Binnen de Europese gerechtelijke ruimte werd dit criterium zelfs tot de enige oplossing gepromoveerd voor procedureconflicten. De chronologische benadering contrasteert met het forum non conveniens door zijn eenvoud en zijn duidelijkheid. In de meeste gevallen zal zonder al te veel moeilijkheden kunnen worden vastgesteld welke rechter als eerste van het geschil gevat werd. Anderzijds kan het chronologisch criterium zich op het idee van proceseconomie beroepen : de eerste procedure krijgt voorrang, niet louter omwille van een arbitraire keuze, doch wel omdat partijen in de regel in de eerste procedure reeds bepaalde steppen zullen genomen hebben. Deze inspanningen zouden op de helling worden gezet indien aan de tweede procedure systematisch voorrang zou worden gegeven. De chronologische methode is echter niet zonder moeilijkheden. De bepaling van het tijdstip waarop een rechter van een geschil gevat wordt, kan bijzonder moeilijk uitvallen. Bovendien is het chronologische criterium waardeloos wanneer de twee procedures gelijktijdig ingeleid worden. In dit geval verliest het tijdscriterium bovendien een groot deel van zijn rechtvaardiging, nu beide procedures ongeveer even ver gevorderd zullen zijn. Tenslotte kan de chronologische benadering tot ongewenste resultaten leiden, in het bijzonder doordat procespartijen a.h.w. tot het instellen van een procedure aangemoedigd worden ('race to the court'). 13 Daarom wordt de voorkeur voor de chronologische benadering van de internationale hoffelijkheid in het laatste deel sterk genuanceerd. Nuances worden in twee richtingen gezocht. Ten eerste wordt aan de grondslag zelf van de hoffelijkheid gesleuteld. Voorgesteld wordt met name om de chronologische methode af te zwakken, door een uitzondering op de voorrang van de eerste rechter in te voeren. Deze uitzondering zou de eerste gevatte rechter de kans geven om de voorrang die hij geniet, te weigeren indien hij oordeelt dat het geschil manifest beter bij de andere rechter thuishoort. Daarnaast wordt ook aandacht besteed aan de randvoorwaarden van de chronologische regel. Daaronder vallen o.a. het bepalen van het tijdstip van de aanhangigheid en van de grenzen van de identiteit van de geschillen, de mogelijkheid om de chronologische voorrang aan een wederkerigheidsvoorwaarde te onderwerpen of aan een voorwaarde afgeleid uit de erkenning van de toekomstige beslissing. Tenslotte wordt ook onderzocht welke weerslag de exceptie van openbare orde op de internationale hoffelijkheid kan hebben. 14 Conclusie - De studie biedt een (hopelijk) objectieve weergave van de manier waarop een aantal landen parallelle procedures behandelen, en tracht opmerkelijke gelijkenissen en verschillen tussen deze behandelingen aan te tonen. Daarnaast, en niet in mindere mate, werd getracht om een verklarend kader te schetsen, dat kan bijdragen tot een beter begrip voor de verschillende wijzen waarop de betrokken rechtssystemen parallelle procedures behandelen. Tegelijkertijd heeft dit kader de mogelijkheid geboden om de bestaande oplossingen te evalueren en te bekritiseren. De rode draad doorheen deze kritiek was de vaststelling dat de eenzijdigheid en de daarmee samenhangende soevereiniteitsgedachte in het internationaal procesrecht nog altijd de bovenhand hebben op het streven naar harmonieuse, door samenwerking gekenmerkte oplossingen. Het onderzoek naar conflicterende procedures is de aanleiding geweest om een doorsnede van het internationaal procesrecht te maken. Parallelle procedures, die slechts één van de talrijke problemen zijn waarmee het internationaal procesrecht geconfronteerd wordt, vormen een mooie illustratie van het onvoltooid karakter van deze rechtstak. Hoewel het onderzoek ook geleid heeft tot het formuleren van een paar punctuele voorstellen tot verbetering van de thans geldende of aangekondigde regels, ligt het belang ervan vooral in het aanreiken van een aantal bouwstenen waarop de evolutie van het internationaal procesrecht naar meer samenwerking en minder eenzijdigheid kan steunen.
Part one of an interview with Maria Mendoza of Fitchburg, Massachusetts. Topics include: Maria Mendoza's parents were born in Portugal, but she was born in Bedford, MA. How she and her husband moved to Fitchburg, MA because of his work in the cotton industry. Her first impressions of Fitchburg and what the city was like when she first moved there. Her work as a stitcher. Her education. Her feelings about politics and government in the U.S. Her feelings about Fitchburg today. How she spends her leisure time. ; 1 WAYNE LUCIER: December 1st, 1973, interview conducted by Wayne Lucier. Place of interview, Mrs. Mendoza's home. Your name, please. MARY MENDOZA: Mary Mendoza. WAYNE LUCIER: And your nationality. MARY MENDOZA: Portuguese descent. WAYNE LUCIER: And your age. MARY MENDOZA: 62. WAYNE LUCIER: Date of birth. MARY MENDOZA: June 15, 1911. WAYNE LUCIER: And what generation are you? Were you born in the United States? MARY MENDOZA: Yes, that would be the second generation now. WAYNE LUCIER: And your present address. MARY MENDOZA: 9 Exeter Street, Fitchburg, Mass. WAYNE LUCIER: And your phone number. MARY MENDOZA: 2-2286. WAYNE LUCIER: And what city were you born? MARY MENDOZA: New Bedford, Mass. WAYNE LUCIER: Okay. And when did you come to Fitchburg? MARY MENDOZA: Hmm, 1941. WAYNE LUCIER: And like from, from New Bedford, when-when you were born, where else did you go? MARY MENDOZA: Springfield. Oh, what, I didn't [go to] Springfield now, don't I, because I lived in Springfield anyway. WAYNE LUCIER: You went from New Bedford directly to Springfield? MARY MENDOZA: Well, we went, uh, Chicopee before, but then I didn't like the place where we lived in and we moved to Springfield. WAYNE LUCIER: And why did you, why did you move to these places? MARY MENDOZA: Because his work, yeah. He has to go and work in there, in Springfield, so there's too much driving. WAYNE LUCIER: Why did you come into Fitchburg? MARY MENDOZA: Mm, the cotton industry. We went in after my husband had to come for the [mildew] and shot at [your health] there. In that, he was attorney to handle some, manage some people in the night shift. 2 WAYNE LUCIER: Before you came here, what kind of jobs did you hold? MARY MENDOZA: Myself was stitching. WAYNE LUCIER: Throughout the whole time? MARY MENDOZA: No. I was a supervisor, because I went up. I went in, I cut the work… well, stitched part of that time, too. WAYNE LUCIER: Before you came here, what did you know about Fitchburg? MARY MENDOZA: Nothing, just my husband, the boss, the superintendent of the cotton industry brought him here. WAYNE LUCIER: What did you think about it after you got here? MARY MENDOZA: Well, I thought it was a nice, old city, small, but peaceful. My thoughts and my mind was always in New Bedford, but after a while, my son was born here and I kind of, you know, learned to like Fitchburg. The only thing that bothers me is what the politicians are doing to it. WAYNE LUCIER: Even then? The politicians were… MARY MENDOZA: No, they were peaceful. We had enough. We had everything we needed if we wanted to work for it. Now, they give us this, give us that, then they turn around and take all we, all the dollars we have, together, put together all those years. And they call it "to help the people." Let the people help themselves, and they're fine. Unless they're sick, they shouldn't be so much helpless. They call it "help." WAYNE LUCIER: Where did you live in Fitchburg when you came? MARY MENDOZA: When we came over here, we