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1-. International relations (IR) theory has suffered a restructuring among several lines over the past two decades. The gradual but uninterrupted decline of systemic theories - primus inter pares in the discipline since the 1970s- is one of those. (1) This decline was accompanied by a rise of those approaches that privilege domestic politics as the place to look for answers. For reasons I will develop below, such an intellectual step was logical, expected, and partially appropriate. (2) While the current state of affairs should not be seen as immutable and a systemic comeback is plausible, the truth is that domestic politics, and non-systemic approaches in general, are well entrenched in a semi-hegemonic position. In this essay I will explain the reasons behind the aforementioned shift, assess its consequences, and advance some hypotheses on the future of systemic theories of IR.2-. Born between the interwar period and the dawn the Cold War world, IR was created with the explicit objective of explaining the causes of war –particularly great wars, understood under the lenses of the two devastating conflicts of the first half of the 20th century. Since then, IR scholars have struggled to respond to the main challenges –or what they perceive as the main challenges- in world politics. (3) This "duty" to explain the world drives theory to follow the patterns of change in international politics, which, as they develop, suggest new problématiques and novel ways to approach them. In important ways then –although, as discussed later, this is not the whole picture- (4) a sociology of inquiry is needed to better understand some of the key transformations in IR theory -e.g. the shift from systemic to domestic theories. Systemic approaches (5) made their meteoric rise under the shelter of K. Waltz's Neorealism. (6) They were created as a tool for a particular time with particular problems. (7) This was a world in which the primary preoccupation was how to manage the bilateral relationship between the United States and the USSR so that it would not en up in World War III. There were certainly other interests in the discipline, but this one outweighed all the rest. A Cold War context made systemic theories very appropriate. Needless to say, the bipolar conflict had been in place a long time before Waltz's path-breaking Theory of International Politics. (8) The essential point is, however, that Neorealism proved to be very successful in explaining the basic patterns of interest in this particular period of the history of IR –i.e. dynamics of polarity, relevance of nuclear weapons, consequences of anarchy and its relationship with war and cooperation, inter alia- in a more parsimonious and convincing way than the discipline had ever been able to do.The IR community recognized this "Copernican turn", as Waltz defined it, as progress and systemic approaches were established as mainstream, maybe even as "normal science." Anyone trying to explain something in international politics had to reckon with the system. This was true for realists (see the work of Gilpin, Walt, and Grieco) but also for scholars with a line of inquiry that differed substantially from Waltz's (see Keohane's Cooperation after Hegemony for a good example). 3-. A dramatic event that shakes the bases of an academic discipline is sometimes needed to motivate scholars to devise new lines of inquiry and surpass research programs that appear to be losing heuristic power. This is what the fall of the Soviet Union did with Neorealism, and systemic approaches in general. (9) Structural realism was in many ways, and problematically so, a theory for the Cold War. Its discussion on nuclear weapons, bipolarity, uncertainty, and superpower dynamics seemed to be too tied to a specific historical context. (10) The inability of neorealism, or any other systemic theory for that matter, to foresee –or even explain- the disappearance of the bipolar world –a systemic change par excellence-supposed a hard blow to its appeal. (11) Both the fall of the USSR and the subsequent appearance (or uncovering, once the Cold War veil was lifted) of new "themes" in international politics -IPE, civil wars, the role of leaders, the democratic peace, inter alia- opened a fertile camp over which to argue for the need to "go beyond systemic theory." (12) I argued supra that this was an appropriate move (or partially appropriate). But the reasons implicitly inferred up to know -failure in predicting events and a crisis in the IR community (in a Kuhnian sense)- cannot support this claim. The other face of the coin is that the thorough self-examination of the 1990s also responded to internal problems of systemic theories as research programs. For example, in the 1980s the discipline was stuck in the mud of absolute vs. relative gains debate, a degenerative discussion from a Lakatosian perspective. (13) Visible problems of heuristic power were calling for a partial move beyond the system. This was the real cause for the shift, and the best argument to characterize it as "appropriate". The exogenous shock (fall of the USSR) had the role, not at all minor, of opening a window of opportunity for dissenting scholars. Helen Milner was one of the most eloquent advocates for this turn. Her argument, in short, was that "systemic theory simply cannot take us far enough" (Milner, 1992). The assumption that anarchy was the principal variable defining states preferences and the primacy of a straight causal line from the system to the state and then to policy-making was excessively simplistic, Milner argued. How could the discipline solve this quagmire? By studying domestic politics to understand states' preferences and, consequently, the differing patterns of conflict and cooperation in international politics. (14) As Milner contended: "…cooperation may be unattainable because of domestic intransigence, and not because of the international system." (15) A reaction against systemic theories was not exclusive to the liberal trenches. Following this turn toward domestic politics, some realist scholars directed their efforts at the incorporation of domestic variables as a way to add complexity to systemic models that they saw as too crude. In his From Wealth to Power, F. Zakaria argued that anarchy and the distribution of power were not enough to explain the behavior of rising powers. After observing that at the end of the 19th century the US was not as assertive as a structural approach would have predicted, he hypothesized that this was because it did not have the governmental capacity to do so. To solve this puzzle he argued for the incorporation of models of resource extraction and governmental capability to try to get through the Neorealist corset. This was an important intra-realist challenge to a somewhat ossified systemic realism. (16)The rise of domestic approaches represented a generalized discontentment with the excessive importance given to parsimony and the inflexibility that came with it. Parsimony, which should be no more than a tool in theory building, was placed as a goal in itself, restricting research in a way that went against the discipline's own progress. Those boundaries had to be overcome if we wanted to say something about some of the important issues left unstudied by a focus on the system. Once again, the Cold War world with its apparently clear strategic problems may have seemed more propitious to a highly parsimonious approach to theory building. In a post Cold War world, the costs of parsimony were too heavy. Domestic theories certainly lost in parsimony, but they gained in a more real approach to IR problématiques. This was the primary rationale behind the turn here discussed, and in this limited sense, the shift was appropriate. (17)4-. It would be nice to unambiguously assert that the fall of systemic theories made IR a coherent and progressive discipline. This, unfortunately, is not the case. The past two decades have seen the formation of a different ethos of theory building and discipline development that may end up doing more harm than good to our broader understanding of international politics. Something not mentioned up to now is the ascent of quantitative and strategic-choice approaches in the discipline. Quantitative approaches gained prominence by the same time that, and related to, domestic theories were supplanting systemic theories. (18) Strategic choice and game theory, following developments in other academic areas -especially economics-, also gained importance in the 1990s under the idea of formalizing theories and going beyond the "isms." There is nothing wrong with these approaches per se. Quantitative work has been very important in the empirical development of IR -maybe too neglected in the past. Formal theory, on the other hand, is a powerful and clear tool to build and evaluate theories while avoiding problems of underspecification all too common in the discipline –though, this is only true if one can get through its assumptions. (19)The problems of this new "methodological bets" are to be found in the costs for the general development of the discipline. The most pressing are the ones related to the idea that theory construction should be a bottom to top affair, and the implicit notion that by building the parts individually we will eventually end up in a progressive accumulation of theoretical knowledge. However, this epistemological decision may well result in the proliferation of particularistic theories of problems ever more sophisticatedly studied, increasingly particular and micro, and in crescendo uninteresting. (20) By depending on a kind of magical automatic accumulation of theoretical knowledge we are risking to end up with an even more chaotic and incoherent discipline (more on this in the conclusion). 5-. As said in the introduction, the fall of grace of systemic theories cannot be taken as an irreversible given; it is possible to devise some scenarios in which systemic approaches could make a comeback.The first one is linked to the relationship between theory and History discussed earlier. The post Cold War world, particularly the 1990s, was a strange period for the discipline. The study of IR has historically dealt with great power politics as its core. The "curious" 1990s came with a certain absence of great power politics, especially due to the overwhelming power position of the US. This goes a long way in explaining the growing emphasis on domestic politics, civil wars, international organizations, inter alia, during those years. A partial return of classical great power politics (or the perception of it) -for example under the banner of the rise of China and some other middle powers- might motivate a recasting of systemic theories -particularly for those wanting to study polarity (a passé topic in the unipolar 1990s), (21) systemic change and its consequences, etc. (22)Another plausible scenario would be the success of some of the ongoing projects to make systemic theories more sophisticated and comprehensive by, for example, incorporating domestic variables. A good example is "Neo-classical Realism" (see fn. 16). This research project proceeds from a systemic assumption of the influences of the system (that is, a neorealist basis) but incorporates domestic politics as an intervening variable between systemic pressures and decision-making. Though a rather interesting proto-school, Neoclassical Realism is still in its infant stages and has yet to produce work of remarkable characteristics. Lastly, domestic politics, as should have been expected, were not the panacea for the development of IR theory. There might well be a social exhaustion with the results of domestic and micro-theory –a Kuhnian crisis analogous to the one that discredited systemic theories. This may eventually take IR on unexpected paths. Nevertheless, if measured by academic output and Geist, predicting a comeback of systemic approaches seems a risky bet. The discipline appears to be quite comfortable with increasing its empirical production, formalizing theories towards an Icarian "scientism", and avoiding, at its own peril, a "wholist" view of international politics. 6-. Going beyond systemic theories –not in the sense of vanishing them, but of relaxing some of their strictures, increasing their sophistication, and trying new approaches- was the necessary thing to do for a methodology that was unable to cope with many of the relevant problems in IR. The turn to domestic and particularistic perspectives brought much needed renovation, indeed. However, the excesses incurred by systemic theorists as a result of an obsession with parsimony and structural effects may now seem analogous (although for the opposite reasons) to a fixation with the particular and micro-level studies in contemporary IR theory. A blind push to obtain ever more data of increasingly micro phenomena puts at risk what we can say about international relations in general. We may, for example, be more much prepared to sophisticatedly answer why a specific insurgent group responded in a specific way to the level of aggression of a specific state, (23) but we may also be losing our interest and capacity to think about the nature of conflict in its most elemental condition. The stakes are too high for the IR community to avoid an honest discussion on how far we are willing to continue on this path. (1) This essay works with the assumption of a relative decline of systemic apporaches. To argue that they have vanished would be utterly incorrect. For a convincing argument on the inevitability of structural constraints see Jervis'sSystem Effects.(2) Although a change may be welcomed, the results are not always as encouraging as expected (more on this qualification of "appropriate" later).(3) This does not mean, of course, that there is an exclusive focus on policy or immediacy, It means that in its most basic essence, the idea of the discipline is to be able to provide some answers to the pressing problems in the international system. To give an example, few people would be interested in studying the prospects of war between France and Germany in the 21st century per se –though it surely is studied as a historical case that can shed light on other issues-, while this was one of the main topics in the nascent IR discipline.(4) Social science does not progress only by exogenous shocks, but also for endogenous reasons that cannot be explained by what happens outside theoretical disscusions.(5) Understood simply as those that privilege the influence of the structure over the behavior of the units.(6) This type of theories certainly were not born with Waltz; systemic is a much broader category than Neorealism. The important point is that Waltz devised the more convincing type of systemic theory. For simplicity, Waltz' Neorelism will be used here as the epitome and a kind of proxy for systemic theory. (7) It must be said that the rise of systemic theories also responded to changes in the social sciences in general; for example, the influence of structuralist anthorpoligist Levi-Strauss' work, which Waltz knew well.(8) Theories of IR before Waltz hosted a diverse group of analysts: Classical realism from the hand of a Hans Morgenthau, Geroge Kennan and Raymond Aron; liberal approaches from a Stanley Hoffman, Robert Keohane and Joseph Nye; Bureacratic Organization and foreign policy from a Graham Allison; and a long et cetera.(9) See R. N. Lebow, "The Long Peace, the End of the Cold War and the Failure of Realism."(10) See I. Oren's Our Enemies and US: America´s Rivalries and the Making of Political Science.(11) As with its rise the decline of systemic theories was also linked to broader transformations in the world of ideas, to which IR seems to always be a latecomer. From a broad perspective, this phenomenon had started in the 1960s with the work of Foucault, Derrida, Geertz and others.(12) The end of the immediate preoccupation with bipolarity also gave the opportunity to rethink some long-term historical problems of Neorealism (see Schroeder 1994).(13) Some of the scholars engaged in this deabate were: Keohane, Grieco, Axelrod, and Mastanduno; cf. Milner (1992).(14) In another article in International Organization (1987) she argues that to understand the way in which states make decisions in the international economy it is not enough to look at anarchy. Her model studies the type of economic links between countries (high or low interdependence) and the influence of interests groups that may pressure the state to make particular decisions; these policy outcomes would have been incomprehensible from a systemic/anarchic stance. According to Milner, there is an important dynamic of preference construction and strategies adopted that are to be found in domestic politics.(15) See also Putnam (1988) for an interesting effort to move beyond lists of domestic factors and towards a coherent two level theory.(16) This line of research has been given the title of Neoclassical Realism (see G. Rose 1998). See the work of R. Schweller, J. Taliaferro, A. Friedberg, and T. Christensen.(17) Systemic theories were also attached to what has been discussed as the "paradigm wars" between realism, liberalism, constructivism, etc. The turn away from them can also be given credit for helping to discredit this unproductive way of theorizing.(18) This trend was tied to the notoriety of the "democratic peace" project that was, and still is, an empirical enterprise at its core. See Russett and Oneal (1999); cf. Gartzke (2007).(19) See Wagner, War and the State, and Lake and Powell Strategic Choice and International Relations.(20) This is not the nature of all the work in this approach, of course, but just a possible trend of the school as a whole. See Walt's "Rigor or Rigor Mortis" for a sharp, but not always convincing, critique.(21) For an exception see the work by N. Monteiro on unipolarity. This does not mean that polarity disappeared from the IR map, but it was certainly shrinked as a research question.(22) Some young scholars on this line of research are: P. MacDonald, J. Parent, D. Kliman and M. Beckley.(23) See Jason Lyall's "Does Indiscriminate Violence Incite Insurgent Attacks? Evidence from Chechnya" To be fair, Lyall's work attempts to generalize from this specific case –how convincing he is not very clear, however. *Ph.D. StudentDepartment of Political ScienceUniversity of Pennsylvania.E-mail: gcastro@sas.upenn.edu

Abstrak Karya sastra merupakan miniatur dari dunia nyata, dimana sebuah karya sastra biasanya mengungkap beberapa masalah yang berkaitan dengan makhluk hidup termasuk isu-isu tentang hubungan manusia dengan alam. Manusia lebih cenderung melakukan kerusakan pada lingkungan daripada menjaganya, hal ini menyebabkan kehancuran bumi beserta isinya. Hal ini tergambar pada novel The Road karya McCarthy dimana lingkungan yang menjadi setting utamanya hancur berantakan. Lansekapnya tertutup oleh abu yang berterbangan. Dan ketika salju turun, ia berwarna abu-abu. Langitnya juga terlihat gelap. Oleh sebab itu, ada beberapa masalah yang berhubungan dengan kehancuran bumi yang tergambar pada novel yang kemudian memunculkan dua dasar pertanyaan (1) bagaimana kehancuran bumi digambarkan dalam novel The Road karya McCarthy? Dan (2) bagaimana kehancuran bumi memberikan dampak terhadap karakter utama dalam novel The Road karya McCarthy?. Untuk melihat masalah ini perlu teori yang pas yang biasa disebut ecocriticism. Ecocriticism melihat kehancuran bumi sebagai hasil dari tingkah laku manusia terhadap lingkungan misalnya: eksploitasi dan colonialisasi. Seperti yang dikatakan Lawrence Buell bahwa kondisi lingkungan itu ditentukan oleh manusia. Ecocriticism adalah suatu istilah yang berada dibawah payung postcolonialism dimana seorang postcolonialist meyakini bahwa kolonialisasi mempunyai campur tangan dalam penghancuran bumi. Para penjajah merasa percaya diri untuk mengeksploitasi bumi karena dianugrahi kekuatan oleh modernism. Untuk mendapatkan analisis yang jelas, skripsi ini menggunakan metode descriptive quality dimana kualitas data menjadi poin utama daripada jumlah data. Jadi, terlihat jelas bahwa kehancuran bumi terjadi diseluruh lapisan lingkungan; yaitu atmosfer, permukaan tanah, dan laut. Seluruh atmosfer dipenuhi oleh abu, debu dan karbon, tanahnya terkikis, tandus dan gundul, dan lautnya berubah menjadi abu-abu. Kehancuran bumi ini juga memberikan kesuraman tersendiri kepada tokoh si bapak dan si anak. Mereka harus melalui hidup yang keras, susah untuk bernafas, susah untuk menemukan sesuatu yang bisa dimakan dan secara mental mereka selalu takut akan ancaman-ancaman dari kehancuran bumi. Kata Kunci: kehancuran bumi, ecocriticism, postcolonialism, modernism. Abstract Literary work is a miniature of larger world or reality, whereas a literary work reveals some problems related to humans being including issues of human relationships with the environment. Humans tend to do damage to the environment rather than maintaining it, thus it causes devastation of earth. It is reflected in McCarthy's the road where the environment is devastated. The landscape save the ash on the wind, and when the snow falls, it is gray. The sky is also dark. Therefore, there are some problems of knowledge about how the devastation of earth portrays in the novel, which are delivered to two main questions of (1) How is devastation of earth depicted in Cormac McCarthy's The Road? and (2) How does devastation of earth give impacts to the main characters in Cormac McCarthy's The Road?. In case to observe these problems, it needs a suitable theory which called ecocriticism. Ecocriticism sees the devastation of earth as the result of humans' behaviour such as exploitation and colonialism of the environment, as Lawrence Buell says that the condition of the environment is determined by humans. Ecocriticism is under umbrella term of postcolonialism in which postcolonilist believes that colonization has intervention in devastating the earth. Colonizer is encouraged to exploit the nature because of power that is given by modernism. To get a clear analysis, this thesis uses descriptive quality method; it means the quality of the data becomes the reference to work rather than the quantity of the data. Thus, it is seen clearly that devastation of earth happened in the whole layers of environment; atmosphere, land and sea. The atmosphere is occupied by ash, dust and carbon, the land has eroded and barren and the sea have changed into gray. This devastation also gives a misery to the father and the son as the main characters. They have to undergo hard life; hard to breathe, hard to find food and mentally they are haunted by the devastated earth's threatens. Keywords: devastation of earth, ecocriticism, postcolonialism, modernism. INTRODUCTION Humans often feel indifferent toward nature. For them, nature is something considerably as a 'mystic' thing, when it goes right, humans forget it, when it goes wrong, they worry it. People tend to prefer natural environments more than built environments, and built environments with water, trees, and other vegetation more than built environments without such features (Kaplan & Kaplan, 1989). On the other word, humans tend to permit the nature walks down by itself. They seem to just let it flow without thinking how to keep and maintenance the nature. The study of humans' relation with nature which is known as ecology was begun since years ago when humans lived in harmony with the nature. However, in line with development the nature also changes. Unfortunately, this natural changes brings devastation on earth, as Donald Hughes says that looking back to our historical ecology, Humans have related in multiple ways to the Earth's systems; some of these ways promise a sustainable balance with them, while others are destructive (Hughes, 2001: 269). Historically, through devastation of earth Humans have made major changes in their environments. This is happened almost in the whole surface, as Hughes says that devastation of earth has happened in every historical period and in every part of the inhabited Earth (2001: 1). In order to observe those processes of change that affect the relationship, ecologist studies the mutual effects that other species, natural forces, and cycles have on humans, and the actions of humans that affect the web of connections with non-human organisms and entities (id. at 4.). This ecologist's study shows that devastation of earth is the result of humans' behaviour toward environment. This bad behaviour has changed the environment that will bring devastation to the humans themselves. Humans seemingly don't care of the environment. Severity, humans tend to be more destructive. It forces some Ecocritics who concern in literary study and environment in late nineteenth criticized humans' behaviour toward nature. This criticises show how important avoiding that kind of behaviour toward nature which brings devastation of earth merely, it signed that the study of literature which related to the environment has to be discussed. There were in fact some isolated calls for an ecologically oriented criticism during the 1970s (Rigby, vol 2: 2). However, it was not until the end of the twentieth century that the study of literature and the environment was finally recognized as 'a subject on the rise'. In studying of literature, humans ordinarily focus on the relation between humans and others (society) or between humans and themselves (psychology), whereas, the relation between humans and environment actually is tightly connected. Unfortunately, the study of literature which related to the earth was often forgotten, whereas, the study of literature which related to the environment is greatly important. The study of environment is not merely observing of the nature or nonhumans aspect but it tends to study the relation among nature, earth and the humans themselves. Human actually is a part of environmental system, and therefore the environment has the crucial role in humans life in which it is become the main point of literary study. In some respects, it is perhaps not surprising that the study of literary texts should be coupled with such forgetfulness of the earth. Thus it is needed a study of humans' relation and environment. The study of literature and environment got a full attention when modern era begun to destruct the environment. Since last decade ago, especially years ago, humans consciously realized the impacts of their behaviour toward nature, moreover when they become crazier of invention, exploration and exploitation of the nature. Surely, this impact is indirectly causing ecological changes. However, actually what people do about their ecology depend on what they think about themselves in relation to things around them. Human ecology is deeply conditioned by beliefs about our nature and destiny (White 1996, 6). It can be imagined when humans were only thinking about themselves and forgetting the nature or they were just considering their needs without considering the nature needs, it can be ascertained that the nature will vanish and be extinct. This idea or thought about indifference toward nature is criticized by the Ecocritics. Ecocriticism maintains that literature may be approached in a way that examines humans as part of an ecosystem; they are neither master nor slave to it, but simply one part of an intricate system. Literature and environment truly can't be separated each other. Moreover, Lawrence Buell argues in his book The Truth of Ecology as quoted by Dana Philip that literature would be environmental. It would evoke the natural world through verbal surrogates, and would thereby attempt to bond the reader to the world as well as to discourse (Philip, 2003: 7). It can be assumed that through the literary work, the reader will be brought to the environmental world and devastation of earth. Indirectly, literature causes the reader's interpretation of the environment. Thus, it is important to understand the relation between humans and environment through literary work. It needs to notice that ecology is not a slush fund of fact, value, and metaphor, but a less than fully coherent field with a very checkered past and a fairly uncertain future (Philip, 2003: 45). By understanding the relation between humans and environment, it is beneficial to determine the act effectively on the impact of natural destruction and to integrate knowledge and actions. The study of literature and environment works in tandem in determining humans' perception and interpretation toward nature. As Lawrence Buell says that literature and environment studies must make their case for the indispensableness of physical environment as a shaping force in human art and experience, and how such an aesthetic works (2001: 9). It can be assumed that environmental interpretation is a humanistic inquiry. In other word, what people think about nature, and how they have expressed those ideas is what people interpret of the nature. Generally what people expressed the idea of the nature is a Realistic depiction of the world. Thus, it needs a tool to see this depiction. Surely Ecocriticism is a proper tool to see the depiction of the world. Ecocriticism is the most suitable binoculars to telescoped ecological issue and ecological changes in such literary work, as Sheryl Glotfelty (1996: xviii) says that Ecocriticism is the study of the relationship between literature and the physical environment, Ecocriticism takes an earth-centered approach to literary studies. Only Ecocriticicism observes the relation between humans and nonhumans aspects. What Ecocritics do, in short, is attempting to discover nature as absence, silence in texts, and construe environmental representation as a relevant category of literary (Buell, 2005: 30). Ecocriticism encourages the changing of canonisation through entering literary works which carry up natural issue. Ecocriticism ecologically oriented critique of the way in which Nature is constructed in certain canonical texts. Environmental literature constitutes the third way in which Ecocriticism recasts the canon. According to Lawrence Buell (1995, 7-8), an environmentally oriented work should display some characteristics; first, the nonhuman environment is present not merely as a framing device but as a presence that begins to suggest that human history is implicated in natural history. Second, the human interest is not understood to be the only legitimate interest. Third, Human accountability to the environment is part of the text's ethical framework. The last, some sense of the environment as a process rather than as a constant or a given is at least implicit in the text. In such literary work; Cormac McCarthy's The Road the nature as the setting represents ecological changes. Surely, this change causes devastation of earth. Nothing is more miserable on earth but devastation. The world which is the closest place we live at is not convenient again when it was devastated. Thus, literary and environment has interrelation that cannot be separated. Then, it is important to analyze such literary work through Ecocriticism. Ecological issue commonly represented by the presence of natural thing such as; tree, land and also circumstance in the novel which it become the setting. In other word, ecological issue become a centre point of setting. One of great writers in narrating the setting is Cormac McCarthy. Not only known as a king of the setting, McCarthy also has known as famous environmental setting as Addy Haddock (a writer of McCarthy's bibliography) says that his ability to provide eloquent descriptions with smoothly rolling darker undertones and poetically dismal nuances makes him become a writer with powerful setting. Thus, McCarthy is a right author referenced as a study of Ecocriticism. Indirectly, McCarthy's proficient is caused by his settled at a barn near Louisville, Tennessee. All the stones he gathered, all the wood he cut and kiln dried by himself to renovate his small house. Seemingly, McCarthy's life is not far away from the nature. Years later, after marrying fellow student Lee Holleman in 1961, he and she moved to a shack with no heat and running water in the foothills of the Smoky Mountains outside of Knoxville. These experiences of life sharpen his idea toward nature. McCarthy reveals that he is not a fan of authors who do not deal with issues of life and death; it can be assumed that his writing tends to be explored issues of life including devastation of earth. Recalling blithely the months he spent without electricity in a house in Tennessee. Without money, and he had run out of toothpaste and he was wondering what to do when he went to the mailbox and there was a free sample. It made him become more sensitive facing the nature and more respect it. In 2006, McCarthy writes The Road that grants him a change to be interviewed by Oprah Winfrey. Surely, this interview related to his writing especially devastation of earth and won Pulitzer Prize for fiction. McCarthy told Winfrey that related several stories illustrating the degree of outright poverty he endured at times during his career as a writer. He also states that his novel; The Road inspired when he was standing at the window of a hotel in the middle of the night, his son asleep nearby, he started to imagine what El Paso might look like 50 or 100 years in the future. He just had this image of these fires up on the hill. It shows the condition of the nature at the time which the hill was fired up. McCarthy can be categorized as a weird person. People usually gathered with other people who have same hobby or pleasure. However, it doesn't apply for McCarthy. As a writer, he doesn't like to gather with other writer. He would rather hang out with physicists or scientist than other writer. He does not know any writers and much prefers the company of scientists. No doubt if his knowledge of nature is rich. His knowledge of the natural world is vast and includes many of the Latin names of birds and animals. His pleasure gathering with physicists and scientist caused by his interest in science and environment, by absorbing the intelligence scientists, he realizes that in 100 years the human race won't even be recognizable. For him, what physicists did in the 20th century was one of the extraordinary flowerings ever in the human enterprise, which would much prefer to befriend a scientist than another writer. Most of McCarthy's novels are portraying about life or reality which many of them associated to ecological issue. In 1985, Blood Meridian was published. Blood Meridian portrays the desolate and indifferent 1850s Texas-Mexico borderlands. The extreme violence which takes place comments implicitly on both the environment and human nature. The novel's full title- Blood Meridian, or The Evening Redness In The West- is indicative of the novel's portrayal of the environment. A relationship between location, nature and violence is created in the symbolism of the sun as a "blood meridian". To call McCarthy's environments as constructed in Blood Meridian simply violent is an unsatisfactory conclusion. What is more appropriate and evident in the text is that man is inherently violent and the indifference of nature to this creates an amoral setting. In 1979, McCarthy published his fourth novel, Suttree. In short, Suttree tells the reader about a man named Cornelius Suttree, a fisherman, disillusioned scholar, alcoholic, nihilist, existentialist and transcendentalist. The attention to detail identified earlier in Suttree is telling in terms of his relationship with his environment. Generally, to an Ecocritical reading Suttree shows that, stripped of societal anthropocentrism, man is forced to reassess his relationship with nature. It could be said that McCarthy's prose style is often atavistic (anti-civilization, anti-materialism, anti-industrialism, anti-progress and pro-Nature) in that it both reflects natural processes and often appears primitive, stripped of culture. In 1973, Child of God was published. It was inspired by actual events in Sevier County. Child of God begins with Lester Ballard's dispossession from his parent's house. McCarthy's description of Ballard's lone nomadic wandering after he inadvertently burns down his squat uses the same free indirect discourse. Child of God can also be described as an existential text, particularly for the authenticity of its protagonist. Lester Ballard's atavistic tendencies bring him closer to an animalistic level. From those all of McCarthy's novels, The Road which was published in 2006 by Vintage book publisher is the most representative novel which is related to the study of Ecocriticism. The novel is generally thick of environments' issue. The issue for instance is the fire of woods that happened along the country which give the reader an image of burned land, ash and dust everywhere and so on. Because of this reason, the writer felt that The Road is interested to be analyzed through ecological critics. In short, the novel portrays a journey of father and son as the main character in a burned land in America. The issue of devastation of earth becomes the centre point of interest which grasps the whole setting of the novel. The Road brings the readers onto 'the future' in as much as it is set in a time after an ambiguous 'end' has occurred and society has collapsed. The reverse of the most recent reissue claims that it is the first great masterpiece of the globally warmed generation. It is also the first of McCarthy's novels to have provoked Ecocritical study. This wide appeal to the novel relies strongly on its environmental themes. The use of allusion to genre and form elsewhere in McCarthy's novels can be said to universalise his appeal but in The Road the key concern is the 21st century's most immediate global problem; the irrevocable damage global industrial capitalism is doing to our environment. It is difficult to read The Road without feeling the overwhelming cumulative force of the novel's desolation, and this desolation is most prominently present in the landscapes McCarthy portrays. The setting is almost entirely bereft of life; the little that is found is often malign humanity. The Road greatly represents a study of Ecocriticism. It portrays the colourless world because of devastation of earth. This devastation issue is common object of the Ecocriticism study. The Road continually reminds us of the bleakness of the landscape in the earth. As readers, we only experience bright colours through the characters' dreams or memories, if someone happens to bruise or bleed, or through fire or flare guns. The rest of the time we see a gray ash covering the landscape. As a reality, our landscape is actually green and natural. However, The Road shows the possibility of devastation of earth when humans did devastation to the nature and they can't live in harmony with the nature. Therefore, there is no doubt that The Road becomes the most influencing novel toward environment. It proves from the acclaim written in the novel by George Monbiot, an environmental campaigner that says "It could be the most important environmental book ever. It is a thought experiment that imagines a world without a biosphere, and shows that everything we value depends on the ecosystem." According to the brief story in background of the study that gives perception about the devastation of earth in the novel, it appears two questions as the problems: 1. How is devastation of earth depicted in Cormac McCarthy's The Road? 2. How does devastation of earth give impacts to the main characters in Cormac McCarthy's The Road? METHOD The used method is descriptive quality; it means the quality of the data becomes the reference to work rather than the quantity of the data. Besides, a technique is needed to understand the data. Technique of interpretation must be used to interpret and analyze the data. Through interpretation the analysis can be worked. Interpretation is a crucial step that has to do before analyzing the data. Then, extrinsic approach is used as an approach toward the analysis in which environment belongs to it. According to method above, the first thing that has to do is collecting data. In collecting data this research focuses on reading and documentation. Reading novel. In this step, novel becomes the object of the research. The novel is entitled The Road, written by Cormac McCarthy. To collect the correctly data, it needs reading more than once, because to get interpretation, it needs understanding all contents completely with all possibilities both intrinsically and extrinsically. Inventorying data. This step is collecting data through noting the quotations related to the statement of the problems and objectives of the study, it is including in words, sentences, and discourse that can represent devastation of earth in Cormac McCarthy's The Road. Thus, all data that will be analyzed are started and sourced through the novel's contents. Classification data. It is appropriate to the statements of the problems about devastation of earth in Cormac McCarthy's The Road. Tabling the data. It is to simplify reading the data and classify data that is used in the analysis for the readers. Continuously, the selected data or the collected data, which are related to the statements of the problems and the objectives, are analyzed through Ecocriticism in depicting the devastation of earth and its impacts to the main characters in Cormac McCarthy's The Road. MODERNISM The word "modern" closely means to up-to-date, abreast of the times, and going beyond the past in more than a temporally or chronologically literal sense (Greenberg, 1979; 2). Marshall Breman as quoted Jan Rada defines modernism as a trend of thought that affirms the power of human being to create, improve, and reshape their environment, with the aid of scientific knowledge technology and practical experimentation (2008; 6). Breman then argues that modernism is as any attempt by modern men and women to become subjects as well as objects of modernization, to be modern is to find ourselves in an environment that promises us adventure, power, joy, growth, transformation of ourselves and the world-and, at the same time, that threatens to destroy everything we have, everything we know, everything we are (Berman, 1982; 5; 14). The development of modernism emerged two poles that confront each other; science and technology and natural degradation. As Helena J. Keler explanation that the image of 'creative destruction' is very important to understanding modernity precisely because it derived from the particular dilemmas that faced the implementation of the modernist project. This destruction of a holistic universe in the modern era shatters the conception of human beings and societies as total entities, instead inaugurating an era characterized by a never-ending