went to Marine- WAYNE LUCIER: Maryland. MARY MENDOZA: Maryland, yeah, Maryland. WAYNE LUCIER: And then from there you came… MARY MENDOZA: And then we went to Edwards Street. They sold the house where I was, so I went to Edwards Street. And then we bought this house. WAYNE LUCIER: And all these homes, did you own these homes or…? MARY MENDOZA: No, just this one. WAYNE LUCIER: Were they… MARY MENDOZA: They were rented.3 WAYNE LUCIER: And were there a lot of people living there? You know what I mean, where… MARY MENDOZA: No, one was a cottage, and the other one was a two-family apartment. WAYNE LUCIER: And in this district, were the people… MARY MENDOZA: Oh, those days, they had about 10 children, I guess, [from us]. WAYNE LUCIER: Were they Portuguese people or they were just… MARY MENDOZA: They were French people. But to me, they were people and they were nice people, poor people. But that's why I compare now – things now and then. Then they were so poor, they used to put beans, green beans in a bowl with milk and they call it a feast. Now we have so much. I used to say, you know, once in a while, I used to give things to them because – and they were so pleased with life. They were a paper girl and a paper boy, and they help the father. The name, the middle name was LeBlanc, but the dad name's [nothing]. And yet, they seem to have certain happiness. Now that they have so much in name, yet it isn't enough. My gosh! I never had no trouble, because my heart was here, the day my mother put me in school, you know, to know your language and all that, but she had a summer house there, so that made it… she left me there, and of course, I didn't want it. We come back after my father died and we struggled. She had no social securities, no nothing. Ten children and we get together, and we get along all right. But those times, there was no help of any kind. I remember when they used to – Mr. Simmons, you give him $3 a week, warfare, and he was so grateful. They paid his rent, which in those days was about $2.50 for a three-room apartment. And he was so grateful. Now, they're getting $20 a head and more, but still they holler because they don't go to work, you know. That's why when I get to politicians, you get my blood way up in the air. But the country that I loved to be, it's just like before, not the way in the depression time. That was a bad time. Still, we could depend, we could trust people. Now, we have more than what we need—not everybody, but the biggest part of it—and we can enjoy nothing 4 because we have no faith, no leader, no… That's what's bothering me about the country and about my son and his children. For us, you know, we're almost there. WAYNE LUCIER: Almost there where? MARY MENDOZA: In heaven, I hope. WAYNE LUCIER: [Laughs] MARY MENDOZA: Close to it. WAYNE LUCIER: One foot in the door, huh. MARY MENDOZA: Yeah. Well, before, I never even bothered with politicians, and now with peace, now that I decided for… but going on two years now, I decided to think if there was anything that I could do or help, you know, on my [own], because if everybody does a little something, then the little in every home or in every family would help the country finally. But I told you, I'm sorry, I did, because it gets my blood boiling. I can see it, but all I have is grammar and people that go to colleges and have they call it an education and yet they can't, they do nothing about it. I don't know. So you see, when there's not much that I can say, even the prices are so high that you can't touch this, you can't touch that. Even that, I wouldn't mind it if we had a good leader and if we had some kind of a love in our country, but they bring so many people from all over the world, they each get their different ideas, and mixing them together, of course something's going to blow up. But I shouldn't tell you this, because you know more than I do anyway. But you asked me how I feel. It's a terrible feeling that you can't explain it. And even prayer kind of gets mixed up. Your mind is wondering what's going to be the next minute. WAYNE LUCIER: When you were younger, what type of jobs did you hold? MARY MENDOZA: Well, I've been a stitcher all the way; most of it is stitch. WAYNE LUCIER: How did you learn this? Is this something your mother taught you or you just learned to pick it up? MARY MENDOZA: No. I went to the shop and I guess I asked Mr. Silverman for a job. And he asked me what did I know about the job. I told him nothing. We had a sewing machine, you know, not a [farm]5 machine, a sewing machine. I used to make an apron or… it wasn't me already to cut this, cut that. He says, "Would you bring, come tomorrow and bring some of the things that you did?" And I went home and I couldn't think of anything that I thought was good to show them. So I took myself a dress and an apron that I had bought all a bunch of cloth for $1.00 and took it to him. "Did you did that?" I had made a dress for a doll, but when I was small, I never had a doll. Then somebody, you know, I get a price, a dollar, and I was made a dress. So he says, "Why don't you go in that machine and you play with these pieces of cloth? Do anything you want." And so I made a dress for my doll. And from thereon, you know, I was – he says, "I'm going to give you a job. There was the floor walking. I want you to help me. When some work is wrong, you tell them that; show them what they did wrong. We take it out of the block." I said, "I don't have enough education for that." She says, "Well, just mark one dress out." And from thereon, you know, when I get away, [unintelligible - 00:09:33] I could hand in my papers and mark with kind of cloth, how many yards, what I did and all that. So that's how I learned it, at work. WAYNE LUCIER: Where was this first place? It was in -- MARY MENDOZA: Silverman and Sons, New Bedford, Mass. I worked there nine years. It's a dress shop. And from then on, I get out of there was, well, I don't like to get myself fancy [battle], but it doesn't work with me. But I used to be an assistant to the floor walk. She put me like, you know, there's [above] a hundred bills' work and there 400 bills is a lot of work and we checked the work. And anything that we think that wasn't going to pass, we put it in a box and I sit in a machine next to the office and fix it in some way, surely it can be done. She said, "Use your imagination. Whatever you do, it's done." Those days we're making, I think it was $14 a week. And boy, that was a big pay for me. It was big, because the other girls were making five or six dollars. And I thought, see, the language didn't do… I pay attention to what she said, because I could scribble like any human being that comes from Europe and he 6 takes that paper with their parents with somebody there that they know from [unintelligible - 00:10:49], they can do it. In three months' time, I could write a letter. Not like you do, or you know, the people who go to school, but I could write it. If I could do it those days, then everything goes so slow. The kids today are so smart. They want me to tell me that they need all this spending money and that they do it or not. Oh, I wish I had the chance to talk to that [girl]. He's trying now, but I think it's a bit late. Well, never too late, I guess, they say. So that's the way it is. And, you know, the two of us together, we bought our home. We always had our car. I don't call my house luxury because everything is going to be 40 years that I'm married next April. So everything is old but