process of internal ruptures and fragmentations within itself (Keler, 2005: 4). According to Horkheimer and Adorno as quoted by Helena, modern capitalist society is engaged in a pattern of domination: the domination of nature by human beings, domination of nature within human beings, and this system of domination is driven by fear of the human and nonhuman unknown the Other (Keler, 2005: 3). Movement of modernism manifests itself in the self-destructive nature of symbolism: when pushed to its logical extreme, the symbolist aesthetic starts to forgo any notion of an organic, necessary relationship between signifier and signified, and simply imposes a particular motif as an arbitrary symbol of something else (Hutchinson, 2011; 58). Modernism often demonstrates the destructive rather than constructive nature. Modernists argue that the ecologically destructive projects are not viable because of climate change but modernism movement (Johnston, 2012: 207). Specifically, Barbara Rose Johnston states that Human conduct that contributes to the destruction of our ecological balance. Such interpretations of environmental change, however, can have undesirable effect of deflecting responsibility, since blame is placed on a cycle of time about which a person can do nothing (Johnston, 2012: 212). Global environmental change, which spans natural sciences, policy and development studies, is currently experiencing its first waves. Perhaps it is time to recognize that already some people are getting their feet wet. On what criteria should one decide to retreat to higher ground or stick it out unmoved until the tide turns. Modernism challenges the modern project of understanding global environmental change and doing something about it when it causes problems (Blaikie, 1996: 81). According to Piers M. Blaikie, modernism First, it challenges all embracing world views or 'meta narratives' which tend to be highly teleological and assume the validity of their underlying assumptions and their claims. Thus, the role of environmental scientists in policy making as 'talking truth to power' and as the only rational and legitimate brokers between the 'real' environment and the rest of us, is rejected. Second, it challenges the tendency that is more pronounced in areas of global environmental change where the local hands on experience of the environment (land degradation, desertification and biodiversity). Third, it challenged that reality is socially constructed. An epistemology which builds models of society and environment with causal connections is challenged by one which is constituted as a series of descriptive accounts according to different actors' perceptions (Blaikie, 1996: 81). Modernism encourages people and countries to over-exploit natural resources, and contribute to reductions in spending on social and environmental welfare (Huckle, 1999: 36). Moreover, environmental reductions being blamed on the impact of foreign cultural domination this has allegedly eroded and damaged the 'essential harmony' between humans and nature (Mawdsley, 2001: 96). Evernden contends that the second instrumental vision of control and domination over nature is the historical product of modernity, more specifically of Renaissance, when a new mode of knowledge, based on reason and experimentation replaced the medieval search for knowledge as contemplation and wisdom (1992). This argument is supported that Modernity is thus responsible for creating Nature by abstracting from nature, and with it a whole history of conquest and domination comes to be enacted. In the words of C. S. Lewis: "We reduce things to mere Nature in order that we may "conquer" them. We are always conquering Nature because "Nature" is the name for what we have, to some extent, conquered" (Lewis, 1978: 42). Latest, Environmental problems and other risks encompass less than the globally catastrophic. More and more disaster experts, development agencies, and citizens' groups are supporting that the globalisation is largely responsible for such human misery (Huckle, 1999: 36). Modernism signed by the development science and technology (Somerville, 2006: 17-18). Further, given the increasing production by technologically advanced capitalism of risks that threaten us all ironically that technology induced catastrophes and environmental disasters (Simon Cottle, 1998: 8). Since the Enlightenment, technology, especially science-based technology, has offered the promise of a better world through the elimination of disease and material improvements to standards of living. On the other hand, resource extraction, emissions of dangerous materials, and pollution of air, water, and soil have created conditions for unprecedented environmental catastrophe and have already caused irreversible damage to the biosphere (Vergragt, 2006: 7). Ironically, the persisting contradictions between a better life created and supported by technology for the wealthy few, also caused the increasing environmental degradation and persistent poverty for the vast majority calls for a deeper exploration and understanding of the nature. Philip J. Vergragt then, states that technology will support and enhance a "good life" for all of its citizens, in both rich and presently poor countries, without compromising the Earth's ecosystem or the prospects of later generations (Vergragt, 2006: 8). Thus, science and technology which shaped to the sophistication give man a power to colonize the earth. POSTCOLONIALISM Environmentalism in post-colonial discourse has its beginnings in Alfred Crosby's account of the impact of European incursions into the Americas and the Pacific (Ashcroft, 2000: 71). This incursion of course destructs not only the country; physical building and ideology but also the environment and nature. The conquest and colonization of so many extra-European environments produced irreversible changes in land use, in flora and fauna and frequently damaged beyond repair traditionally balanced relations between indigenous communities and their environments, a relationship unlike that of their conquerors crucial to their understanding of their 'being' as of the land rather than merely on it (Ashcroft, 2000: 71-72). He adds that imperial incursions and colonization have been regarded as environmentally destructive, yet as Richard Grove argues, the perception of what had already been lost in Europe, the sense of intrinsic connection between the 'more-than-human' and the human, and thus the urgency of environmental preservation became strikingly evident in Europe's colonies, particularly in the late nineteenth century. Much environmentalism in theory and practice has emanated from former imperial centres such as Europe and the United States. While belated recognition of the crucial importance of other forms of life on earth is both welcome and necessary, its export and sometimes imposition on postcolonized cultures invites the obvious charge of hypocrisy and generates resentment against former imperial states which having degraded their own and their colonies' environments in the 'interests' of progress and 'development' now encourage (or impose) the theory and practices of environmental preservation on other peoples (Ashcroft, 2000: 72). This also frequently creates division within post-colonized cultures themselves, where, for instance, peoples are moved off their traditional lands to make way for game parks, essentially for the benefit of wealthy tourists. Demands for the 'global' preservation of endangered species frequently clash with the policies of post-colonized governments eager to use their regained environmental sovereignty in the interests of a modern capitalism from which it is difficult for them to escape. Devastation of earth has highlighted how human–environmental vulnerabilities are amplified not only by anthropogenic climate change but also by the capitalist exploitation of natural resources (Carrigan, 2005: 1). Harmful environmental conduct exposes several broader dimensions such as the nation's ability to use its resources as determined by domestic political processes, such as; it changes the natural forest microclimates that have been transformed into new microclimates increasing sunlight and lowering humidity (Nazzal, 2005: 6). The ecological crisis is not merely an isolated event but has its roots in the modern materialistic civilization that makes man becomes the butcher of earth (Huggan and Tiffin, 2010: 1). They argue that one way out of this morass is to insist that the proper subject of postcolonialism is colonialism, and to look accordingly for colonial/imperial underpinnings of environmental practices in both colonising and colonised societies of the present and the past (Huggan and Tiffin, 2010: 3) Colonialism greatly changed the environmental condition of colonized country. Alfred W. Crosby (Crosby 1986) as quoted by Aschroft describes the ways in which the environments of colonized societies have been physically transformed by the experience of colonial occupation, imperialism/colonialism not only altered the cultural, political and social structures of colonized societies, but also devastated colonial ecologies and traditional subsistence patterns (Ashcroft, 2000: 69). Indirectly, colonization influences ecological changes in the past which cause ecological destruction in the present day. More importantly, based on Crosby statement in Aschroft explain that introduced crops and livestock not between colonizer and colonized country only supported conquering armies and colonizing populations, radically colonizer altered the entire ecology of the invaded lands in ways that necessarily disadvantaged indigenous peoples and annihilated or endangered native flora and fauna (2000: 69). Arguably this has led to one of the most profound ecological changes the world has seen. Colonization or colonialism can be defined as the conquest and control of other people's land and goods (Loomba, 2005: 8). Colonialism means a conquest which is done by the west or European and American country toward Asia and Africa by exploitation the land, surely it causes natural destruction. Elleke Boehmer has defined colonialism as the settlement of territory, the exploitation or development of resources, and attempts to govern the indigenous inhabitants of occupied lands (Boehmer as qtd. in McLeod 2000: 8). The term colonialism is important in defining the specific form of natural exploitation that developed with the expansion of Europe over the last 400 years (Ashcroft, 2000: 40). With the end of the cold war, global infatuation with neoliberal economics has intensified the peripheralization of the South along economic, political, social, cultural and natural lines (Geeta Chowdhry and Sheila Nair, 2002: 1). Postcolonial critique bears witness to those countries and communities - in the North and the South (Bhabha, 1994: 6). The assumption of postcolonial studies is that many of the wrongs, if not crimes, against nature are a product of the economic dominance of the north over the south (Young, 2001: 6). Thus, the Norh represents the West and the South represents the East. Postcolonialism sees the natural destruction on the South as the impacts of colonization The northern environmentalism considered as the rich (always potentially vainglorious and hypocritical) and the southern environmentalism considered as the poor (often genuinely heroic and authentic) (huggan and Tiffin, 2010: 2). However, northern needs of the natural need were supplied from the south in the name of colonization. Colonialism granted imperial powers the rights to arrogate and exploit the territory of a subject people as well as to appropriate unlimited property rights, post-colonial states acted quickly to regain control over their natural resources both through expropriation of foreign property interests and through the legal arena (Nazzal, 2005: 10). Colonialism, through both practice and discourse, has separated man from his natural surroundings and has given him a false idea about the meaning of nature: on the contrary, nature is not there to be plundered, but to be cared for, tended and made to yield its produce. Then, Man is ennobled by the relationship with the environment, by his power to make things grow and watch over their growth, but the reverse also holds true: devastation returns man to his primitive condition. It is not surprising when the the nature did reverse destruction to the humans. It is the result of what they do exploit to the nature. On the other world, man as the colonizer has colonized the earth which caused the devastation of earth. (Chrisman and Williams, 1994: 1–20). Thus, postcolonialism can be considered as umbrella term of ecocriticism in which it criticizes the relation between human and nature including criticizing humans' behaviour precisely humans' exploitation toward nature. ECOCRITICISM Humans truly can't be separated with environment. human beings are engaged in the eternal search for connection, for that which connects us to others and for that which connects us to ourselves, culture, language, history, belief systems, social practice, and other influences on human development are as much a part of place as the physical landscape one crosses (Dreese, 2002; 2-3). She emphasizes that environmental factors play a crucial role in the physical, emotional, and even spiritual configurations that determine our ideas of who we are. All human beings develop their own sense of place through life that determines why they love certain regions or feel utterly alien in others. The study of relations between humans and environment called ecology. Lawrence Buell defines ecology as the study of the interactions between organisms and the environment (Buell, 2005; 139). Meanwhile, Glen A Love defines ecology as not as merely a study of the relationship between organisms and their living and nonliving environment but also a combination of science and a sense of responsibility for life (2003; 37-38). Ecology as Lawrence Buell say above is drawn in the life circle; the life processes of many organisms put into their surroundings environment whose presence of other organism affects the life processes of these and other organisms sharing the same environment. When these processes are cut by such destruction, e.g. chemical by-products of the life processes of one species (or occupational group) are harmful to another species; the relationship between the two species is "antagonistic." Increased population density increases the probability of antagonistic interactions (Catton, 1994: 80). It is essential to be aware of the environmental damage which caused by ecological changes. The development of humans' ecology slowly damages the environment. The ecology of human development involves the scientific study of the progressive, mutual accommodation between an active, growing human being and the changing properties of the immediate settings (Bronfenbrenner, 1979: 21). Imbalance fine relations between humans and environment emerged a critic called ecocritic or ecocriticism (Buell, 2005; 2). John Elder as quoted by Dana Philip says that The science of ecology confirms the indivisibility of natural process: each feature of a landscape must be understood with reference to the whole, just as the habits of each creature reflect, and depend upon, the community of life around it (1999; 581). Ecology when it counts as science tends to be a lot more reductive, thus many of the core concepts of ecology once notable for their expansiveness have in recent years been cut down to size, made more particular, or abandoned altogether. It now appears that even the ecosystem concept may not be valid biologically, but valid concept or not, an ecosystem is primarily a theoretical entity, and therefore could never be the reality that somehow underwrites poetry, even if that poetry is of the good old-fashioned, supposedly "organic" sort (Philip, 1999; 582). By that kind of reason, Elder argues that culture too may be understood organically: it is the field of relationship between organisms and, as such, a complex organism in its own right (Philip, 1999; 582). Ecology is not merely bound to science and technology, but also moral and politic. Greg Garrard assumes that ecology itself is shifting and contested, the emphasis on the moral and political orientation of the ecocritic and the broad specification of the field of study are essential (2004; 4). Problems of ecology are features of our society, arising out of our dealings with nature, from which we should like to free ourselves, and which we do not regard as inevitable consequences of what is good in that society (Garrard, 2004; 5). Lynn white, Jr argues in his article on Cheryll Glotfelty's The Ecocriticism reader: landmark in literary ecology that environmental crisis is fundamentally a matter of the beliefs and values that direct science and technology and dominating attitude toward nature (1996; 4). Discoveries in ecology and cellular biology revolutionize our sense of self, teaching us that there is no such thing as an individual, only an individual-in-context (Neil Evernden, 1996; 93). Discoveries of course get much of invention. Unconsciously, humans' behaviour (ex: exploitation) toward environment was changed. Industrial Revolution affected humanity's conception of its relationship to nature, warning that technology has created the false illusion that we control nature, allowing us to forget that our "unconquerable minds" are vitally dependent upon natural support systems (Harold Fromm, 1996; 31) Ecocritic or Ecocriticism is an umbrella term, used to refer to the environmentally oriented study of literature and (less often) the arts more generally, and to the theories that underlie such critical practice (Buell, 2005; 138). Cheryll Glotfelty simply writes the definition, ecocriticism is the study of the relationship between literature and the physical environment, ecocriticism takes an earth-centered approach to literary studies (1996: xviii). Ecocriticism might succinctly be defined as study of the relation between literature and environment conducted in a spirit of commitment to environmental praxis (Lawrence Buell as quoted by Dana Philip, 1999; 583). Ecocriticism is, then, an avowedly political mode of analysis, ecocritics generally tie their cultural analyses explicitly to a 'green' moral and political agenda. In this respect, ecocriticism is closely related to environmentally oriented developments in philosophy and political theory (Greg Garrard, 2004; 3) Ecocentrism is more compelling as a call to fellow humans to recognize the intractable, like-it-or-not interdependence that subsists between the human and the nonhuman and to tread more lightly on the earth than it is as a practical program (Lawrence Buell, 2005, 102). Ecological criticism shares the fundamental premise that human culture is connected to the physical world, affecting it and affected by it. Ecocriticism takes as its subject the interconnections between nature and culture, specifically the cultural artefacts of language and literature (Cheryll Glotfelty, 1996; xix). The majority of ecocritics, whether or not they theorize their positions, look upon their texts of reference as refractions of physical environments and human interaction with those environments, notwithstanding the artifactual properties of textual representation and their mediation by ideological and other socio-historical factors (Lawrence Buell , 2005; 30). Literary theory, in general, examines the relations between writers, texts, and the world. In most literary theory "the world" is synonymous with society-the social sphere. Ecocriticism expands the notion of "the world" to include the entire ecosphere or nonhuman, which is physical environment. Several things that have to be seen are: • Transforming this concept becomes social movement that will bring the humans into conscious of the equality between human and their environment and doesn't consider the nature into binary opposition between dominate and dominated. • Ecocriticism encourages the changing of canonisation through entering literary works which carry up natural issue. • Ecocriticism is not only an approach but also a pendadogis tool. • Ecocriticism connects the literary study with the earth to see how is the relation between humans and earth where they stand (Cheryll Glotfelty, 1996, xxii) The majority of ecocritics, whether or not they theorize their positions, look upon their texts of reference as refractions of physical environments and human interaction with those environments, notwithstanding the artifactual properties of textual representation and their mediation by ideological and other sociohistorical factors (Buell, 2005; 30). It can be assumed that Ecocrtiticism sees the text as the refraction of physical environment. Another denigrates attempts to recuperate realism as restricting the field of environmental writing, as ludicrously foreshortened in focus ("its practitioners . . . reduced to an umpire's role, squinting to see if a given depiction of a horizon, a wildflower, or a live oak tree is itself well painted and lively"), and in any case bogus, since "mimesis presumes the sameness of the representation and the represented object" (Phillips 2003: 163–4, 175). Buell has added that this is a conviction that contact (or lack ofcontact) with actual environments is intimately linked, even if not on a one-to-one basis, with the work of