that. The rest is all furnished. They rented things that is in there. It's not all new, but it's not the one, the furnishing I had. And still, you know, we're happy, until this crooked stuff come up. That's the only complaint I got about it. Not the country, but the politicians. I love the country. WAYNE LUCIER: Do you belong in any clubs? MARY MENDOZA: No. I belong to the guild in the church but I quit, because in some of them, we go to the cottage so I never – I mean no meats or nothing, so I told the priest, I can't belong to anything which we enjoy very much when we go down there. It's just a little weekend near the water. WAYNE LUCIER: Where's this? MARY MENDOZA: In the Buzzards Bay. Fairhaven is the town. We pay the tax. And now you can't even go there. That's not funny when you work so hard and we had so much. The country have plenty and look what… Oh, gosh, going… I don't know. No matter what I say, it ends up on the… And I was so happy that I was going to retire this year. And, you know, going here, not going too much in it anyway. Just going a bit, that's enough good time for me. And I don't do any more than I would do at home, but just go and wipe my feet, go in the water, that I enjoy very much and the air. That's the way things are now. You stay home and get old to the point 7 that there's no faith of any kind all because of the… oh, gosh, no, it's really terrible. And the young people, they have so much power. There's so much – not understanding, they don't have any, but so much knowledge, and yet they don't put it to good use. They put it to steal. That people can't keep their doors, they can't go out in peace and say, "When I want to go home, would I have the junks that I left home?" It's not a – I don't know, you can't put into words. WAYNE LUCIER: Things have to get better anyway. MARY MENDOZA: Oh, they have to because if this is it, the good Lord will punish all of us, because, you know, it's really too much. They go stealing. Murderers walk free. That's really… Only they think they're doing some good to themselves, and how wrong they are. There going to be a time where they don't have no body and no soul to go with it. WAYNE LUCIER: What type of education did you have? MARY MENDOZA: Fifth grade? WAYNE LUCIER: What city was it? MARY MENDOZA: Oh, it was in New Bedford, A. Lincoln School, Abraham Lincoln Elementary School that I went to. And there was sitting among us, there's love for the Abraham Lincoln story that I could learn most anything. And I was 17 years old already. WAYNE LUCIER: Do they mix boys and girls in classes? MARY MENDOZA: Yeah. Then it's always the funny ones that don't want to learn. They're cracking jokes, and there's a couple of serious ones. I don't know, she says, "Well, you don't belong with these. Where did you go to school?" I said, "I didn't." I went to school, you know, in Europe, in school which [unintelligible - 00:14:48] high school I finished there. But that was it. Over there, they call it high school the way I -- it's different, the grades from here. WAYNE LUCIER: You went to school in Europe? MARY MENDOZA: Yes, I finished the school. WAYNE LUCIER: What type of school?8 MARY MENDOZA: Regular school, but I finished almost the secondary of high school in Portuguese. WAYNE LUCIER: Was it harder over there? Is the school harder? MARY MENDOZA: Well, we don't have no fun. We go to all the school at 8:00 and we get out at 4:00. And now, we have after that, it's one hour for dinner. WAYNE LUCIER: So you learn the same things, too? MARY MENDOZA: You learn, you read, you write, you learn about the histories, about… well, most of it is reading and writing, see what other countries are doing. You get into a history which I was beginning to get into it other than… well, let's put it that way. I only have what would you call junior high, huh. WAYNE LUCIER: Yeah. MARY MENDOZA: Yeah. And we don't learn no stitching, no cooking, no nothing. That's up to our mothers to teach us that. That's the difference of our country, make the people work and learn and love it at the same time. And when you get home, you do what your mother tells you. You do wash clothes, you iron clothes, you wash dishes, and you help, you know, when they bake bread. It's really an interesting life, though. We do a lot more. Here, everything is bought. When they get the rough going, they can't take it. I remember these things; we get our potatoes, our beans and all that. I was fortunate that I never had to do anything like that. Because it – that St. Michael resources, the woman don't work. The men work like the devil, but they don't do any wives' work either. It's men's work and men's work, and the woman does its washing, cleaning, and that's it, and cooking, of course, and trying to mend the clothes and make their own clothes. Now I guess, I understand everything is different. It's 40 years. I haven't been there now. I was too young to… but what I remember, I remember vividly, though. And that's the way I learned to… you learn to read, you learn some manners. The girls stay in the middle of school and the boys stays on one row in the sides, you know, facing the windows and the girls facing the teachers. And you then, when it's the 9 border, boys will sit like that and watch them. They were writing, they want us to figure that. That at school, that's what we had. That's why a kid there for with the second grade knows more than one over here at fifth grade. Because we have nothing, we have no basketball, no pitches, no nothing – just work, books, and they make you writing and they make you try to explain what you read, you know, how that means. That's the way they learn there which is the same thing over here. They give you a book and you read it and you have to explain that in your own words. But see, there's a difference. It's funny, though, only one hour a day that we had. So when you get to 12 years old, you have to pay for the school because that… WAYNE LUCIER: Who pays for the school? MARY MENDOZA: The parents, and if you don't have it, you stay out. WAYNE LUCIER: Really? MARY MENDOZA: My mother paid for my brothers, and they don't care. They were satisfied. Jimmy was the only one, but he's smart, though. But he likes his tea, strong tea. But he is a pretty, smart kid, and he writes like a professor, actually. And you know, that's the way we were. My brother's used to go, you know, in the farm, like a farm over here. It was about 100 acres of land and when she had it, it was enough to take care of all the children. And when nobody… then she could not – she signed her name, my grandma, but that's all she was interested into it, because she went to school a couple of years, and she says that don't give me no share at all of bread to eat. She quit it. And now, you know, but she worked hard. She didn't have to have no help, no. It's a farm. Of course, she worked there. She got up from 6:00 to 6:00 in those days. I don't remember my mother when I was little. She leave, I was asleep. She would come home, I was asleep. So finally, my grandmother says, "Leave her here." WAYNE LUCIER: She was working where? She wasn't working over there, right? MARY MENDOZA: In New Bedford. WAYNE LUCIER: New Bedford.10 MARY MENDOZA: She was 25 years in New Bedford thing, too hard, only he except two. Not three year, she used to go there every two or three years. She used to go spend the summer there. My father was there. They're rich here. A couple of rich people, my father, very rich, too. But his mother don't want him to