environmental imagination, for both writer and critic (Buell, 2005; 31). Ecocriticism can explore what we can call a discursively manipulated nonhuman world in literature, and discuss how it gets marginalized or silenced by, or incorporated into the human language (Legler, I997: 227). Nonhuman environment must be represented as an active presence and player within the text made some astute readers inclined to be sympathetic of the environment (Buell, 2005: 51). The task of ecocriticism, then, is to formulate a conceptual foundation for the study of interconnections between literature and the environment. Literature can be perceived as an aesthetically and culturally constructed part of the environment, since it directly addresses the questions of human constructions, such as meaning, value, language, and imagination, which can, then, be linked to the problem of ecological consciousness that humans need to attain. Within this framework, ecocritics are mainly concerned with how literature transmits certain values contributing to ecological thinking (Glotfelty, 1996: xxi). Ecocriticism offers researcher a way how to analyze such literary work through three steps. First is seeing the representation of nonhuman aspect. This first step is looking how is the nature like rice field, village, wilderness, forest, sea, beach, hill, mountain, valley, river, animal (or treatment toward animal) and city environment pictured in the text. Second is seeing the accusation toward ecology issues. The second step destructs how the natural issue is portrayed with the different way. For instance, the nature is pictured as an inconvenient place again for humans because of the emergence the new value; technology, capitalism, extinction of local knowledge, and development of building which is not oriented to the environment. Last is taking part of text's ideology. In this case examines the relations between writers, texts, and the world. This third step is seeing and taking part of the ideology that contains in the text. How the author's view and commitment toward the nature (Cheryll Glotfelty, 1996, xix). DEVASTATION OF EARTH Those all theories mentioned above are related to the word "devastation" which happened on earth. Modernism granted colonizer a power to devastate the earth in which postcolonialism and ecocriticism tend to criticize that devastation. Certainly, what is actually the meaning of devastation of earth? The word "devastation" itself according to Merriam-Webster dictionary means the state or fact of being rendered nonexistent, physically unsound, or useless. In other word, devastation is deterioration, destruction, vanishing of the earth through depletion of resources such as air, water and soil. Devastation of earth can be defined as a destruction of ecosystems and the extinction of wildlife. Devastation of earth is a term used to describe a situation in which a part of the natural environment (the earth) is devastated or damaged. According to Shakhashiri, earth is areas of land as distinguished from sea and air (2011: 1). It means that the earth is composed by three parts; land, sea and air. Thus, it can be ascertained that if the devastation happened on earth, it will strike those all of earth's parts. The devastation which strikes the air will harm the condition of air in the atmosphere or known as devastated atmosphere, devastation which strikes the land will harm the condition of the soil and change it into erode and barren, and devastation which strike the water will contaminate the clean water into the dirty one. The earth as mentioned above that composed from three parts; certainly those each parts have a role. Land is the surface of the earth where the creatures are growing and developing; the plantations (trees) grow well, the animals breed and the humans dwell the life. Air is the mixture of gases which surrounds the Earth in which it contains a lot of vital substances such as oxygen and ozone. And water is a clear liquid, without colour or taste, which falls from the sky as rain and is necessary for animal and plant even human life. Water is also available in the river and sea. All of those parts of the earth greatly have advantage when it states in the normal/natural condition. However, when it was devastated, the earth turns into less natural and more miserable. That is the picture of the devastation of earth. DEPICTION OF DEVASTATION OF EARTH The devastation of earth as Hughes says has happened in every historical period and in every part of the inhabited Earth (2001: 1). It means that devastation of earth happened in the whole surface of the earth. Devastation has stroked the whole environment; atmosphere, land, and sea. Postcolonialism argues that colonialism has an intervention on devastating the earth. Colonialism has devastated the earth as Ashcroft says that the conquest and colonization of so many extra-European environments produced irreversible changes in land use, in flora and fauna and frequently damaged beyond repair traditionally balanced relations between indigenous communities and their environments (2000: 71-72). He adds that imperial incursions and colonization have been regarded as environmentally destructive. Devastation of earth happened over earth. It means that devastation happened on land, atmosphere and sea. The land has changed into gullied, eroded and barren. This changing surely as the impact of devastation of earth which is done by the colonizer in colonizing the land. Everything which stands on the land has changed, There was no reborn flora and fauna in McCarthy's The Road. However, the presence of the flora and fauna is the rest of the previous world. Indeed these flora and fauna have changed as the impact of colonialism. Flora in McCarthy's The Road is dominated by the trees. However, most of the trees have changed into gray, dark and black. It is so pathetic when the father and his son faced the standing black trees and they realized that it changes. Horribly, it seems like ghost of trees. The changing of the trees is not underlined on the changes of its colour but also its presence. It means that the trees are not only changing into dark and black with its standing but also there are many trees which die and fall to the ground. The changes of fauna can be seen when the father and his son was camp in the forest and listening for any sound, it draws that the bird has changed its behaviour by holding migratory to circle the earth. The birds can no longer life in harmony with the environment by occupying the forest. It is caused the changing of trees which turn into dead. Thus, it forces the birds to change themselves. Other fauna changing draws when the father who found an odor of cows. However, the cows are extinct since years ago. He asked to himself whether the cows are really real or not. He finally realized that it is extinct. It shows that the cows are changed from the presence to absence. The burning of a certain thing; such as the trees, surely produces a residue or combustion. It can be carbon and ash. It can be imagined how large the amount of ash will be produced if the whole land of forest were burned. Certainly, the ash will cover everything that has seen. A horrible fire of forest has produced a horrible ash too till everything is covered by ash. The ash has moved along the wind till it covered the city and everything in the city, The fire of forest makes the amount of ash become uncontrolled. The moving of ash filled the air and atmosphere in which it makes everything coloured covered by ash and dust. Hence, everything becomes colourless. The ash changes the landscape become gray. It can be assumed that the graying landscape is no other causing by the moving ash. The occupying of ash in the atmosphere makes the day become unseen and dark. The result of the residual combustion is not ashes merely, but also carbons that harm the environment. Ash and carbon both fill and occupy the atmosphere. As the greenhouse effect idea, that the ash and carbon also dust which in a large amount and uncontrolled in atmosphere will form a mantle which wrapped out the whole of earth. This causes our sight of the sky become dark and gray.The sky and cloud are devoured with ash. The cloud becomes ashen and gray. Severity, the ash and carbon have contaminated everything in the air including the sea water vapor. Then, the result is clouds of ash. Ash and dust have affected the form of the cloud to become gray. Probably its content has been also affected. When the clouds changes into gray, it can be predicted that the rainwater which come down from the clouds will also be gray. It is supported with the presence of the ash mantle that wrapped up the earth. Certainly, everything which come down from the sky; rainwater has to pass this mantle, consequently the rain water will be coloured as gray by the ash mantle. The ash mantle has coloured the rain water. The rainwater which drips down to the earth is seen as the gray sheets of rain. Rainwater that is usually used by humans to fulfil their needs such as to irrigate the fields has been contaminated by ash and carbon so that its contents no longer can be used for the benefit of man. Consequently, there will be no crops and there will be no natural food. Mantle of ash has blanketed the earth during the unknown time. As described above that everything which fell from the sky will pass this mantle so that everything will be contaminated by it. The result, everything which fell will be gray. After several days the father and his son watched the gray sheets of rain, the weather quickly changes into snowy. Everyone knows as it has seen that snow is falling from the sky. The snow actually is similar to the rain, including their formed and their fell. The sea water vapor which is formed into cloud in the sky will fall as the rainwater, however, because of the extreme/cold weather, the rain water freeze into ice and it changes into snow that is white and soft. This falling snow of course has to pass the mantle of ash and it changes into gray. The next devastation of earth is turned to everything which lay on the surface of the earth covered by darkness as the ash effect. Everything stands in the earth turned to be black such as the dead trees which burned by fire forest, and the rain water and snow which fell as gray turn into black in the land. The dead trees which burned by fire forest surely create a black view of trees. The trees which burned in incompletely will make an appearance of burnt and black trees. The rainwater and snow which are grey in their falling turned to be black in the land. The large number of those rainwater and snow gathered as one in the ground create a new colour, more intense and black. The gray flakes which fell down turned to the dark slush. Dark slush can be assumed as the slush which is thicker than a flake. Thus, the slush which is as the result of flakes changes into black. It is also applied in the rainwater; the water in the land is not the whole from the rainwater, some from the river and so on. However, the thick rainwater which fell down in gray proved that its water is dominated to black water. the slush which is melted flows through the ash and turned to the black water. THE IMPACTS OF DEVASTATION OF EARTH ON FATHER'S ATTITUDE Living and dwelling in such devastated earth surely give impacts to the humans who walk over it. The father and his son reveal those kinds of impacts. The father who lived before and after unknown disaster seems undergoing a lot of impacts. It is different with his son who born after that disaster. He tends to be innocent, only watch and observe what his father did. There was an idea to end the life when the father still lived with his woman. She always forces him to end their life because there was nothing else to do in the ruined world. However, the father keep his believe that humans have to struggle. The experience of dwelling the life before the unknown disaster made him stronger. The father realized that what the environment did to him is the result what the humans did to the environment, as Lawrence Buell says that human culture is connected to the physical world; nature and environment, affecting it and affected by it. In other word, humans have affected the environment and have been affected by environment. The woman forces him because they lived in unusual life, they lived like zombie. The devastation of earth causes their life as like as zombie or walking dead in a horror film which the father and his son have a role as the victims. They have to avoid even to face the zombie to keep alive. Dwelling the life in such devastated earth; the air was filled by the ash and dust forces them to wear a mask. The devastated earth; unfriendly air forces him to wear mask (canister mask) and even wear biohazard suit. As the affection of the devastated earth, the father and his son have to worry their life, Mostly he worried about their shoes. Worrying is something that the father in his son has to do. There is no certainty living in such ruined world. It is a common thing for them to worry anytime, worrying of food and shoes. Food is essential thing to keep alive. It is the reason why they worry of food. If they can't find some foods, it means they will die. The shoes are important stuff to hold a journey. As explain before that the weather extremely changes a while. Few days were raining, and another was snowing. Shoes keep the father in his son feet to keep away from coldness and freezing which can take their life. The weather is extremely cold. It is not surprising that the weather turns to colder and colder. The weather has changed anytime; sometime it rains and often snow. The coldness of weather doesn't only force them to eat the food that already fermented as above but also threaten their life. The coldness is very extremely danger for them. Moreover it is pictured that the cold can crack the stone and takes their life off. In such condition surely makes them hard to breathe because in the coldness the air contains thin oxygen. Dwelling the life in such devastated earth actually makes him aware of surrounding even the weather. The sounds like forest fire, fallen trees, and so on makes his ears disturbed and consequently he has to keep awake. Living in such devastated earth makes him to be more aware toward everything that threatens them. The father and his son have experienced many kinds of problems. Everything that happened to him does not break his spirit to keep alive even when they are in starving. He always believes that he would find something to eat. the father always optimistic dwelling life. the devastated earth makes him become more optimistic. Struggle is a must to do to find another thing to be eaten to keep the life. Keep trying is the key for the good guys who living in the ruined environment. By keeping trying, they can survive dwelling the life in such environment. Keep trying is not enough to live in such devastated earth. Always suspect the possibility that may happen has to be done, because no one knows what will happen, but the threat of nature always happen all the time. Thus, another thing that has to do is to remain vigilant about the environment. The devastated earth forces him to become "cautious, watchful" and always "on the lookout". He believes that no one expect a trouble. However, living in the devastated earth, the thing that has to do is to always expect it. Thus he was always wary of something bad that may happen. Nothing can be expected from the nature. The father always believed it. He no longer agrees if people prepare something for tomorrow. Although he always optimistic of what he did, he never believed it. For him, even though he's preparing for tomorrow, he doesn't believe that the nature will prepare for him. What the father believes that is now or tomorrow is the same. This belief keeps the father spirit to face his following days. As a father he would often feel the pain. Physically, he is ill of facing the devastated earth. And mentally, he is ill of the feeling of bearing the responsibility as a father who is responsible for the survival of his son and his own life. However nature should never take the life of his son. He would bet his life for the life of his son. Often he complains to himself about his illness. He pretends as tough man in front his son but actually he felt tremendous pain. It's just that he does not want his son to know. THE IMPACTS OF DEVASTATION OF EARTH ON SON'S ATTITUDE Being born in the devastated earth which the unknown disaster has swept it surely affects the son's behaviour toward environment. The greyscale image of environment has saved well in his mind that forces him to expect something else, something in colour. When they continue their journey, the son had found some crayons. These crayons change his mind that something left on earth in colour. Thus, environment is not filling of gray merely. The crayons seem like a hope for

Son sólo 20 años. Cumplir años, rememorar y evocar una situación, celebrarla,son todas palabras cuyos significados aluden a un festejo por un acontecimiento. Un acontecer que nos pone frente a la grata sorpresa de recuperar las historias de los caminos transitados. Caminos que se hicieron al andar, no muy planificados pero llenos de sueños,no tan abiertos, pero sí cargados de sorpresas, no siempre consensuados pero repletos de proyecciones.Deberíamos pensar que este rememorar un tiempo transcurrido es, a su vez, una buena apertura. Apertura a reconocer el valor de ese acontecer que, al historizarlo, nos posibilita entender los dilemas, las experiencias, los saberes y los sentimientos que fueron dejando huellas de cambio; un cambio que acumuló modificaciones graduales y que ya configuran el capital cultural de la comunidad de ADBiA. Resulta interesante evocar el cómo ocurrió ese cambio. Y aquí la perspectiva toulmiana (Toulmin, 1977), desde su enfoque ecológico, nos permite considerar el proceso histórico del cambio en términos de un conjunto de ideas que van variando procesualmente en función de factores intrínsecos (intelectuales) y extrínsecos (sociales), que influyen en su evolución y transformación.De este modo, usando esta metáfora, podemos decir que hace sólo 240 meses, a fines del siglo XX, un conjunto de inconsistencias ideológicas, epistemológicas ypolíticas, nos desafiaron como grupo de profesores y educadores de las Ciencias de la Vida. Se expresaron los contrastes, las tensiones con el saber, el saber hacer y el saber actuar repleto de afectos y sueños a concretar. Fueron todas ellas un conjunto de buenas razones que pusieron en duda lo instituido y habilitaron a desplegar creatividad, curiosidad y construcción de novedades para el quehacer de la Asociación: su preocupación por educar mejor.De este modo, la sucesión de tensiones que se generaron entre esas razones y las habilidades para satisfacerlas fueron tejiendo una trama nueva de trabajo compartido, compromisos y comunidades de ideas. Eso le otorgó un valor de identidad y se configuró en lo que hoy denominamos: "nuestra historia".Frente a este hecho inevitable de cumplir años, me invitaron a evocar y narrar alguna cuestión que hiciera visible este tiempo recorrido. Y, al pensar sobre qué aporte significativo podía recuperar para nuestra Asociación, decidí historizar un eje de conocimientos, saberes simbólicos y conductuales que fueran hilvanando ese proceso de cambio. De este modo, y con una actitud crítica, podremos reconocer lo innovador, asumir las anomalías y proyectar los posibles.