marry my mother. And that was it, he was out. And they used to work there every three years, because he was a steam engineer, my father. And he used to – then, he used to make better than average, but he spent it, too. Every three years, he goes to Europe for six months; that's a pretty good life. But he was used to that. You couldn't take him out of it. All my father's people didn't got a home. They claim I have some relations here and I have seen that. I don't know them when I was little. Now, it doesn't feel that. That was an awful thing to do to your children. I've thought about it, they go look far, but on my father side, the lowest one, she's the head of a hospital in Sacramento, California. WAYNE LUCIER: What, your father's what? MARY MENDOZA: Sister. And the other one's, well, they come into paper not too long ago. They'll send it to me. There's your uncle's boy, got injured in [Madeira]. I just go, "Good for him." You know, it doesn't do me anything because we never saw – I only saw one cousin. He was a lawyer. And he was so bad. My mother didn't know what to do with himself. And she said – WAYNE LUCIER: Are you a citizen? MARY MENDOZA: I was born in this country so I consider myself as a citizen. WAYNE LUCIER: Okay. Are you a Republican or a Democrat? MARY MENDOZA: A Democrat. WAYNE LUCIER: A faithful Democrat? MARY MENDOZA: Well, when it comes to good men, I never [unintelligible - 00:21:06], see I belong to this team, and I'm going to fight for it with all my heart if a good man is a good man, and an American is an American. That's all it means to me. But when Roosevelt came in, that was the first time that I voted. So that's when it went, not because I had any special feelings for any… And now, I still say, a 11 good man is a good man. If a Democrat is rotten, we don't root for him. WAYNE LUCIER: Have you ever become involved in a political party, working for a candidate? MARY MENDOZA: No, I never did. WAYNE LUCIER: And what are your feelings about the state government? Is it a useful tool? How was it? MARY MENDOZA: About what the state does? WAYNE LUCIER: The state, yeah. MARY MENDOZA: I don't know. I don't think I'm going to get to those answers because that gets me mad. Oh, no, the state did to me, I think more the city, what the city does than the state. WAYNE LUCIER: What does the city do, then? Is it better than the state? MARY MENDOZA: No, they're copying the state; that's why they call Fitchburg "the Little Watergate." Yeah, and that's… I don't know much about it. So just now, I have no special feeling for the government and even scared of anybody that works for them, because they all – not all, thank God for that. There's a dozen of good ones there somewhere. I don't think they're doing their job. That's – is that a good enough answer? WAYNE LUCIER: That's good. Have you ever experienced any language barriers or problems, you know, when you first, you know, say in your education or today or…? MARY MENDOZA: No, seeing that I'm not much of a social… I really don't… Never bothered me not knowing, I never go any places that I have to be put on. I fall asleep pretty soon. WAYNE LUCIER: How about, have you ever experienced any discrimination in your job due to your language or to your background? MARY MENDOZA: No, that's another left wing. They call this… they're "Oh, we don't like this guy and their people." I never even thought about it. Where I worked, there was a Jewish girl next to me. On the Friday, we eat meat and she eat… we eat fish and she'd eat meat. I ask her, "Why do you do that?" She said, "Well, our religion doesn't call… we don't eat this, we don't eat that." I thought, 12 "Well, it's her own way. Let her do the way she wants." To me, you know, she was – then there's a colored girl then, in [unintelligible - 00:23:34], I didn't understand half of the things she says, the way she talked. But still to me, "She was one of the workers," I said. I don't think there's no discrimination. That's the politicians just make that. And the Black people, they holler that they're getting hurt. They don't think of the White ones, they're getting the same thing. It's the workers that… I can't explain it. The states got the power to come in our pay envelopes and take in the government, to take out [unintelligible - 00:24:05] and we can't say nothing about it. They would have the power to say, "You do wrong, you pay." And we take just so much. And we can't do that, you know. We're not going to do it. You know, I have a son, they need schools. They close the schools. And in Route 12, they got a nice-looking school. It's a small school, but it's all boarded up. And yet we have no own, and then they keep sending for the kids, when they let their kids to come from all over the place. Immigration should be, come down to nothing now, until we get these things straight. Then when they open the immigration ports, they should be slow. Not the way they are, because they – among those immigrants, there's a lot of troublemakers. And that's why our country is rotten and the president is… I don't want to get to talk about him because of his… This is a weekend. WAYNE LUCIER: How about when you went looking for a house? Did you ever have any trouble finding a house, you know? MARY MENDOZA: No, never trouble of that. I always was lucky to find a nice home. Even when I come to Fitchburg, you know, I thought that was really, oh, it's a French town, and I had no trouble of any kind. I moved over here. They say, "You don't only stay here a couple of years." I saw the French. I said, "Well, what's the difference? They're people." WAYNE LUCIER: Who said that?13 MARY MENDOZA: Some of my neighbors. This one is German. She's says, "Oh, you won't like it." I never liked her. I said, "Look, that's their house. This is my house. We all belong to the same…" I never had no trouble. Honestly, I never did. WAYNE LUCIER: Okay. Do you think Fitchburg has decent job opportunities? Let's say, when you came here. Did they have enough jobs when you first came to Fitchburg? MARY MENDOZA: It's better than the average city, though. They get… well, like not every city has [AEG] and they're the ones that complain that they not making enough. But they have the paper mills which you always pay better than the shops. I think Fitchburg has more opportunities than some big cities. WAYNE LUCIER: Even today? MARY MENDOZA: Even today, if people want to work. And the government was fair, and they say, "Look, somebody is sick." Does this sound good? If somebody is… well, like my grandma, she was really an invalid that could do no more. She could not take care of herself. I could pick her up. You know, you need help, that's fine. I'll be glad that they give them people, whatever they need. But when these people, they got to go to the hairdresser every month. I haven't been to hairdresser for two years. I get by, passing, I'm no beauty, but I never try to please the outside world, just my own family. And I don't understand it when they… if they do that, they give so much. And yeah, they get people to have the feeling of doing something for themselves. Like now, you're a young boy, but you're taking care of your home. You used to come here, "See, I did this myself." You learn to love that house. But there's a lot of people, my daughter in law told me the other day, she says, "I'm going to change this living room." I said, "Why?" She says, "It's because it's my work. And I love this house." I could see what she – she was wanting to work. Some of these