¿Qué cambios atraviesa hoy el campo de las Ciencias Biológicas? ¿Quénecesidades culturales han desafiado sus prácticas educativas? ¿Cuáles son losprincipales cambios a su didáctica en los últimos años? ¿Qué aportó la perspectivade la Filosofía y la Historia de las Ciencias al saber biológico?Para intentar abordar estos cuestionamientos que configuran los debates actuales en el ámbito de la enseñanza de las ciencias fue central, al historizar los procesos y cambios, sumar algunas voces de especialistas, de compañeros de ruta, memorias de la ADbiA y diversos textos editados en nuestra revista. Dicha tarea también demandó hacer recortes conceptuales. Por tanto, interesa en este breve recorrido mostrar perfiles del devenir histórico de los problemas que configuran la cultura científica hoy, poniendo en debate los interrogantes que desde el campo epistemológico y cultural, contribuyan a delinear las nuevas estrategias y metas educacionales para la Biología.La reflexión epistemológica es un saber necesario que le otorga identidad a la Didáctica de la Biología y a las decisiones que asume el profesor de ciencias. Al respecto, la inclusión de la historia y la filosofía (HFC) al campo de las Ciencias Biológicas y su enseñanza, impregnó lo curricular y la formación del profesorado desde diferentes variantes conceptuales. La primera variante, refiere al cambio epistemológico que operó el desarrollo del conocimiento de la Biología en el siglo XX (la revolución molecular, la genética y la biotecnología, los estudios ecosistémicos asociados a la producción, la economía y el consumo humano). La segunda variante hace evidente a la crisis de la Educación Científica a nivel global/local, que interpela las currículas de formación en ciencias y, la tercera variante, refiere a la búsqueda de identidad que asumen las Didácticas de las Ciencias como campo de investigación educativa.a. Evolución y cambio en el ámbito de la Biología.La Biología como disciplina científica estudia la Vida y su organización en principiosunificadores de niveles de complejidad: biosfera, ecosistema, población, individuo,organismo, aparatos, tejidos, células, macromoléculas, nivel bioquímico (Biodiversidad,taxonomía, genética mendeliana y de poblaciones, embriología, biología del organismo,biología molecular). Es una ciencia eminentemente histórica y evolutiva que construyemodelos explicativos a partir de una variedad de métodos de investigación -comparativos,sistémicos, hipotético-deductivos, genéticos, históricos- en abordajes estructurales,funcionales y comportamentales (Ruiz y Ayala,1998; Barberá y Sendra, 2011)Su proceso de desarrollo conceptual y metodológico se distancia del paradigmade investigación de la Física, dado que los procesos sobre la vida- autorregulación,equilibrio inestable, invariante y evolución irreversible- están atravesados por perspectivas diacrónicas y sincrónicas, articulando interacciones internas y externas como sistemasabiertos. Y por otra parte, sus modelos explicativos están vinculados a múltiples prácticassociales y humanas (Giordan, 1997; García, 2006))Los avances derivados de la investigación y aplicación tecnológica a la mejora dela vida, como la digitalización del código genético y su delimitación biomolecular, handado lugar a numerosos avances bioquímicos, médicos y tecnocientíficos, y a nuevos ycomplejos problemas éticos, de impacto económico y social como por ejemplo, trasplantes,medicamentos, armas bio-químicas, producción de alimentos, robótica(Testart, 2002,Geymonat, 2002)En este sentido, y frente a múltiples tensiones éticas, los problemas promuevennuevas líneas de investigación y actuación educativa que integran con otros enfoques(ambientales, CTS, humanísticos) las dimensiones bio-ecológica, social, económica ypolítica (Gudynas, 2002, Sacks, 1996). Así, fueron emergiendo propuestas entre áreasde conocimiento de carácter interdisciplinario que vinculan la ciencia, las prácticas dela cultura y el entorno natural y social, como el caso de la Educación para la Salud y laEducación Ambiental.La actualización de las agendas del conocimiento biológico tuvo una frágil expresiónen textos y currículas hasta hace unos 15 años, donde la divulgación y comunicaciónpopular de los problemas fue una invitación a revisar el saber en fuerte interacción conla salud, la economía, la producción agropecuaria, la industria alimentaria, el consumofarmacológico, etc. ( Datri, 2006; Memorias ADBiA 1993-2000)b. Crisis de la educación científicaEl movimiento educativo internacional en esta línea (Fourez, 1997, Jenkins y Pell,2006, Hodson, 2003) y una nueva comunidad de discursos respecto del valor de la Educaciónen Ciencias, hacen visible el giro ideológico provocado a partir de la década de los 70,promoviendo algunas variantesconceptualesen laformación científica. Al respecto,metas que estaban tradicionalmente centradas en el desarrollo de teorías y conceptos deldominio disciplinar, se modificaron paulatinamente por la inclusión de nuevos objetivos yestrategias. Entre ellos, observamos el hacer del científico, la cuestión del método y lasdisciplinas, la memoria de la historia de las ideas, el contexto socio-cultural del campocientífico y los supuestos ideológicos, económicos y éticos (Latour y Woolgar, S, 1995;Matthews, 1991; Matthews, 2009).Fueron las asociaciones de profesores de ciencias las que contribuyeron con fuertescríticas, desde la década de los 70, AAAS y NSTA (National Science Teacher AssociationUSA), y solicitaron en sus documentos del año 1979 y 1986 una fuerte recomendaciónpara la formación docente. Se ofrecía la oportunidad de conocer y analizar el producto delas ciencias desde un recorrido filosófico e histórico, aproximándose a entender las teoríasen su contexto real y humanizar el conocimiento y los vínculos con las tecnologías. Alrespecto, las recomendaciones y proyectos de incorporación de la HFC en la enseñanza de la ciencia son de larga data y configuran una auténtica tradición iniciada a mediados delsiglo XIX (ej.: Paul Tannery, Pierre Duhem); el análisis de los casos históricos del proyectode Harvard (ej.:Conant, James) o el proyecto británico Nuffield (Duschl, 1995;Datri,2006, Martinez y Olivè, 1997).De este modo, el supuesto "Ciencia para todos" (Science for all) resume un reto quefue desde los años ?60 a los ?80 (Secundary Currículo Review 1983 Gran Bretaña; Learningin Science en Neuva Zelanda), e intentó cubrir falencias educativas como correlato de unaherencia científico-cultural producida en la mitad del siglo: la ruptura con las certezas delprogreso científico y los intereses en la manipulación de su producto intelectual (Fensham,2002; Ramontet, 1997). De estos aportes surgen propuestas de formación basadas entres líneas: una sobre Ciencia en la Sociedad; otra sobre Ciencia en un contexto social;y una tercera, Ciencia y Tecnología en la Sociedad se abre de este modo, un abanico detemáticas que dan lugar a la producción de cuadernillos didácticos sobre el trabajo dela Ciencia: el papel del gobierno y la industria en la Ciencia; la comercialización de loshallazgos científicos; la implicación de los investigadores en la producción de alimentos;la lucha en las enfermedades; las armas nucleares; la tecnología en la vida diaria, entreotros.Este acontecer de los hechos se articula también, al interior de la enseñanza enBiología, con una crisis de sentido educativo a nivel de la escolaridad, en donde se planteala necesidad de una ciencia para todos, pensada desde su papel en la sociedad más quedesde la ciencia en sí misma. Se refuerza de este modo los argumentos que sostienenque en las currículas se ofrece una visión muy limitada de la ciencia, a-histórica y sincontextualización cultural e impacto social. Este enfoque pretende motivar al alumnono sólo al estudio de las disciplinas científicas, sino a pensarse como futuro ciudadanoaprendiendo a optar y disentir frente al valor y al uso de los conocimientos científicos.En esta línea, se consolida también la participación activa la ADBiA -Asociaciónde Docentes de Biología de la Argentina-, en el año 1993 tuvo un rol protagónico enla delimitación y alcance epistemológicosde los contenidos en la reforma educativadel país (1995, 1997) y en la necesidad de incluir enfoques contextuales, históricos eideológicos en las currículas de Biología. Después del regreso a la democracia en el año1983, las discusiones en el marco de las reformas curriculares posibilitaron hacer visibleslas opiniones del profesorado respecto de la enseñanza de la Biología, señalando comofuerte debilidad la ausencia de relación entre lo que se enseña y los problemas reales de lavida cotidiana, el enciclopedismo y la atomización, la ausencia de historia de las ideas y lastemáticas transversales (Memorias ADBiA, 2002). Y en este sentido, han sido las voces delos profesores de nuestras escuelas secundarias quienes han reclamado constantementeuna actualización disciplinar de los resultados de las investigaciones del campo de laBiología (De Longhi et all, 2002; Rivarosa y De Longhi, 2012)Podemos aportar que el enfoque CTS fue una opción sugerida que impregnó losprogramas educativos de Biología en la década de los noventa de muy distinta formas:a) los que incorporan CTS en un año o curso; b) los que enseñan a través del enfoqueCTS, desde los problemas a los conceptos científicos; y c) propuestas desde CTS en donde el contenido científico tiene un papel subordinado (Marco Stiefel, 2005; Quse y DeLonghi, 2005). Es interesante destacar que la dimensión CTS tuvo un anclaje didácticoen los conflictos ambientales de las currículas de Biología, promoviendo una ruptura conel contenido científico tradicional e introduciendo nuevas estrategias de comprensión,participación y acción sobre la problematización ambiental, el estudio de la realidad socialy una ciudadanía crítica.Coincidentemente con los aportes derivados de la literatura sobre la nueva Filosofíade las Ciencias, los estudios psicogenéticos sobre nociones de Biología (Giordan y DeVecchi., 1987 ; Piaget y Garcìa,1982) (en memorias de ADBiA, 1990) ofrecieron unainteresante alternativa para incursionar en las perspectivas históricas de las ideas y enlos procesos socio-cognitivos de los alumnos, instalando para el debate educativo nuevoscriterios epistemológicos en la delimitación curricular de los contenidos de ciencias.Así, en este marco, retomar la historia de la ciencia y su conceptualización se volviófundamental, porque de este modo es posible que se expresen las dos caracterizacionesrelativas a la naturaleza de las ciencias: a) la ciencia como un proceso de justificación delconocimiento (lo que sabemos); y b) la ciencia como un proceso de descubrimiento delconocimiento (cómo sabemos). En este sentido, la primera caracterización ha dominadola enseñanza contemporánea de las Ciencias Biológicas promoviendo un conocimientoincompleto, de lo que implica su campo conceptual y axiológico. Falta aun profundizar, enla actualidad, en el currículum de ciencias, el diseño y la implementación de propuestasdidácticas que trabajen sobre la otra cara, es decir el "cómo y por qué" fue necesarioconocer el modelo de transmisión de caracteres hereditarios o el proceso de evolución(Volowelsky, 2008).Esto implica ir más allá del simple relato histórico como eje de nuestras clases, endonde las posiciones filosóficas sirven de instrumento para el análisis y la metarreflexión,permitiendo "ver" mejor aspectos de la práctica científica y mostrando los contrastes deldesarrollo argumental en el marco de rupturas tecnológicas y socio culturales (por ejemplo,la teoría de la generación espontánea del siglo XII, la teoría del fijismo en el siglo XVI, la teoríasintética de la evolución siglo XX). Existen muchas creencias y espacios de pseudocienciasen nuestra cultura, en particular en temáticas como el origen, desarrollo y evolución de lavida, en donde la contextualización histórico-filosófica podría contribuir significativamentea construir posicionamientos menos dogmáticos y radicalizados (Schuster, 1999, Palma yVolowelsky, 2000). Al respecto, sabemos hoy que el abordaje metacientífico del conocimiento posibilitarelacionar los saberes a enseñar en su contexto histórico y evolutivo, problematizado enun momento cultural, con las estrategias, ideas y modos de resolución disponibles en cadaépoca. Ese componente metacientífico en la delimitación de prácticas docentes de Cienciascontribuye, por un lado, a fundamentar estrategias de transposición didáctica y, por el otro,a modificar en profundidad los modelos tradicionales de enseñar y aprender sobre Ciencias(Adúriz Bravo, et. al. 2002, Aduriz Bravo, 2005; Quintanilla et al 2005). A partir de las ideas anteriores se han definido finalidades para la enseñanza de as ciencias en Biología, relacionadas con las capacidades que deberían desarrollar losalumnos:En principio, aprender los conceptos contextualizados en los modelos y teorías quele dieron origen. Es decir, aproximar cada vez más la intención de los fenómenos a losmodelos que propone la comunidad científica (distancia discursiva).Dicha interpretación requiere potenciar el desarrollo de destrezas cognitivas y derazonamiento científico, lo que se llama "hacer ciencias".Promover el cambio conceptual, el razonamiento argumental y la comprensión de lacondición problemática, histórica y cultural de la actividad científica.Por último, y en el marco de las actitudes, desarrollar un pensamiento no ingenuo ycrítico que posibilite opinar, detectar engaños y promover decisiones e innovación.c. La identidad de la didáctica como campo de investigación.Esta mirada epistémica al saber científico ha estado dialogando permanentementecon los estudios en el ámbito de Didáctica de las Ciencias, buscando diseñar procesos detransposición comunicacional e hipótesis de prácticas de enseñanzas innovadoras.Al respecto, el reconocimiento de esa historia de teorías fundamentales en el campode la Biología, son las que permiten otorgarle identidad no sólo a la configuración de suscontenidos y modelos explicativos, sino a los desafíos que promueve ese conocimiento,las actitudes que generan y los vínculos culturales que se desprenden (Memorias de las VJornadas Nacionales de Enseñanza de la Biología). Esta tendencia transforma la enseñanzade la ciencia, pensada como un ejercicio académico, a un aprendizaje orientado a lasactividades diarias de la vida, de la comunidad, del trabajo, la producción y la justiciaambiental.Al respecto, el reconocimiento de esa historia de teorías fundamentales en el campode la Biología, son las que permiten otorgarle identidad no sólo a la configuración de suscontenidos y modelos explicativos, sino a los desafíos que promueve ese conocimiento,las actitudes que generan y los vínculos culturales que se desprenden (Memorias de las VJornadas Nacionales de Enseñanza de la Biología). Esta tendencia transforma la enseñanzade la ciencia, pensada como un ejercicio académico, a un aprendizaje orientado a lasactividades diarias de la vida, de la comunidad, del trabajo, la producción y la justiciaambiental.Se instala la necesidad de construir nuevas subjetividades, en donde los estudiantesdeben adquirir una visión de la ciencia conectada con la problemática social y especialmentecon conflictos emergentes planteados en nuestra realidad actual. Entre algunos de estos,podemos mencionar los relacionados con la ideología del desarrollo, la sustentabilidad y loambiental, el manejo de recursos naturales, petróleo y petroquímica, minería y tecnologías,agricultura y agroindustria, metalmecánica, alimentación, ambiente, salud y biotecnología.(Meira, 2006)Las sociedades actuales cada vez más dependientes del conocimiento tecnológico,replantean la relación entre producción-información-educación, dando lugar a nuevosanalfabetismos ciudadanos, en donde la comunicación y divulgación apropiada en temasrelacionados con la salud, nutrición, contaminación, reclaman de educar otras subjetividadesfrente a los problemas y sus soluciones, mejorando su calidad de vida y su calidad deentorno.En esta misma línea, ha puesto en evidencia la investigación didáctica que una orientación centrada únicamente en la incorporación de contenidos conceptuales, ofreceuna visión deformada y empobrecida de la actividad científica y sus reales prácticasde producción (CTS). Precisamente, un amplio grupo de investigaciones coinciden enreconocer que se favorece una mayor comprensión conceptual de contenidos científicoscuando los alumnos se aproximan a comprender el origen y la naturaleza del conocimiento,los conflictos argumentales, la sociología de la investigación, así como los dilemas éticos yactitudinales que atraviesan a los sujetos y sus instituciones (Jiménez y Sanmarti, 1997;Lemke, 2006; Rivarosa y De Longhi, 2011).Por otra parte, una sistematización de investigaciones en Didáctica de la Biologíaa nivel nacional (De Longhi et al 2005; Berzal, 2000, Astudillo et al, 2008), hizo visiblela necesidad deprofundizary actualizar procesos de innovación en las prácticas deenseñanza, a partir de problemáticas relacionadas con: a) la histórica de nociones biológicasy su recorrido epistemológico, el análisis de las concepciones y los obstáculos conceptualesde las/os estudiantes, los temas problemas Biología y Cultura; b) el pensamiento y laformación del profesor, la transposición comunicativa; y c) los modelos didácticos y losmateriales curriculares.Cabe señalar que la preocupación en la última década (2000-2012) se centrófuertemente en promover y acompañar a los docentes con espacios curriculares y deformación continua (Postítulos, Maestrías, Seminarios) para una comprensión másprofunda sobre la actividad científica y sus vínculos con problemáticas genuinas, comocriterio relevante para re-pensar la enseñanza de la Biología en particular. Y por otra parte,se centro en instalar como parte de la profesionalización docente un tiempo destinado aconocer y/o involucrarse en procesos de investigación educativa (inter institucionales) queposibiliten otras redes de saberes, otros modos de proceder y nuevos compromisos con elrol de educador que demandan los tiempos por venir.En este sentido, unos conocimientos metacientíficos y didácticos de mayores vínculos,ofrecen alternativas complementarias de problematización temática, que posibilitancombinar historia conceptual y diseño experimental, argumentación con metacognición ytransposición educativa y relaciones dilemáticas entre ciencia, cultura, sociedad y ética.Se generan de este modo, nuevos planteos a futuro: ¿cuáles son las prácticas en donde seancla la Biología hoy? ¿Qué debería incluir una Didáctica de la Biología?Y en este sentido creemos que conocer el devenir histórico de los problemas queconfiguran la cultura científica, incluyendo los múltiples interrogantes del campo epistémico,ofrecen mayor oportunidad para "definir" nuevas estrategias y metas educacionales. Eneste sentido, se debería pensar el para qué y por qué educar en ciencias, a saber: ¿Cuáles la importancia de la educación científica en la sociedad actual? ¿Ciencia para quiénes?,¿Qué ideas y valores atraviesan las prácticas de investigación? ¿Contribuye el conocimientocientífico y tecnológico disponible a un modo de pensar y actuar para el cambio social, lamejora en la calidad de vida y lo ambiental?A modo de cierre, retomamos la idea inicial y decimos que, al recuperar un relato,podemos también comunicar quiénes somos, qué hacemos, cómo nos sentimos y por qué debemos seguir transitando cierto curso de acción y no otro. Ello nos ofrece la posibilidadno sólo de mirarnos -hacia atrás y en perspectiva- sino de ofrecernos otra manera deentender lo realizado, sabiendo que al sostener esa memoria no volveremos a reiterar losmismos caminos.Al decir de Larrosa y Skliar (2006) esa posibilidad de evocar, incluye nos sólo elsentido de esa relación y la trama explicativa de su conexión, sino que habilita a encontraruna nueva ilusión. Más aun cuando el autor de este escrito que intenta recuperar eseacontecer, ha estado involucrado en esta misma historia.

Instantáneas I La historia de las izquierdas: Viejos y nuevos desafíos "La historiografía del movimiento obrero latinoamericano está delimitada por dos presupuestos teóricamente discutibles. Por un lado, al ver su desarrollo através del prisma de la 'Modernidad', se recurre a un conjunto de variables indicativas económicas que refuerzan empíricamente la idea de un continuo industrial progresivo. Por otro lado, la 'modernidad' a nivel político se expresaen el ascenso progresivo de la clase obrera y de la sociedad según sean las formas y grados de participación política. El tránsito lineal e irreversible de lo prepolítico a lo político o la cristalización de una serie continua de lo tradicional-autocrático-democrático signan las opciones de esta historiografíaobrera paradigmática". Ricardo Melgar Bao, El movimiento obrero latinoamericano. Historia de una clase subalterna, Madrid, Alianza, 1988, p. 18. Si bien el movimiento anarquista, el movimiento socialista y sus familias políticas se habían convertido en objeto de la indagación histórica muy tempranamente en la Argentina gracias a la labor de historiadores militantes como Diego Abad de Santillán, Jacinto Oddone y Sebastián Marotta, su incorporación a los estudios académicos data del último medio siglo. En las décadas de 1970 y 1980 las izquierdas emergen en los estudios académicos—pensemos por ejemplo en El anarquismo y el movimiento obrero en Argentina, la obra clásica de Iaacov Oved, de 1978— aunque todavía subordinadas a las historias del movimiento obrero. La Biblioteca Política Argentina que dirigió Oscar Troncoso desde 1983 para el Centro Editor de América Latina acompañando (y al mismo tiempo alimentando) el despertar de la vida política después de siete años de dictadura militar, ofreció un amplio catálogo de estudios sobre las izquierdas, donde predominaban todavía los historiadores militantes de las décadas anteriores (Jacinto Oddone, Alicia Moreau, Oscar Arévalo, Leonardo Paso, Norberto Galasso), a los que se habían sumado nuevas obras provenientes del periodismo y el ensayismo político (Emilio J. Corbière, García Costa, Hugo Gambini, Dardo Cúneo, etc). De todos modos, esta colección le abrió espacio a una nueva generación de historiadores profesionales del movimiento obrero y de las izquierdas que vieron aparecer allí sus primeras obras (Juan Carlos Torre, Hugo del Campo, Mónica Gordillo, Edgardo Bilsky, Ricardo Falcón, Arturo Fernández, Dora Barrancos, entre muchos otros). En colecciones paralelas a la de Troncoso aparecieron también los primeros trabajos de Cristina Tortti y de Juan Suriano, y se reeditó la Historia del Movimiento Obrero en fascículos dirigida por Alberto Pla. Fueron pocos los investigadores que perseveraron en la historia obrera durante las décadas de 1980 y 1990, cuando ese campo conocía un reflujo tanto a nivel local como global. Algunos ensayaron estrategias de renovación temática y metodológica (Hugo del Campo con sus estudios sobre la corriente sindicalista, Juan Carlos Torre con los sindicatos peronistas, Mirta Lobato con las mujeres obreras, Leandro Gutiérrez con la cultura obrera, por mencionar sólo algunos casos). Paralelamente, la historia obrera clásica era sostenida a contracorriente por dos centros independientes, CICSO y PIMSA. En contrapartida, una verdadera oleada de producción sobre las izquierdas tuvo lugar durante los últimos 20 años. Con el nuevo siglo, "las izquierdas" ingresaron por derecho pleno en el campo académico. En un principio empujados por la efervescencia de la "historia reciente", en años posteriores decenas de jóvenes investigadores desarrollaron tesis de grado y posgrado que excedieron el universo de las organizaciones armadas de la nueva izquierda, abordando diversos momentos y figuras del anarquismo, el socialismo, el sindicalismo, el antiimperialismo, el comunismo, el antifascismo, el trotskismo, el maoísmo, el guevarismo y las más diversas familias políticas de las izquierdas argentinas. Los últimos veinte años vieron sucederse coloquios y congresos sobre las izquierdas, obras individuales y colectivas, colecciones editoriales, revistas especializadas, ediciones de fuentes, centros de documentación, programas de investigación colectiva y un sinnúmero de manifestaciones que, finalmente, terminaron por convertir a "las izquierdas" en objeto de la investigación histórica con plena legitimidad académica. Si en la década de 1970 los investigadores profesionales consagrados al estudio de las izquierdas se contaban con los dedos de una mano, medio siglo después constituyen un campo que moviliza varias decenas de investigadores. El repliegue de la historia obrera tradicional dejó libre un espacio de visibilidad para el despliegue de las fuerzas y los movimientos de las izquierdas mismas, independiente de su peso mayor o menor dentro del movimiento obrero. Asimismo, los cuestionamientos a la historia política tradicional fueron desplazando el interés desde la dimensión institucional de los partidos políticos (los congresos, el comité central, el programa, la línea política) a una historia centrada en las diversas manifestaciones de la cultura de izquierdas, como los procesos de subjetivación militante, la construcción de los liderazgos y los roles de género, la división militante entre trabajo manual y trabajo intelectual, la circulación de impresos, los cursos de formación, las lecturas canónicas y las prohibidas, el rol tenso de los intelectuales al interior de las organizaciones políticas, la dimensión comunicacional de la prensa y de las revistas, la lucha por la conquista militante del espacio urbano; el rol de la música colectiva y de la gráfica en la construcción de un imaginario de izquierdas; el rol de los exiliados, los viajeros, los congresistas, los emisarios en la construcción de redes nacionales, continentales e internacionales que permitieron exceder el nacionalismo metodológico de los estudios sobre la "izquierda argentina". El CeDInCI, fundado en 1998, se instaló justamente en esa encrucijada historiográfica. Para recelo de muchos "ortodoxos" de la antigua historia obrera (a medias profesional, a medias militante), la "cultura de izquierdas" estaba inscripta, incluso en plural, en su propio nombre. De modo que el CeDInCI fue desplegando a lo largo de sus 22 años de vida un programa historiográfico en el que perdían peso y legitimidad el análisis de los programas y los pronunciamientos en los que el historiador trataba de encontrar una mayor o menor correspondencia con la "realidad", privilegiando la dimensión de la experiencia militante en toda su complejidad, las dinámicas y los conflictos inherentes a los grupos humanos, el estudio de los procesos de construcción simbólica, los rituales y las ceremonias militantes y toda la dimensión imaginaria de la cultura de izquierdas. La antropología, el psicoanálisis, la sociología, el socioanálisis, la teoría política, el marxismo crítico, la teoría feminista y los estudios de género fueron los principales aliados en esta estrategia de repensar la historia de las izquierdas, declinada en plural, a la luz de la historia social de la cultura. Resistiendo la "desviación culturalista" de este programa, la antigua historia militante logró conquistar cierto espacio dentro del universo académico. Mantuvo hasta donde pudo la centralidad de la historia obrera, sustancializando las clases sociales e hipostasiando la dimensión del conflicto. Abordó la trayectoria de las izquierdas tal como habituaba a hacerlo el Comité Central: según su capacidad para llevar la conciencia verdadera a la clase obrera, lo que se traduciría en su mayor implantación en tales o cuales gremios. La historia de los intelectuales de izquierda fue escrita según su mayor o menor capacidad de inclinar su cerviz frente a la dirección política. La cultura, en tanto que nivel de la superestructura, fue pensada en términos del "frente cultural", un espacio que debía ser atendido oportunamente, sin amplificarse más allá de que lo que Engels ya había dejado establecido. La historia de una corriente política de la izquierda era entendida como la historia de su capacidad para implantar bastiones en el movimiento obrero con vistas a la revolución. Aunque apelara más de una vez a citas de autoridad de Gramsci, la política era concebida en términos de "asalto" o de "guerra de maniobras", antes que como "guerra de posiciones". Por eso esta perspectiva produjo sobre todo historias endógenas del socialismo, el comunismo o el trotskismo donde las disputas hegemónicas entre las fuerzas sociales aparecen apenas esbozadas en un evanescente telón de fondo. Enormes esfuerzos de meritoria investigación en hemerotecas y archivos se ha visto malogrados por esta matriz empobrecida de historia social y política desde la cual la construcción hegemónica, que empieza justamente más allá del plano corporativo de la organización obrera, no puede ser siquiera pensada. En esta literatura están ausentes incluso las categorías mismas que permitirían aprehender la historia de las izquierdas en toda su complejidad, en su densidad y en su drama histórico. Estos modos de concebir y narrar la historia de las izquierdas están en el centro de las objeciones que formula Roy Hora en "Izquierda y clases populares en la Argentina, 1880-1945", un ensayo sumamente estimulante y provocativo aparecido hace pocas semanas en la revista Prismas. Hora parte de un hecho incuestionable: la incapacidad de las izquierdas históricas para romper cierto "techo de cristal" pues "rara vez superaron el 10 % de los sufragios en elecciones libres y competitivas". Y si bien su ensayo aborda el ciclo histórico que concluye en 1945, no sería difícil proyectar esta constatación, con los ajustes del caso, sobre la segunda mitad del siglo XX. El fondo de esta dificultad hegemónica no se debería tanto a problemas de "incomprensión" de las dirigencias políticas de izquierda (el elitismo de los socialistas, el frentismo oportunista de los comunistas o el sectarismo de los trotskistas, por poner algunos casos) como en la capacidad integradora del "país más capitalista y moderno de América Latina". Incluso los historiadores de las izquierdas más reconocidos —José Aricó, Ricardo Falcón, Juan Suriano— habrían subestimado los alcances del potencial integrador de un mercado de trabajo que, signado por los altos salarios en términos comparativos a escala internacional, la capacidad de ahorro, el progreso ocupacional, la movilidad social ascendente e incluso la incorporación a las filas de las clases propietarias, había modelado en la experiencia de los trabajadores un horizonte de progreso que se habría erigido en un "obstáculo formidable" para la radicalización de sus demandas. A esa experiencia en el mundo laboral habrían venido a sumarse otras dimensiones de la integración social, política y cultural como el crecimiento del sistema de salud pública, el aumento de la alfabetización y la expansión del sistema público de educación así como el carácter liberal de la Constitución nacional con su reconocimiento a los diversos credos y cultos, con su libertad de prensa, de opinión y de asociación, a los que vino a añadirse la apertura del régimen político a partir de 1916. Contra el arraigado retrato de una sociedad expulsiva que habría nacido de un sobredimensionamiento del ciclo que se abre con la Ley de Residencia y que alcanza su clímax en la Semana Trágica de 1919, o del que se abre con el golpe militar de 1930, Hora nos devuelve la imagen de una República abierta a acoger a las sucesivas oleadas de perseguidos de Europa, desde los communards de 1871 hasta los republicanos españoles de 1939, pasando por los socialistas expulsados por las leyes de Bismark e incluso por los anarquistas italianos de fines del siglo XIX (pp. 56-57). El autor no desconoce, desde luego, los momentos represivos del Estado sobre los trabajadores, pero los considera "poco significativos" (p. 57) en términos relativos (comparados con otras experiencias a un lado y otro del Atlántico), además circunscriptos a momentos excepcionales (1902, 1910, 1919, 1920-21, 1930, 1943) y focalizados en actores políticos particulares: el anarquismo entre 1902 y 1921, el comunismo entre 1930 y 1945. Por fuera de estas circunstancias accidentales, "la evidencia histórica indica que, en repetidas ocasiones, las autoridades mediaron en los conflictos entre capital y trabajo, a veces a solicitud de los propios asalariados", antes incluso que los radicales llegaran al gobierno (pp. 57-58). El ensayo de Roy Hora tiene el mérito indiscutible de cuestionar los alcances interpretativos de ciertos relatos endógenos fundados sobre todo en las propias fuentes partidarias, ofreciendo un cuadro histórico en el que las izquierdas son reconsideradas dentro del abanico de posibilidades de organización, movilización y transformación social que ofrecía una formación social determinada. Al mismo tiempo, pone sobre el tapete los supuestos de buena parte de los estudios de historia de las izquierdas que concebían a las condiciones para el despliegue de un proyecto inspirado en el deseo de cuestionar el orden sociopolítico como una suerte de invariante histórica, colocándolas de ese modo por fuera de la historia humana. En este relato alternativo, las clases no aparecen sustancializadas ni definidas a priori, sino que se constituyen sobre una experiencia colectiva que, en última instancia, se asienta en las peculiaridades del capitalismo argentino. Buscando explicaciones más allá de los errores programáticos o los aciertos interpretativos de las izquierdas, el ensayo se desplaza del análisis del registro discursivo para inscribirse en el plano de las condiciones económicas, sociales y políticas en que se forjaran las clases populares bajo el influjo de un proyecto de impronta moderada y laborista, y en el que sólo en circunstancias históricas específicas se sintieron atraídas por los discursos impugnadores del orden establecido. Las dificultades de las izquierdas en erigir un partido de clase con arraigo de masas no se derivaban entonces de las otrora llamadas "condiciones subjetivas" —las concepciones políticas de las fuerzas de izquierda— sino de las propias "condiciones objetivas" que ofrecía la Argentina de la primera mitad del siglo XX: una "sociedad sin rígidas fronteras de clase y cuyas jerarquías se hallaban sometidas al efecto disolvente de la movilidad social y ocupacional", en la que "la cultura asociativa trabajó en contra de la aspiración a construir una subcultura obrera autónoma —sindicato, club social y deportivo, biblioteca y centro cultural— como la que forjaron las experiencias socialdemócratas europeas más exitosas" (p. 57). No es difícil adiviniar aquí la actualización de algunas hipótesis avanzadas en la obra obra ya clásica de Leandro Gutiérrez y Luis Alberto Romero, Sectores populares, cultura y política. Buenos Aires en la entreguerra (1995). Pero las hipótesis de Gutiérrez y Romero son radicalizadas con el apoyo de una serie de investigaciones de sólido nivel académico que fueron abriéndose paso a lo largo del último medio siglo para constituirse en lo que Eduardo J. Míguez ha denominado la "nueva ortodoxia revisionista". Es así que Roy Hora puede sustentar su argumentación no sólo en su considerable obra previa sino en la abundante producción de la tradición historiográfica en la que se inscribe —y que remite a los nombres de Roberto Cortés Conde, Ezequiel Gallo, Eduardo J. Míguez, Hilda Sabato, Pablo Gerchunoff y Lucas Llach, entre varios otros, así como a figuras provientes de otros espacios, como Natalio Botana o Luis Alberto Romero. La "reacción neoclásica" (como la llamó el propio Cortés Conde) terminó por constituir una escuela (en el sentido amplio del término) cuyas primeras obras nacieron a comienzos de la década de 1960 en el espacio del IDES y en las últimas décadas, a medida que iba arrojando el lastre del cepalismo y estilizando su teoría de la modernización, se fue asentando sobre todo en el ámbito de la Universidad Torcuato Di Tella y en la de San Andrés. El ensayo de Hora, más allá de señalar matices sutiles en torno a las interpretaciones de autores como Aricó, Falcón y Suriano, tiene por blanco implícito ese conjunto de estudios sobre las izquierdas que "suelen mirar el problema del lugar político de las clases laboriosas con los ojos sesgados de los impugnadores del sistema. Enfocados en los momentos de crisis antes que en los más frecuentes y extendidos de normalidad, suelen apoyarse en relatos sobre la organización obrera que sobreestiman la importancia de sus grupos disidentes, entonces minoritarios, y en la prensa militante que promovía sus reclamos. En este sentido, esa literatura ofrece un ejemplo típico de los sesgos de interpretación nacidos de una selección parcial de la evidencia documental, amén de más interesada en la retórica de combate que en las prácticas concretas y el contexto más amplio en que se desplegaba la acción colectiva" (p. 56). La crítica es certera y la polémica que viene a abrir es sin lugar a dudas auspiciosa. Difícilmente se podría estar en desacuerdo con una perspectiva que invita a desustancializar las clases sociales en pos de una concepción relacional de las fuerzas sociales y que convoca a pensar los alcances y los límites de las corrientes políticas no sólo en el juego de su propio campo sino también en sus propias condiciones materiales-sociales de existencia. Pero el marco histórico que ofrece como alternativa corre el riesgo equivalente de las corrientes que impugna, aunque en un sentido opuesto. Es que frente a los relatos históricos construidos sobre los momentos de crisis, Hora levanta un modelo alternativo focalizado "en los más frecuentes y extendidos de normalidad". El punto de partida es el año 1880, donde no aparecen trazas de "acumulación primitiva", violencia constitutiva, pillaje, apropiación, trabajo forzado ni "campaña del desierto". El capitalismo argentino y su modelo liberal parecen haber nacido inmaculados. Es significativo que el autor no se proponga pensar la historia argentina conforme una dialéctica de crisis recurrentes y ciclos de normalidad siempre provisorios, sino como un proceso de inserción internacional, modernización capitalista e integración social exitosos en el mediano plazo, al menos hasta el inicio de la "decadencia argentina". A la inversa de las perspectivas que critica, en este relato funcionalista del proceso histórico el conflicto social no sólo es excepcional sino que queda rebajado al rango conceptual de mero accidente histórico. Frente al "luchismo" de ciertas perspectivas ciegas a los momentos de negociación, no deja de ser oportuno recordar que en 1902, mucho antes de las experiencias de diálogo y negociación entre Estado y trabajadores que ensayará el gobierno radical de Hipólito Yrigoyen, incluso dirigentes anarquistas como Constante Carballo y Francisco Ros podían ingresar a la Casa Rosada a dialogar con dos poderosos ministros de Estado. Sin embargo, resulta poco convincente la secuencia posterior que ofrece Hora como ilustración de sus tesis —la asamblea de estibadores que no refrendó el acuerdo de sus líderes, la humillación que afectó el prestigio de los ministros, la imagen de debilidad que ofrecía el propio presidente Roca ante la oposición— que terminaría por explicar el estallido de la primera huelga general de la Argentina (noviembre de 1902) y a la sanción de la Ley de Residencia ese mismo mes como el resultado de un encadenamiento (evitable) de accidentes. En la comprensión de este proceso han desaparecido las condiciones materiales invocadas en la argumentación central —manifiestas en los reclamos de los distintos gremios que se fueron escalonando a partir de las demandas iniciales de los estibadores, que pedían cargar bolsas que no superaran los 65/70 kilos. ¿ Es posible que circunstancias perfectamente plausibles como la "humillación" de los ministros o la necesidad de Roca de demostrar firmeza hayan derivado en la sanción de una Ley votada en forma express por las dos cámaras que venía a violentar nada menos que la sacrosanta Constitución liberal de 1853, y que se mantuvo vigente durante más de medio siglo, desafiando hasta el año 1958 los sucesivos intentos de derogación? Como diría el viejo Hegel: pequeñas causas, grandes efectos.1 La huelga misma aparece en el relato como un hecho accidental que podría haberse evitado si los actores se hubieran comportado conforme a su racionalidad esperada, de no ser por el "influjo indebido" que los anarquistas ejercían "sobre el común de los trabajadores". Pero el ejemplo muestra exactamente la situación inversa: son los líderes anarquistas los que negociaron con el gobierno mientras que fue la asamblea de los estibadores la que los desautorizó. Desde luego que puede estudiarse la racionalidad propia de las huelgas de masas, pero es muy difícil, sino imposible, pensar la dinámica de acumulación de demandas materiales y simbólicas propias de los grandes procesos colectivos desde la teoría del racional choice. La racionalidad del comportamiento de aquellas franjas de los obreros migrantes que acompañaron la experiencia del radicalismo primero y del peronismo después es perfectamente comprensible. También la de aquellos que lograron ascender rápidamente en la escala social y alcanzaron altos grados de integración social, política y cultural, adhiriendo incluso a la ideología liberal, en alguna de sus variantes. Pero no debería ser difícil concebir una voluntad de transformación radical del orden social por parte de los que, en la división del trabajo, les tocó acarrear bolsas de 100 kilos en sus espaldas, ni de los que trabajaban 14 horas diarias, ni de los cientos de miles o incluso de los millones de "perdedores" que pagaron los costos de la modernización argentina. El riesgo de pensar la historia "desde el lugar de los impugnadores del sistema" cede aquí su lugar a otro riesgo (sobre el que la historiografía contemporánea suele ser mucho más indulgente): pensar la historia con los ojos sesgados de los integradores del sistema. Roy Hora es convicente al mostrar los límites de los relatos convencionales de historia de las izquierdas autocentrados en su propio despliegue y documentados con sus propias fuentes, pero la productividad historiográfica del modelo tan sólidamente funcionalista que ofrece como alternativa genera toda una batería de interrogantes. Enfatizando los ciclos de normalidad por sobre las crisis, los procesos de integración sobre los de exclusión, el consenso sobre la violencia, la negociación sobre el conflicto, el modelo histórico que ofrece invierte más que supera aquel que vino a impugnar. Las condiciones de posiblidad de la izquierda quedan pues acotadas a la emergencia accidental de un conflicto de clase, para terminar clausurándose una vez que el error se corrige, el conflicto desaparece y el sistema retorna a las rutinas de la normalidad. En su esquema, quizás podrían comprenderse el fracaso ineluctable del anarquismo más allá de 1912 o los límites insalvables de corrientes como el sindicalismo revolucionario en sus años de mayor radicalidad, el trotskismo (o el clasismo de la décadas de 1960 y 1970, si lo proyectáramos sobre el período posterior), pero difícilmente podría explicarse la imposibilidad de las corrientes más reformistas (el socialismo, o el comunismo desde 1935 en adelante) en franquear el "techo de cristal". En este modelo, la ideología que mejor corresponde a la racionalidad de los actores no es otra que el liberalismo. ¿Cómo pensar desde allí fenómenos ya no de la maginitud de las grandes huelgas generales, sino procesos culturales como la tradición antiimperialista de las izquierdas? No tendrían otro interés que el de ideologías de la desviación, en definitiva funcionales a ese latinoamericanismo dependentista que llevó a la Argentina a apartarse de su inserción "en el mundo". Incluso los empeños de las izquierdas por realizar el "programa mínimo" habrían derivado en los altos costos laborales y en el déficit público que aún hoy continuarían gravitando en el corazón de la decadencia argentina. Queda flotando la pregunta si las izquierdas son siquiera pensables desde esa perspectiva, donde sus vertientes más radicales aparecen desplazadas al cuadro de una anomalía, y las izquierdas reformistas reducidas a una astucia de la razón liberal. Colectivo editor 1 Para una discusión argumentada y documentada con la historiografía que ha relativizado o acotado la incidencia efectiva de Ley de Residencia y la Ley de Defensa Social (Barry, Zimmerman, Suriano) para considerarlas como el punto de partida de una serie regular de dispositivos de disciplinamiento por parte de la élite, véase el reciente trabajo de Marina Franco, "El estado de excepción a comienzos del siglo XX: de la cuestión obrera a la cuestión nacional", en Avances del Cesor,vol. 16, nº 20,Universidad Nacional de Rosario, 2019.