people, they just don't want to work; that's why the city of Fitchburg has a lot of jobs and still pretty good. The only thing that was wrong with that 14 baby [feast], that's why, you know, we hire… young men's going to have a hard time to get in. WAYNE LUCIER: Who? MARY MENDOZA: Some men. WAYNE LUCIER: Oh, yeah. MARY MENDOZA: When the rough, when things get rough, you walk out. And he's good, he's good nothing. This, you know, maybe this don't mean anything to the reevaluation. This is an awful thing they did to Fitchburg that destroyed their faith, the city, and made people swearing and got… well, they got to go to office. Because the reevaluation, I'm paying the rent in this house. That's what's wrong, very wrong. And yet, they mean to tell me they can't do anything about it, the mayor. WAYNE LUCIER: There's a new one coming, anyway. MARY MENDOZA: Well, I'm going to tell you something. He's not much when it comes to speeches and to looks and all that. He's an old man. But I'm sure he's not going to make it worse. If the councils work with him, he's going to be better than the lawyer. Lawyers always have riches and all that. I think that's why Black Walden stay in, not because he was a bad man, because he's a lawyer. People get so scared, that Watergate, that… You know, it's true. That's why I hope and I hope the council works with him. But he was against the reevaluation. But no, they'll be faced with evaluation. It's bad if some don't pay, some don't own… Do you think it's fair in your own mind that I pay about $18 a week for taxes in this house, between $17 and $18 just for taxes? WAYNE LUCIER: Well, you wouldn't mind paying them if you saw it – I don't mind paying as long as I see something for it, I mean, the money helping somebody, you know, that deserves it. You know what I mean? MARY MENDOZA: Oh, there's a lot of people that deserve, you know, I like to put it, deserve help, that they have no way of going to work. But there's also these people… You know, in Europe, a girl has a baby, she's not married, she's got to struggle. And the second time she has one, they put her away. That's why they have people over there, 15 they think they're straight. They're not. The government is straight. They don't go and help all kinds, you know, induce them to have it, so the others can support it. That's the wrong thing, too. But a girl falls into a misfortune the first time, sure, I give her the help that she needs. But you hear them telling you, "Oh, I'm not going to work. If I go to work, I get less than what I get from the welfare." I don't know. Then they pay babysitters, they have to have a day where… I don't know. I don't understand it anymore. I know that's not the way I do things, the way they do it. The taxes are too high, and there's still people that didn't get no reevaluation at all. They say every five houses, they skip one. Well, I wasn't the lucky one. But one of their men came over here and see the house, if you only know what I felt like doing. So the government is turning the people into killers and to… Oh, boy, if I had a gun, I think I'd shoot him. Yeah, I wouldn't shoot him to kill him, but I'd say, "I want you to get out." But who is making the fuss? Just me, not because I take it to see how we don't know… we're not stupid. Now, one of these days, they're going to get it. People are going to revolt. Boy, and it's not going to be fun and God have mercy on all of us. So it's good that we go out and try to bring peace with them. It takes a lot of it. So that's the way I think of our government and I hope somebody feels better than I do. WAYNE LUCIER: How is your leisure time spent now away from work? MARY MENDOZA: That's it. We go to the summer cottage in summer. In winter, we save, save so we can go in the summer. And we go and every other week, we stay there a week, three days. Now that, I figured, maybe I could stay there and all, biggest part of the week then come back. I'd never liked to stay there, let's say all summer, no. My son and my grandchildren are here. So my heart stays in Fitchburg, too. I'm divided. But that was enough fun for me. Got my family and my husband's family, they're all from there. They come and stay with us. I call that a lot of fun. They don't live there. They live around there. They come and spend the day with us and we go in the water. We talk to our neighbors. That kind of, you know, it 16 was just some things that I never had a chance to do when I'm working. That's my pastime. I don't like big crowds. I like little gatherings, but I don't like big crowds. I don't like going for dances and –/AT/jf/cp/ee
As part of a long-term partnership between the World Bank and Brazil, the Federal Government of Brazil sought the World Bank's assistance to review road safety management capacity in Brazil, building both on past experiences in the country and international best practices. This National Road Safety Management Capacity Review, therefore, was prepared by the World Bank, with the support of the Global Road Safety Facility (GRSF). The primary objective of the review is to evaluate the multi-sectoral capacity of road safety management in Brazil, identifying possible road safety challenges and presenting recommendations to address these challenges. The methodology of the review, in accordance with the guidelines of the World Bank Global Road Safety Facility, focused on examinations of key functional aspects of road safety, including institutions, legislation, financing, information, and capacities at all levels of government and among non-government actors. The review was prepared mainly based on interviews of key road safety stakeholders at the federal, state, and municipal levels, members of parliament, NGOs, and the private sector, in addition to direct inspection of roads and on-road behaviors, and the analysis of published research and reports on road safety. In addition, information and understanding gained from previous reviews of the states of São Paulo, Rio Grande do Sul, and Bahia were also incorporated.
The plan nacer program was designed by the Argentine ministry of health to provide health coverage to uninsured women during their pregnancies and for an additional 45 days after giving birth, as well as to children under the age of six. In doing so, it focuses on the most vulnerable populations, addressing a basic inequity in health care. In addition, the program includes three main distinctive features: an explicit menu of health benefits, disbursements linked to achieving agreed-upon targets of enrollment and health results, and audits conducted by an independent external firm to corroborate service delivery and quality. The plan is an innovative way to strengthen health systems. Rather than simply funding more facilities and inputs or adjusting existing insurance mechanisms neither of which have been successful in dealing with the health problems of the poor, the Argentine ministry of health realized that improvements to quality and coverage of health services for the uninsured would require drastic operational changes. To do so, it decided to introduce performance incentives at all levels and to focus on results.