Radical prostatectomy is the most commonly performed treatment option for localised prostate cancer. In the last decades the surgical technique has been improved and modified in order to satisfy both oncological safety and postoperative functional results. Urinary incontinence and erectile dysfunction (ED) are the main postoperative functional impairments in patients that undergo radical prostatectomy (RP). [1] According to the EAU Guidelines erectile dysfunction is defined as "the persistent inability to attain and maintain an erection sufficient to permit satisfactory sexual performance". To this moment it is estimated that 25-75% of the patients who underwent RP develop ED with major implications in postoperative quality of life. [2] Various risk factors can be related to post-prostatectomy ED, among which the most important are the patient's age, comorbidities, preoperative erectile function, but also surgical approach (robot-assisted, laparoscopic, open) and nerve-sparing technique (inter/intrafascial). [2, 3] Among physiopathological modifications that concur to ED, the nerve damage (neuropraxia) appears to be the main domino piece that triggers other alterations like structural changes of the smooth muscle, arterial damage and veno-oclusive dysfunction which lead to cavernosal oxygenation impairments. [4–6] The clinical results of physiopathological alterations are shortening of penile size, impairment of orgasm and ejaculation achievement which have tremendous impact on psychological and mental health. [5] Various treatment options include oral medication with phosphodiesterase 5 inhibitors (PDE5i), intracavernosal injections or intraurethral applications of prostaglandin E1 (PGE1), vacuum or vibratory treatments. Though there are many options for ED treatment, to this date there is no definitive protocol for penile rehabilitation (PR) after prostatectomy. [5, 7] In this regard we have made a literature review and meta-analysis of the most important randomised trials published in the last 5 years in order to find the best strategies of penile rehabilitation after radical prostatectomy. MATERIALS AND METHODS We have systematically reviewed and collected data from randomised trials published in the last 5 years involving patients diagnosed with prostate cancer who experienced ED after radical prostatectomy. In order to find the necessary trials we have searched PubMed and ScienceDirect databases and used several key words like: erectile dysfunction, penile rehabilitation, phosphodiesterase 5 inhibitors, erectile functional recovery, prostate cancer, prostatectomy and nerve sparing – in various combinations. The first aspect for our meta-analysis inclusion criteria was to identify randomized (prospective or retrospective) placebo-controlled trials involving patients with localised prostate cancer that benefited of nerve sparing radical prostatectomy and developed postoperative ED. The key aspect of our research was the penile rehabilitation strategy which included the therapeutic means used for erectile 1 Dimitrie Gerota Emergency Hospital, Bucharest, Romania 2 Dr. Carol Davila University Central Emergency Military Hospital, Bucharest, Romania 3 Carol Davila University of Medicine and Pharmacy, Bucharest, Romania 10 function recovery and the treatment duration. Other aspects followed by us regarded the means of ED assessment, the surgical means and invasiveness and the rate of treatment success reported to ED severity. In this regard we have conducted our research for each year between January 2014 and December 2018 and reviewed a total of 631 articles published on this theme collected from both search engines. For a time-efficient assessment we have read the title and abstract of each article and included only those articles that matched our criteria. We have excluded the reviews and meta-analyses and also the trials of ED that was not related to prostate cancer surgery. That left us 194 publications from which to select. We have also excluded the trials withdrawn from database for various reasons and articles that didn't followed the therapeutic means of ED recovery. Finally we have selected 15 articles matching our criteria for meta-analysis that were thoroughly full text reviewed. Seven out of the 15 were prospective randomised trials, 2 of them being double-blind, placebo-controlled. Another 2 were nonrandomised prospective trials and the rest of 6 articles were retrospective review. Although some studies included by us followed-up both the ED and postoperative incontinence problem, we have concerned strictly on erectile dysfunction issue and collected the necessary data. For statistical analysis we have used ReviewManager 5.3 and Microsoft Excel software with data of treatment strategies and drug dosages collected from the studies. Although there was less heterogeneity between the study designs of the included articles we found important data about postoperative EF recovery. These data allowed us to include the studies in subgroups in order to analyse them. Table 1. Distribution of included studies Trial author Design Patient no. Mean age Cardiovascular comorbidities Diabetes Vickers et al. [8] Randomised prospective 2162 64.2 NoS NoS Montorsi et al. [9] Randomised double-blind placebo-control 423 58 NoS NoS Seo et al. [10] Retrospective review 92 67.9 40 (43.5%) 14 (15.2%) Nakano et al. [11] Retrospective review 103 63.4 NoS NoS Fode et al. [12] Randomised prospective control 68 62 NoS NoS Stolzenburg et al. [13] Randomised double-blind 422 59 NoS NoS Canat et al. [14] Randomised prospective 112 63 42 (37.5%) 18 (16.07%) Yiou et al. [15] Retrospective review 75 59.4 30 (40%) 6 (8%) Haglind et al. [16] Prospective controlled nonrandomised 2625 63 NoS NoS Kim D. et al. [17] Randomised prospective placebo-control 97 54 NoS NoS Capogrosso et al. [18] Retrospective review 2364 61 NoS NoS Sooriakumaran et al. [19] Prospective non-randomised 2545 63.3 556 (35.2%) 99 (6.2%) RESULTS A total of 11,831 patients were enlisted in the 15 studies we have included for analysis. Mean age of all patients was 61.91 years with a range between 54 and 67.9 years. (Table 1) Although not all the studies specifically mentioned the most encountered comorbidity was the cardiovascular disease (37.5% - 100%) followed by diabetes mellitus (6.2% – 16.07%). For most ED patients the presence of cardiovascular comorbidities creates the premises of disease trigger, followed by diabetes and obesity. [] All patients were Vol. CXXII • No. 3/2019 • December • Romanian Journal of Military Medicine 11 diagnosed (by means of PSA, prostate biopsy and pelvic MRI) with localised prostate cancer mainly T1c - T2c, with Gleason score ranging between 6 and 7 and PSA values below 10 ng/ml. (Table 2) These data were correlated with the postoperative pathology findings which in some cases changed the actual diagnostic stage according to d'Amico criteria. As it can be seen in Table 2 in some cases based on the degree of invasion the cancer stage was changed from localised to locally-advanced (T3b-T4) and based on Gleason score from low or intermediate risk to high risk (Gleason 8). All patients were proposed for radical prostatectomy using various approaches: open surgery (n = 4,460), conventional laparoscopy (n = 1,371) or robot assisted laparoscopic prostatectomy (n = 4,929). (Table 2) Most patients benefited of bilateral nerve sparing (BNS) dissection of the nerve bundles (n = 6,852) by al known technical procedures (interfascial/intrafascial), which represented 63.68% of the operated patients. When case did not impose BNS dissection, unilateral nerve sparing technique was attempted (n = 3,209) which was performed in 29.82% of the operated patients. The rest of 6.5% of the patients either had not benefited of NS dissection either the information about the NS status was not mentioned. [16, 18, 19] The NS status at the end of the surgery was crucial because it ensured the premises for postoperative ED recovery although most of the patients experienced postoperative neuropraxia. Table 2. PCa status and surgical approach for each study Trial author PCa clinical stage Gleason Score Surgical approach Nerve sparing OP CLP RALP BNS UNS Vickers et al. [8] T2a – T3 6 - 8 859 (40%) 546 (25%) 757 (35%) 657 (30%) 1498 (70%) Montorsi et al. [9] T1c – T2c 6 - 7 68 (48.9%) 29 (20.9%) 31 (22.3%) 423 (100%) - Seo et al. [10] T2a – T2c 4 - 8 - - 92 (100%) 57 (62%) 35 (38%) Nakano et al. [11] T2 – T3 6 - 7 NoS NoS NoS 24 (23.3%) 79 (76.7%) Fode et al. [12] T2 – T3 NoS 7 (10.3%) - 61 (89.7%) 37 (54.41%) 31 (45.58%) Stolzenburg et al. [13] T2-T3 ≤ 7 189 (44.78%) 88 (20.85%) 115 (27.25%) 422 (100%) - Canat et al. [14] T2a-T2c 5 - 8 NoS NoS NoS 112 - Yiou et al. [15] T2 - T3 6 - 8 - 75 (100%) - 75 (100%) - Haglind et al. [16] T1 - T3 6 - 8 778 - 1847 1318 750 Kim D. et al. [17] T1c – T3 6 - 8 58 (61.7%) - 36 (38.3%) 96 (98.96%) 1 (1.04%) Capogrosso et al. [18] T2 - T4 NoS 614 (26%) 633 (27%) 1117 (47%) 2253 (95%) 78 (3%) Sooriakumaran et al. [19] T2 – T4 NoS 1792 (70.41%) - 753 (29.58%) 1283 (50.41%) 737 (28.95%) Kim S. et al. [20] T2a – T2c 4 - 8 95 (100%) - - 95 (100%) - Kwon et al. [21] NoS NoS NoS NoS NoS NoS NoS Jo et al. [22] T2a – T2c 5 - 7 - - 120 (100%) NoS NoS NoS – no specification; OS – open surgery; CLP – conventional laparoscopic prostatectomy; RALP – robot assisted laparoscopic prostatectomy; BNS – bilateral nerve-sparing; UNS – unilateral nerve-sparing. 12 Table 3. Preoperative EF assessment and postoperative EF recovery means and results Trial author Type of EF questionnaire Preop. mean EF score Means of penile recovery Subgroups Trial duration Recovery rates Vickers et al. [8] IIEF-6 ³22 - 937 (59%) PDE5i (NoS) PGE1 ICI - 2 years 36% (NoS) Montorsi et al. [9] IIEF-EF ³22 - 423 (100%) PDE5i Tadalafil 5 mg – OaD – 139 (32.86%) Tadalafil 20 mg – PRN – 143 (33.8%) Placebo – 141 (33.3%) 9 months Tadalafil 5 mg – 25.2% Tadalafil 20 mg – 19.7% Placebo – 14.2% Seo et al. [10] IIEF-5 ³22 - 92 (100%) PDE5i Tadalafil 5 mg – OaD Non-Tadalafil 1 year Tadalafil 5 mg – 13.2% Non-Tadalafil – 7.7% Nakano et al. [11] IIEF-5 17.7 PDE5i Vardenafil 10 mg – OD – 30 (29.12%) Vardenafil 20 mg – PRN – 5 (4.85%) No treat – 68 (66.01%) 1 year Vardenafil 10 mg + Vardenafil 20 mg – 21 (60%) No treat – 26 (38.2%) Fode et al. [12] IIEF-5 25 PDE5i PVS PDE5i + PVS - 30 PDE5i - 38 1 year PDE5i + PVS – 16 (53%) PDE5i – 12 (32%) Stolzenburg et al. [13] IIEF-5 ³22 – 422 (100%) PDE5i Tadalafil 5 mg – OaD - 102 Tadalafil 20 mg – PRN - 112 Placebo - 106 9 months Tadalafil 5 mg – OaD – 29 (28.43%) Tadalafil 20 mg – PRN – 24 (21.42%) Placebo – 27 (25.4%) Canat et al. [14] IIEF-6 ³ 22 PDE5i Tadalafil 5 mg – OpW - 38 Tadalafil 20 mg – PRN - 40 Non-Tadalafil - 34 1 year Tadalafil 5 mg – OpW – 19.89 (mean IIEF) Tadalafil 20 mg – PRN – 15.8 (mean IIEF) Non-Tadalafil – 13.47 (mean IIEF) Yiou et al. [15] IIEF-EF EHS ³ 24 ³ 2 PDE5i PGE1 ICI PDE5i + PGE1 ICI – NoS No treatment - NoS 2 years M12 – 19.6 (mean IIEF – treat.) M12 – 18.07 (mean IIEF – no treat.) M24 – 4.63 (mean IIEF – treat.) M24 – 4.92 (mean IIEF – no treat.) Haglind et al. [16] IIEF-5 ³ 21 - RRP RALP 1 year RRP – 124 (15.93%) IIEF-5 ³ 21 RALP – 339 (18.35%) Kim D. et al. [17] IIEF-EF ³ 21 (100%) (Mean 28.1) PDE5i Sildenafil 50 mg - OaD + Sildenafil 100 mg - PRN Placebo + Sildenafil 100 mg - PRN 13 months Sildenafil 50 mg - OaD + Sildenafil 100 mg – PRN – 15 (32.4%) Placebo + Sildenafil 100 mg – PRN – 13 (29%) Capogrosso et al. [18] IIEF-6 ³ 24 (Mean 27) PDE5i PGE1 ICI 12 months - 1779 24 months - 1095 2 years 12 mo – 483 (27%) 24 mo – 377 (34%) Sooriakumaran et al. [19] Penile stiffness Morning erection 1702 (66.9%) PPP. PGE1 ICI PGE1 IUr RARP RRP 2 years RARP – 377 (21%) RRP – 106 (14%) Kim S. et al. [20] IIEF-5 22.4 PDE5i Tadalafil 5 mg – OaD – 2 years Tadalafil 5 mg – OaD – 1 year No Tadalafil 2 years Tadalafil 5 mg OaD – 2 yr. – 16.1 (mean IIEF) Tadalafil 5 mg OaD – 1 yr. – 13.5 (mean IIEF) No Tadalafil – 9.4 (mean IIEF) Vol. CXXII • No. 3/2019 • December • Romanian Journal of Military Medicine 13 Kwon et al. [21] Penile lenght SHIM NoS PDE5i (Sildenafil, Vardenafil, Tadalafil) Complete recovery Incomplete recovery 1 year CR – 318 (60.2%) IR – 210 (39.8%) Jo et al. [22] IIEF - 5 ³ 17 PDE5i (Sildenafil 100 mg) Early treatment - 58 (3 wk. postop.) Delayed treatment - 62 (3 mo. postop.) 1 year ET – 24 (41.4%) DT – 11 (17.7%) PPP – preoperative potent patients; IIEF – International Index of Erectile Function; OaD – oance a day; PRN – pro re nata (on demand); ICI – intracavernosal injections; IUr – intrauretral; For pre and postoperative EF assessment the IIEF questionnaire was preferred in most of the studies in different forms: the classical 15 questions IIEF-EF or the shorter IIEF-5/IIEF-6 questionnaires. Most authors preferred the IIEF-5 questionnaire due to its reliability and rapid way of determining the EF status. (Table 3) In most of the studies that used the IIEF questionnaire a cut-of value of 22 points was established for preoperative potent men [8–10, 13, 14] while others established close cut-of values. [16, 20] Only two studies used other means of EF assessment. Sooriakumaran et al. used two questions about penile stiffness and morning erections, both having single choice answer from 5 possible variants. [19] In a particular case Kim et al. compared the penile length both pre and postoperative and additionally used the SHIM questionnaire for ED appraisal. [20] The most frequently used treatment method for penile recovery was the administration of PDE5i which was tested with various ways of administration and dosages and compared with placebo or no treatment control groups. The most commonly used drug in the included trials was Tadalafil [9, 10, 13, 14, 20], followed by Sildenafil [17, 22] and Vardenafil. [11] Some trials studied the single use treatment of PDE5i compared with combinations of PDE5 with PGE1 ICI [8, 15, 18] or penile vibratory stimulation (PVS) devices. [12] There were also particular studies that did not compare the method of PDE5i administration but rather the rate of EF recovery [8, 21], the moment of treatment initiation [22] or the length of treatment administration. [18] Haglid et al. compared the EF recovery based only on the surgical approach type (open vs. RALP) and not interfering with any medication in this regard while Sooriakumaran et al. compared the same surgical approaches using PGE1 treatment setting. [16] Figure 1: Multivariate comparison of PDE5i OaD and PRN treatment compared to control group Although the articles included in our meta-analysis had dichotomous criteria of study design we could find similarities between some of them, which allowed us to organise subgroups of trials. On multivariate analysis we have included trials in which PDE5i was administered as OaD and PRN treatment compared to a pacebo control group. The variables included in analysis were the mean IIEF scores recorded at the end of the trial for each group (OaD, PRN and control). As it can be observed in fig. 1 the higher rates of recovery are in favour of PDE5i OaD group compared to control group (CI 95%, P < 0.0001). On a lower scale, the same result could be observed when PDE5i OaD treatment was compared to PDE5i PRN although in this analysis only 2 studies had the necessary data to be included (CI 95%, P = 14 0.48). In a univariate analysis we also compared the trials were only the percentage of recovered patients after PDE5i treatment was given. (Fig 2) As in previous assessment the PDE5i OaD group had higher recovery rates compared to control group (CI 95% P = 0.40). Also when we have compared PDE5i OaD with PRN group the better results were slightly higher in favour of OaD group thus resulting that the benefit of PDE5i OaD compared to PRN treatment was minor (CI 95%, P = 0.95). Figure 2: Recovery rates in trials using PDE5i OaD and PRN treatment compared to control group DISCUSSION Erectile dysfunction is a major postoperative complication for men who undergo radical prostatectomy, alongside urinary incontinence. At this moment prostate cancer is the second most diagnosed neoplasia in men due to the systematic determination of PSA. [23] Radical prostatectomy remains the most important therapeutic procedure for localised PCa having a postoperative life-expectancy of 10 years. [2] Although the technical enhancements of prostatectomy reduced the rates of postoperative complication, ED still remains one of the most complex problem for PCa patient's quality of life. Even if the nerve sparing dissection technique of the prostate bundles partially improved the ED rates, there are still problems regarding the postoperative penile rehabilitation. Neuropraxia is the main pathological alteration that leads to major structural changes of the penile tissue. This can also lead to veno-oclusive dysfunctions of blood drainage. Due to the constant state of hypo-oxygenation the penile smooth muscles suffers a process of apoptosis and fibrosis which in time are producing irreversible penile malformations such as penile shortening of 2-3 cm and Peyronie disease. [5, 24] In this regard it is advisable that urologists should discuss with their patients about the possibility of postoperative ED in various rates – from temporary to permanent. [25] Two trials included in our meta-analysis studied the rate of ED occurrence and penile recovery degree after RALP compared to RRP in high volume centres from Sweden. In a 2015 prospective study, Haglid et al. found a slightly higher rate of penile recovery for RALP, but the differences were not significant for these two surgical approaches. [16] In a recently conducted prospective trial, Sooriakumaran et al. (2018) found earlier recovery rates of EF for RALP (21%) compared to RRP (14%) due to a more precise identification and preservation of nerve bundles during RALP. Also the rates of post-surgical positive margins were similar to open surgery which is an important aspect for oncological radicality. [19] Both studies were prospective non-randomised. One key aspect of ED diagnosis is the use of pre and postoperative EF assessment questionnaires. As we have shown above the most frequently used questionnaire was IIEF-5 which is the short version of the IIEF-EF questionnaire. Other questionnaires like Sexual Health Inventory for Men (SHIM) or Expanded Prostate Cancer Index Composite (EHGS) have similar predictive results to IIEF and should be routinely used for postoperative ED diagnosis. [25, 26] It is a known fact that older age, cardiovascular comorbidities and diabetes mellitus are the most important predictive factors for ED onset. [27, 28] On the other hand the younger age and the lower body mass index are Vol. CXXII • No. 3/2019 • December • Romanian Journal of Military Medicine 15 demonstrated protective factors for ED recovery. [2] Even though not all the studies included in our meta-analysis reported the rate of cardiovascular disease and diabetes mellitus we could emphasize that in the post prostatectomy setting these two comorbidities could have significant impact on ED onset and the subsequent penile recovery. [10, 14, 15, 19, 20, 21] Penile rehabilitation is the cumulus of therapeutically means which includes medication, medical devices or actions, simple or in various combination recommended for erectile function recovery. [5] PDE5i are the most frequently used drugs in clinical practice for penile rehabilitation and to this date is the most studied therapeutic method administered to ED patients. The main advantage of PDE5i therapy is that there are quick and easy to administer but it requires the integrity of at least 1 cavernosal nerve bundle. Also the treatment cost and side effects (headache, flushing and palpitations) are not negletable. [24] In their common trial Montorsi et al. (2014) and Stolzenburg et al. (2015) studied the effect of Tadalafil administered once a day (OaD) and on demand (PRN) compared to a placebo-controlled group and found that the OaD administration of Tadalafil 5 mg has the best results for penile recovery after prostatectomy. [9, 13] Similar results for Tadalafil OaD administration were also found by Seo et al. (2014), Canat et al. (2015) and Kim S. et al. (2018) based on the mean IIEF score at the end of the trial. [14, 20] Nakano et al. (2014) and Kim D. et al. (2016) found similar results at the end of their trials although they have studied the effect of Vardenafil respectively Sildenafil. [11, 17] In our multivariate analysis the PDE5i OaD treatment has evident advantages over placebo and on demand PDE5i administration for postoperative penile recovery rate. Regarding the choice of PDE5i treatment there are no specific trials that compare the efficiency of currently available substances in postoperative ED. In a 2005 open-label randomised trial Eardley et al. emphasized that Tadalafil is the preferred PDE5i used for ED treatment because of long-lasting effect in time compared to Sildenafil that allowed patients to have less concerns about spontaneity of erection. [29] Further more Hyndman et al. demonstrated in their randomised trial that Sildenafil could have major impact over urinary continence, thus impairing the overall recovery of PCa operated patients. [30] Prostaglandin E1 intracavernosal injection (PGE1 ICI) was the first type of treatment for postoperative EF recovery, introduced and studied by Prof. Montorsi et al. [31] The most important advantage of PGE1 ICI is that is very effective in any type of surgical approach even if nerve sparing was not indicated, though the cost, the need to refrigerate the product, the invasiveness of the treatment and the side effects are a majos counterbalance for treatment initiation. [24] In our meta-analysis, Vickers et al., Yiou et al. and Capogrosso et al. have used PGE1 ICI in combination with PDE5i treatment for penile recovery. The results achieved by Yiou at 12 respectively 24 months of combined treatment were very similar in both drug-administered and control group. [15] On the other hand Capogrosso et al. found that at 24 months of combined PGE1 ICI and PDE5i treatment the rates of recovery were higher than at 12 months (34% vs. 27%). [18] Vacuum and vibratory devices are non-invasive and very effective in EF recovery especially when combined with PDE5i treatment. Fode et al. demonstrated in their randomised prospective trial that EF recovery could be very effective when penile vibratory stimulation devices are used in conjunction with PDE5i (53% recovery rate) compared to PDE5i only group (32%). [12] Regarding treatment initiation Jo et al. demonstrated that early penile rehabilitation commencement (at 3 weeks after surgery – immediately after urinary catheter removal) has better recovery results than delayed treatment initiation (at 3 months postoperative). [22] CONCLUSIONS The postoperative EF recovery of PCa patients can be achieved using a multitude of penile recovery strategies. For this purpose a preoperative assessment is very important, by using erectile function questionnaires. Patients should be informed about the postoperative ED risk and should be counselled in this area. Nerve-sparing robot assisted laparoscopic prostatectomy is the most protective surgical approach for EF preservation. PDE5i is the main therapeutic approach for postoperative penile recovery. Tadalafil 5 mg once a day was the most effective long term therapy for ED treatment both single use or in combination with PGE1 and other devices (vacuum or vibratory stimulation). Penile prosthesis implants should be regarded as last resort treatment option for cases when no penile recovery strategy has been successful.