Despite the recent slowdown, the underlying growth of the global economy remains solid. After a 4 percent growth in 2010, Russia's real output is expected to grow 4.4 percent in 2011, increasingly driven by domestic demand. Russia's households have absorbed the food price shock thanks to a combination of higher wages and pensions, and resort to private and public safety nets. The country emerged from the global recession with lower unemployment and poverty than feared. But global risks and uncertainties increased with the new oil shock. Although the short-term impact will be positive for Russia's export and fiscal revenues, there is no room for complacency. Macroeconomic policy should focus on the short-term objective of controlling inflation and medium-term fiscal adjustment towards long-term, sustainable level of non-oil fiscal deficit. Improving the efficiency of public expenditure to create fiscal space for productive infrastructure and strengthening the investment climate for the private sector remain among key long-term challenges. The ongoing rethinking of the government's long-term strategy and a period of high oil revenues provide an opportunity to focus on these long-term issues more forcefully than during the global crisis.
The objective of this rapid assessment is to inform the design of an Urban Youth Empowerment Project by providing information on youth and youth serving initiatives. Terms of reference crime and violence in Port Moresby and the National Capital District (NCD) are widespread and costly. In 2004, 68 percent of households reported that they had been victims of crime at least once in the past year and 51 percent had been victims of multiple crimes. Violence against women is pervasive, with domestic violence and rape, including gang rape, routine. By 2005, there had been small decreases in reported victimization; however, 61 percent of households still reported being victims of at least one crime and 46 percent reported being victims of multiple crimes. At the same time, costs associated with security and theft amounted to an estimated 15 percent of business turnover and law and order problems serve as a deterrent to investment. Young people account for the greatest share of crime and violence, so tackling the problem means addressing the underlying causes of youth crime and violence. This report provides a rapid assessment of youth and youth serving institutions in Port Moresby. The report relies on extensive consultations held in Port Moresby from July 23, 2008. Meetings were held with over 100 young people, their parents, community leaders, government officials, researchers, youth workers, leaders of youth groups and youth serving agencies, and representatives of the international non-governmental and donor agencies.
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On Nov. 15, FBI director Christopher Wray warned that the United States faced growing dangers at home from the war between Hamas and Israel thousands of miles away. A "rogue's gallery" of terrorist groups--including Hezbollah, al Qaeda and ISIS-- had called on followers to attack the United States, the primary source of arms and financial aid to Israel. With the threat of terrorism already raised, the latest Middle East war elevated the threat "to a whole other level," he told the House Committee on Homeland Security. Wray said Iran, "the world's largest state sponsor of terrorism," had also directly and indirectly targeted U.S. personnel both at home and abroad. It has hired criminals to plot assassinations against high-ranking current and former U.S. officials as well as dissidents living on American soil. Hezbollah, Iran's most powerful proxy, has sought to buy weaponry, seed operatives and raise funds in the United States, he told the powerful committee.Beyond the threat from countries and organized militias, Wray cited the danger of a "lone actor" inspired by tensions in the war to launch attacks "on our own soil." The FBI has "aggressively" tracked the trends, with recent arrests in Houston, Chicago, Los Angeles and at Cornell University. Although the FBI had not identified a specific plot, it was concerned about how "intentions might evolve."Christine Abizaid, director of the National Counterterrorism Center, told the congressional hearing that the United States will need to carefully monitor how the Middle East war unfolds "and the degree to which it may help renew otherwise declining terrorist actors across the globe." The "inherently unpredictable" range of terrorist actions will require "agile responses to emerging threats and crises" that play out both at home and overseas. At the House hearing, Homeland Security Secretary Alejandro Mayorkas said U.S. intelligence expects the threat of violence by lone offenders or small group attacks in 2024 "will remain high" and may happen "with little or no warning." Foreign terrorist groups, such as al Qaeda and ISIS, "are rebuilding overseas, and they maintain worldwide networks of supporters that could target the Homeland."Wray Testimony Excerpts"It's been more than five weeks since Hamas terrorists carried out their brutal attacks against innocent Israelis, dozens of American citizens, and others from around the world, and our collective efforts remain on supporting our partners overseas and seeking the safe return of the hostages. But this hearing, focused on threats to our homeland, is well-timed given the dangerous implications the fluid situation in the Middle East has for our homeland security."In a year when the terrorism threat was already elevated, the ongoing war in the Middle East has raised the threat of an attack against Americans in the United States to a whole other level."Since October 7th, we've seen a rogue's gallery of foreign terrorist organizations call for attacks against Americans and our allies. Hizballah expressed its support and praise for Hamas and threatened to attack U.S. interests in the Middle East. Al-Qaida issued its most specific call to attack the United States in the last five years. Al-Qaida in the Arabian Peninsula called on jihadists to attack Americans and Jewish people everywhere. ISIS urged its followers to target Jewish communities in the United States and Europe."Given those calls for action, our most immediate concern is that individuals or small groups will draw twisted inspiration from the events in the Middle East to carry out attacks here at home. That includes homegrown violent extremists inspired by a foreign terrorist organization and domestic violent extremists targeting Jewish Americans or other faith communities, like Muslim Americans."Across the country, the FBI has been aggressively countering violence by extremists citing the ongoing conflict as inspiration. In Houston, we arrested a man who'd been studying bomb-making and posted about killing Jewish people. Outside Chicago, we've got a federal hate crime investigation into the killing of a six-year-old Muslim boy. At Cornell University, we arrested a man who threatened to kill members of that university's Jewish community. And in Los Angeles, we arrested a man for threatening the CEO and other members of the Anti-Defamation League. I could go on."On top of the so-called "lone actor" threat, we cannot—and do not—discount the possibility that Hamas or another foreign terrorist organization may exploit the current conflict to conduct attacks here, on our own soil."We've kept our sights on Hamas and have multiple investigations into individuals affiliated with that foreign terrorist organization. And while, historically, our Hamas cases have identified individuals located here who are facilitating and financing terrorism overseas, we continue to scrutinize our intelligence to assess how the threat may be evolving."But it's not just Hamas. As the world's largest state sponsor of terrorism, the Iranians have directly, or by hiring criminals, mounted assassination attempts against dissidents and high-ranking current and former U.S. officials, including right here on American soil. Or take Hizballah, Iran's primary strategic partner, which has a history of raising money and seeking to obtain weapons here in the United States. FBI arrests in recent years also indicate that Hizballah has tried to seed operatives, establish infrastructure, and engage in spying here domestically—raising our concern that they may be contingency planning for future operations in the United States."And while we're not currently tracking a specific plot, given that disturbing history, we're keeping a close eye on what impact recent events may have on those terrorist groups' intentions here in the United States, and how those intentions might evolve. "Now, I want to be clear: While this is certainly a time for heightened vigilance, it is by no means a time to panic. Americans should continue to be alert and careful, but they shouldn't stop going about their daily lives."All across the country, the FBI's men and women are working with urgency and purpose to confront the elevated threat. That means working closely with our federal, state, and local partners through our FBI-led Joint Terrorism Task Forces; taking an even-closer look at existing investigations and canvassing sources to increase awareness across the board; and doing all we can—working with our partners—to protect houses of worship here in the U.S."Bottom line: We're going to continue to do everything in our power to protect the American people and support our partners in Israel."Protecting Americans from the threat of terrorism is and remains our number one priority. But as you all know, the range of threats we battle each and every day is enormous."But I can tell you, it would be absolutely devastating if the next time an adversary like Iran or China launches a major cyberattack, we don't see it coming because 702 was allowed to lapse. Or, with the fast-moving situation in the Middle East, imagine if a foreign terrorist organization overseas shifts intentions and directs an operative here who'd been contingency-planning to carry out an attack in our own backyard. And imagine if we're not able to disrupt that threat because the FBI's 702 authorities have been so watered-down."Abizaid Testimony Excerpts "We continue to closely monitor, evaluate, and take appropriate actions with respect to potential threats to the United States in the wake of the 7 October Hamas attacks against Israel and the resulting regional tensions. …We are monitoring the actions of a range of terrorist actors for key signs of terrorist escalation, including from Iran-aligned proxies in the region; al-Qa'ida and ISIS branches and affiliates from West Africa to Southeast Asia; and other terrorist organizations or lone actors who may seek to exploit the conflict."The cascading effects of Hamas' brutal and highly complex attacks inside of Israel underscore the need for vigilance against a diverse array of terrorist actors who retain the capability and intent to conduct operations against the United States and our interests. Today's Middle East conflict and the potential implications thereof hits center-mass for a national CT effort that otherwise had been tracking an overall reduced threat emanating from ISIS and al-Qa'ida in the region and was adjusting to a more discrete, though geographically dispersed, terrorist threat. "How this conflict unfolds in the coming days, weeks and months – and the degree to which it may help renew otherwise declining terrorist actors across the globe – will require careful monitoring. In the meantime, the United States must be careful to preserve the capabilities to address an inherently unpredictable range of terrorist adversaries and enable agile responses to emerging threats and crises, even as we confront a myriad of other national security challenges that play out both overseas and in the United States…"These categories of terrorists and threat actors generally align as violent Sunni extremist groups such as ISIS and al-Qa'ida; Iran and Iranian-aligned terrorist groups such as Lebanese Hizballah, some militant groups in Iraq and Syria, the Yemen-based Houthis, Hamas, and Palestinian Islamic Jihad (PIJ); and Homegrown Violent Extremists and other lone actors such as Racially or Ethnically Motivated Violent Extremists with a foreign nexus." CT pressure by the United States and foreign partners during the last 15 years has been critical in degrading the capabilities of the most concerning threats, particularly by disrupting experienced leaders and operatives and exerting sustained pressure against key networks. Consistent with the last two years of testimony to this committee, we assess the most likely threat in the United States is from lone actors, whether inspired by violent Sunni extremist narratives, racially or ethnically motivated drivers to violence, or other politically motivated violence."This is not to say that the threat from organized foreign terrorist groups is gone. Indeed, despite success at deterring sophisticated, hierarchically-directed terrorist attacks in the Homeland since 2001, as of 2022, terrorism threat reporting remained at roughly the same level as in 2010, when al-Qa`ida was at its relative peak, before the death of Osama bin Laden and rise of ISIS. Today's current conflict will undoubtedly fuel even more threat reporting…"Three key themes characterize our leading CT challenges: regional expansion of global terrorist networks despite degradation of their most externally focused elements; the growing danger from state involvement with terrorism; and the reality that lone actors are the most likely to succeed in carrying out terrorist attacks."The United States is safer today because of the suppression of the most dangerous elements of ISIS and al-Qa`ida's global networks. Thanks in large part to American and regional partner CT operations, both organizations have suffered significant losses of key personnel and sustained CT pressure is constraining their efforts to rebuild in historical operating areas. Al-Qa'ida is at a low point in Afghanistan and Pakistan, where its revival is unlikely because it has lost target access, leadership talent, group cohesion, rank-and-file commitment, and an accommodating local environment."Meanwhile, since early 2022, ISIS has lost three overall leaders and more than a dozen other senior leaders in Iraq, Syria, and Somalia—including some who had been involved in planning attacks outside the region—as a result of pressure from the United States and international allies, regional governments, and local opposition forces. These terrorist losses have been partially offset by an increased external threat from ISIS-Khorasan in Afghanistan and the expansion of both ISIS and al-Qa'ida networks across Africa, although these remain largely regionally focused. Thus far ISIS-Khorasan has relied primarily on inexperienced operatives in Europe to try to advance attacks in its name and, in Afghanistan, Taliban operations have for now prevented the branch from seizing territory that it could use to draw in and train foreign recruits for more sophisticated plots…"That said, given Afghanistan's history and the mix of terrorist and insurgent groups that have long operated from its territory, a top CT priority remains protecting against threats emerging from that country. In North and West Africa, we are concerned that the erosion of democratic norms and the withdrawal of some traditional partners could further embolden terrorist groups who already pose a threat to U.S. interests in the Sahel..."In the Middle East, Al-Qa'ida in the Arabian Peninsula (AQAP) remains al-Qa'ida's most dedicated driver of external plotting despite its own losses of key personnel and resources. Remaining senior members of the Yemen-based group continue to produce media reinforcing the cohesion of al-Qa'ida's global network as well as calls for attacks against our interests globally. How AQAP, ISIS, or other regional groups may seek to capitalize on HAMAS' 7 October attack to recruit and rebuild anti-West attack capabilities will be critical to assess as tensions and violence rise as the conflict continues."Our CT enterprise remains focused on the Iranian Government's persistent global activity, including in the Homeland, targeting multiple populations over the past four years, such as Israeli or Jewish interests; Iranian dissidents; and U.S. officials in retaliation for the death of IRGC-QF Commander Qasem Soleimani in 2020. Lebanese Hizballah, a number of Iran-aligned militant groups in Iraq and Syria, the Houthis, PIJ, and Hamas all have long-standing relationships with Iran and have received materiel, financial support, and training from Iran. These groups and surrogates pose an asymmetric threat to the United States and Israel, and the prospect of the Iranian Government's provision of more lethal and sophisticated capabilities to them remains a serious concern."More relevant to the Homeland, we are watching for signs that Iran could pursue additional operations here, though we assess they would be unlikely to do so given the consequences amidst the current conflict. Iran and its proxies do have a history of external operations; Iranian state agents have pursued several dozen lethal plots and assassinated at least 20 opponents across four continents since 1979, while Lebanese Hizballah has conducted international terrorist attacks in Argentina, Saudi Arabia, and Bulgaria."Over the last several years, Iran has plotted against the United States, other Western interests, and Iranian dissidents more aggressively than they have at any time since the 1980s and become increasingly explicit in threats to carry out retaliatory attacks for the death of Iranian officials, especially against current and former U.S. officials whom it holds primarily responsible for Soleimani's death."As of mid-October, Iran is allowing its partners and proxies in the region to conduct attacks amidst the Israel-Hamas conflict. For the United States, this has included Shia militant rocket and unmanned aircraft system attacks against U.S. facilities in Syria and Iraq, leveraging a longstanding capability. Both Iran and Lebanese Hizballah are conducting or permitting dangerous actions that demonstrate their increased risk tolerance within the current crisis. So far, they appear to be avoiding dramatic actions that would immediately escalate the contours of the current conflict or open up a concerted second front with Israel. However, in the present regional context, their actions and those of their proxies carry great potential for miscalculation."Violent extremists who are not members of terrorist groups will probably remain the most likely to carry out a successful attack in the United States over the next several years. The recent resurgence of such attacks in Europe, and the context of the ongoing Hamas-Israel conflict reinforces our assessment. By their lack of affiliation, lone actors are difficult to detect and disrupt. While these violent extremists tend to leverage simple attack methods, they can have devastating and outsized consequences, as we have experienced in the Homeland with attacks in San Bernadino, CA; Orlando, FL; El Paso, TX; and in Buffalo, NY, to name a few."Since 2010, violent extremists influenced by or in contact with ISIS, al-Qa`ida, and other foreign terrorist organizations have conducted 40 attacks in the United States that have killed nearly 100 and injured more than 500 people. In 2022, there were two such attacks in the United States, which is a decline of about 70 percent compared to the seven attacks in 2015—the height of ISIS's territorial control in Iraq and Syria and English-language messaging efforts. This averages out to a decline of almost 7 percent year-on-year during this period. The last Foreign Terrorist Organization-inspired lethal attack was in August 2021. However, we are on high alert for whether the current conflict in the Middle East may prove to be a catalyst for individuals to mobilize for attacks.."Mayorkas Testimony Excerpts"The world has changed after Hamas terrorists viciously attacked thousands of innocent men, women, and children in Israel on October 7, 2023, brutally murdering, wounding, and taking hostages of all ages…Although the terrorism threat in the United States has remained heightened throughout 2023, Hamas's attack on Israel, along with other recent events, have sharpened the focus of potential attacks on targeted individuals and institutions perceived as symbolic of or tied to the conflict. These tensions, coupled with the widespread sharing of graphic and disturbing content related to this conflict, increase the prospects for violence in the United States."In 2024, we expect the threat of violence from violent extremists radicalized in the United States will remain high, marked by lone offenders or small group attacks that occur with little to no warning. Foreign terrorist groups like al-Qaeda and ISIS are rebuilding overseas, and they maintain worldwide networks of supporters that could target the Homeland."Among state actors, we expect Iran, the principal funder of Hezbollah and Hamas, to remain the primary state sponsor of terrorism and continue its efforts to advance plots against individuals in the United States. Foreign terrorists continue to engage with supporters online to solicit funds, create and share media, and encourage attacks in the United States and Europe while their affiliates in Africa, Asia, and the Middle East prioritize local goals."In Afghanistan, ISIS's regional branch, ISIS-Khorasan, continues to harbor intent to conduct external operations and maintains English‑language media releases that aim to globalize the group's local grievances among Western audiences. "Over the past year, domestic violent extremists (DVEs) and homegrown violent extremists (HVEs) inspired by foreign terrorist organizations have engaged in violence in reaction to sociopolitical events. These actors will continue to be inspired and motivated by a mix of conspiracy theories; personalized grievances; and racial, ethnic, religious, and antigovernment ideologies, often shared online."The threat of a "lone wolf" actor attempting to exploit the conflict between Israel and Hamas and incited to violence by an ideology of hate is of particular concern. Foreign terrorist organization and lone offender reactions based on perceptions of U.S. support to Israel could further escalate the threat to Jewish, Muslim, and Arab-American communities in the United States and to U.S. government officials. As the conflict endures, graphic visuals will likely continue to circulate online and garner significant media attention, potentially acting as a catalyst for various violent actors who have shared and continue to share this kind of material…The PRC [China] and Iran likely will remain the most aggressive actors within the United States."