THE USE OF NATURALLY OCCURRING MOOD- altering substances is deeply rooted in the traditions and cultures of many communities worldwide. As documented in other societies and historical records,1,2 various compounds have been employed for altering consciousness and for their curative effects.3 Two substances traditionally used in the Middle East include hashish and khat.4 Hashish, as cannabis, has been known in the region since ancient times.5 Khat, also known as chat, derived from the leaves and young shoots of the khat plant (Catha edulis), is used for its stimulant effect.6 Technological advances that enable high purification of drugs and transporting them fast, and increasing urbanisation, have caused these mood altering substances to be taken out of their traditional role in societies and have come to pose new, complex and challenging threats.7 These threats have been manifested in two important ways: () wider use of drugs, and (2) a shift from natural drugs to the more potent purer forms. Globally, illegal money derived from illicit drug transactions amounts to 400 billion dollars annually, and is second only to the arms trade.8,9 The countries of the Arabian Gulf Co-operation Council (GCC) offers an interesting study area because their diverse cultures have experienced rapid acculturation, a phenomenon often equated with a rise in psychosocial stress.10 Psychosocial stress has often been associated with vulnerability to self poisoning11 and substance abuse.12 Although there are no adequate statistical studies to indicate the incidence of substance dependency in the GCC, it is clear that substance abuse is not a minor problem considering the number of reported drug seizures by the authorities.13 In real terms, the drugs seized by law enforcement authorities constitute only 5–0 percent of the actual quantity.14 Comprehensive data on the pattern of substance dependency is hampered by the criminal and moral stigma associated with substance dependency. Whatever the real number of people afflicted with addiction, substance dependency is a severe problem when considered in terms of personal distress, family disruption and interference with productivity and economic growth. Efforts have been undertaken in GCC countries to reduce the demand for drugs and to prevent drug abuse before it occurs. These efforts are coordinated through the Demand Reduction Committee, created in 200 with members from all countries of the GCC. The committee provides leadership in coordinating and facilitating strategies in this area including law enforcement, rehabilitation and leading and assisting the community in the task of education and prevention of substance abuse. Some studies have suggested that substance dependency occurs in adolescents in all strata of the society.14–16 However, these studies are limited to self-report questionnaires based on secondary school students. Although peer pressure is likely to play a significant part in the initiation of substance abuse,16 the subsequent heavy abuse is often associated with various psychosocial factors. It has been suggested that of all the social factors that predispose individuals to substance abuse, boredom is the most significant.14,17 The recent affluence and modernisation of the GCC societies have led many people to have a lot of spare time, as household chores are carried out by expatriate servants.14 The detrimental effects of such a lifestyle, including substance dependency, have been speculated in the literature.13,18–21 In a study cited by Al-Harthi14 of personality profiles and descriptive analyses of typical substance users enrolled in a treatment centre in Riyadh, Saudi Arabia, the most frequently stated reason for indulging in drugs was to escape boredom. This view, though substantiated by other studies in the region,22,23 has not taken into account the relationship of individual temperament to substance abuse. Recent studies have suggested that phenotypical "risk takers" or "sensation seekers" are often not inhibited from yielding to various illicit practices including substance abuse.24 Future studies in the region should examine the association between personality types, risk taking behaviour and boredom. The premise that the rise in substance dependency might be precipitated by erosion of traditional family networks and skewed social expectations might be relevant to GCC countries. Al-Hashmi18 has suggested that modernisation has resulted in the Omani family becoming nuclear at the cost of the traditional extended family. Concurrently, domestic servants brought from overseas, often illiterate in the dominant language, are providing much of the socialisation to children. Reinforced by frequent international travelling, satellite televisions and the Internet, acculturation appears to have occurred too quickly in GCC societies. Smith has remarked that these changes have brought these communities development that took a thousand years in Europe in less than 20 years.25 Studies from other parts of the world that have experienced similar rapid pace of modernisation have shown disintegration of native culture and identity as well as dissolution of the social network, to which individuals had previously turned for help when in trouble.26 In addition, the spread of education have resulted in higher levels of expectations. In the new social order, individuals in the region tend to regard employment opportunities, guaranteed higher levels of income, and especially, higher social standing, as acquired rights. Frustration of the desire to climb the social ladder leads to social insecurity.14 The present situation of society in transition fits with the classical sociological observations of Ibn Khaldun and Emile Durkheim: rapid transformation leads to breakdown of traditional social cohesion.14As a result, the sense of belonging becomes a luxury, leading to social drift, alienation, and the proliferation of social misfits. The society itself may become anomic. The relationship between acculturation, anomie and drug taking has received empirical support.27 The present tendency is to view substance abuse in its psychosocial context rather than on moral terms. While more studies that are comprehensive are needed to examine the pattern of use and misuse of drugs in the GCC countries, there are various reasons to assume that substance dependency is likely to continue to pose a problem in the region. First, the geography helps both trafficking and consumption. GCC countries are located close to the "Golden Triangle" or "Drug Belt", a part of Asia where underdevelopment and political instability have fuelled drug driven economies. Second, being on a major route for international airlines and sea routes by virtue of being in the middle of the world, GCC countries are at constant risk of being used as trans-shipment points for drug trafficking. The Arabian Peninsula has a vast coastline with its horizon overlooking major sea routes to different continents. Even if vigilance to guard its borders is heightened, such a long coastline would remain porous. Moreover, effective surveillance would require more allocation of resources and work force, drawing vital resources away from establishing essential remedial and rehabilitation services for the victims of substance abuse. Thirdly, the increasing number of visitors and the presence of foreign labour in the GCC also help make the "Gulf route" a crossroad for trans-world drug supplies. Some individuals may fall prey to the fallouts from these passing illegal shipments even though they may be destined elsewhere. It is also possible that an increase in consumption of illicit substances among the local population has in itself escalated the demand. In support of the latter view are the rising statistics on the mortality related to drug abuse and the number of clients seeking treatment in rehabilitation centres in the GCC states.15,28 Dispensing accurate information on issues related to substance abuse is a key component to fighting drug abuse. Studies are needed to illuminate the effect of substance dependency in the GGC countries as the mass media often tends to downplay the risks of drug use, or sometimes even glamorises it. Evidence is emerging on the personal consequences of substance dependency. Okasha, in the context of Egypt, has demonstrated that substance dependency is likely to lead to underachievement at school or work and exacerbate family stress, financial burdens and exposure to criminal activity.29 However, literature does not discern whether these social problems are the cause or the effect of the substance dependency. Substance dependency is often associated with psychiatric morbidity30 but it is not clear whether this is cause or effect. Karam et al in their report from Lebanon suggest a strong relationship between addiction to substances of abuse and psychiatric diagnoses.31 These authors further suggest that certain personality types often abuse specific substances. However, such a simplistic view appears to be merely reiterating the chicken-or-the-egg argument. Some authors have suggested that substance dependency is a form of self-medication, which implies that individuals with substance dependency have high levels of psychosocial distress and use illicit drugs in an attempt to alleviate their distress. This is relevant to the suggestion that some psychiatric symptoms may mimic withdrawal effects of chronic substance dependency and withdrawal symptomatology co-varies with cognitive and psychological functioning.32 In addition to psychiatric illness, substance dependency has been seen to increase the risk of adverse drug reactions. A well-known complication of substance dependency is the risk of transmission of human immunodeficiency virus and other infections.33 VISIBLE PATTERNS IN THE GCC The discovery of oil in the GCC has brought rapid modernisation as well as unprecedented material progress and economic security.34 Although GCC nationals, like other cultural groups in developing countries, are thought to have beliefs that protect them against developing substance dependency, such beliefs appear to be eroding with the rising tide of acculturation and economic restructuring. Demographic factors such as the preponderance of adolescents in the population will continue to elude those advocating demand reduction policies even if harsher penalties are decreed for traffickers and users. Approximately 60% of the population in the region are less than 20 years old.35 As reported elsewhere, 36 adolescents are prone to risk taking behaviour, a temperament that has been associated with developmental milestones including the underdevelopment of the orbital-frontal cortex.34 In GCC countries, the rate of juvenile delinquency has, in a span of 0 years, increased approximately by 400%. Unless the needs of such a large and important segment of society as its young people are addressed, this may present a demographic time-bomb with unpredictable social consequences. With a fast growing population, competitions for social and occupational roles are likely to be more intense, leaving many failed individuals behind. With such a demographic trend, it is likely that many individuals carry a greater risk of developing various adjustment difficulties including substance dependency.37 Data emanating from other developing countries suggest that drug peddlers tend to target the poor and the unemployed. Whereas substance dependency in other parts of the world is often associated with economic and social breakdown,38 no study has examined whether substance dependency in the GCC countries follows the same pattern.39 Preliminary observations in Oman suggest that there is relationship between unemployment and propensity for substance abuse.14 Interestingly, the study suggests that addiction to illicit drugs is likely to interfere with employment, often rendering some individuals to lose their jobs. In the midst of such conflicting views, further studies are needed to ascertain the conditions that trigger drug dependency in the community.40 While more information is needed in order to make an informed policy on substance dependency, there is some evidence pointing to which substances are widely abused in GCC countries. First, clinical reports suggest that solvent misuse is extensive although no formal studies have been conducted. Hafeiz41 has suggested that abuse of solvents often occurs in order to overcome the boredom of modern living. There is also increasing evidence to suggest that some of these agents cause mental disorders42 as well as neurological complications.43 The chemicals in question include glues, liquid shoe polish, deodoriser, petrol, cologne and insecticides.44,45 A special pattern of substance dependency associated with social deviancy and delinquency also involves a home-made mixture of dates and ointments as well as inhalation of intoxicating fumes derived from burning the wings of cockroaches and ants with volatile substances. Habitual inhaling of these substances is often associated with a failure to thrive.42 Secondly, inhaling smoke derived from nicotine based substances is now common in many GCC countries.46,47 Tobacco is often chewed, snuffed or smoked either in cigarettes or in sheesha. The latter (also known as hookah) is a smoking device, widely used in some communities of the Arabian Peninsula, to smoke jurak, a cooked tobacco-fruit mixture, and burnt by an electrical device or by charcoal. The produced smoke passes through the water at the base of the sheesha and then a long-tube before it is inhaled. Though most smokers consider sheesha less harmful to health than cigarette smoking,48 this has not been substantiated in regional studies.48,49 Experimental and clinical studies have found that nicotine, an active ingredient of both sheesha and cigarettes, not only triggers cardiovascular diseases, but also predisposes frequent users to various neuropsychiatric disorders.50 The question remains whether smoking triggers mental illness or people with mental illness are more likely to smoke.51 Pharmacological studies have unequivocally shown that nicotine is as addictive as other well-known psychoactive drugs such as cocaine and amphetamines.52 However, GCC countries have given a low priority to this a public health issue. Demand for nicotine has been falling in industrialised nations, 53 but a similar picture is not emerging from middle and low income countries. Cigarette companies are now targeting the developing world.53 Moreover, cigarette companies are manufacturing products of differing quality for sale in different markets. It has been shown that cigarettes of the same brand sold in developing countries have higher tar content than in the country of origin.54 Some studies have suggested that certain cigarettes are made from more potent, hence, more addictive, nicotine.53,55 As there is no known effective program to educate people about the dangers of smoking, prevention and smoking cessation appear to an unattainable goals. To compound the problem, some proponents of the "gateway phenomenon" suggest that smoking is a springboard to hard drugs such as cocaine and heroin, 56 though there is also evidence to contradict this view.57 The social problems precipitated by alcoholism have not yet been reported in the GCC countries though some reports suggest that drinking problems are proliferating.13,44,58 The World Health Organisation59 estimates that more then 5 million people are disabled because of alcohol use, making it the fourth leading cause of worldwide disability. Theobald has suggested that approximately 0% of alcohol consumers will at some time experience serious health problems related to their drinking habit.60 As many individuals are now facing the daily challenges of modern living and the pressures of modern life, alcohol abuse is thought to be one of the elusive antidotes to modern insecurity.17 Some recent findings suggest that individuals who have a high subjective level of insecurity in their lives are likely to abuse alcohol to ward of their psychosocial stress. Interestingly, people with such attributes have been seen to have refractory types of alcoholism.61 Alcohol syndromes such as delirium tremens and Korsakoff's psychosis are known to occur among people who consume it regularly.50 Persons at risk of drinking problems cannot be reliably identified in the population; therefore the pattern of drinking and its psychosocial correlates are indicated for the GCC countries. The bulk of the studies21,45,58 have focused solely on exploring the validity of research instruments on cross-cultural application of drinking attitude and behaviour. Little is known on the effect of alcohol repackaged as "cologne" available in some GCC countries.62,63 Colognes or ethyl alcohol-containing perfume and after-shave are sometimes ingested as an alcohol substitute.64 Relevant to this, it would be important to determine whether the availability of alcohol and other soft drugs deters people from going into narcotics that are more dangerous. One suggestion is that in those societies of GCC where there is a relaxed attitude towards alcohol, there are fewer propensities towards heroin and other dangerous drugs.14 It also not clear how such information would be helpful in planning intervention programs in GCC countries, as the experiences from other societies suggest a complex relationship between alcohol and substance abuse. The "gateway theory" would suggest that using alcohol leads people to use harder drugs like cocaine and heroin.65 There is also scant information on the pattern and psychosocial correlates of over-the-counter medications in the GCC countries. Though generally viewed as harmless, many of them have the potential for abuse, particular those that are considered to be amphetamine-like stimulants.66 These includes nasal decongestants, bronchodilators, appetite suppressants and energy pills and drinks. While there is no evidence to suggest that cocaine and hallucinogens are widely consumed in the GCC countries, 13 the story of opiate use is somewhat different. Historical documents suggest that opium was considered as a medicinal substance in the Middle East. It was recommended by various towering Arab figures such as Ibn Sina.1 More recently, however, its semi-synthetic counterpart, heroin, far removed from its cultural context, is becoming the drug of choice for addicts in the GCC countries. Being close to heroin producing regions of the world, GCC appears to be the trafficker's place of choice. Being capable of causing compulsive dependency within a short time, heroin has a devastating effect on the user and society in general. To those who are addicted to heroin, it appears the habit leaves them little time for meaningful life. To compound the problem, as 90% of GCC heroin addicts use it intravenously, sharing of contaminated needles causes infections of human immune deficiency virus and a high incidence of other infections.33 Similarly, the number of cases of heroin addiction is often directly related to the number of crimes.27 Despite stringent regulations to reduce the supply and demand, the habit proliferates. Judging from the quantities of drugs seized by the authorities, the last decade has witnessed a dramatic increase in the number of cases of heroin addiction, the number of addicts seeking rehabilitation, and death due to heroin overdose.PROSPECTS FOR THE FUTURE Rehabilitation for addiction is often in the hands of psychiatric or penitentiary services though some specialised centres have emerged in some GCC countries.16 Culturally sensitive interventions seem to be often relegated to fringe importance. Medical interventions are likely to grow considering the many claims about new pharmacological tools that take advantage of the chemical properties of alcohol and other drugs. However, drug treatment for substance dependency should not hold up the search for psychosocial predisposing factors, which, in turn, could be a springboard for educational strategies to reduce demand. Indeed, blind adherence to pharmacological intervention not only seems similar to drug peddling, but also may be counterproductive in the long term. A biomedical explanatory model of substance dependency may lead to stigma, and lessen the individual and societal accountability in tackling compulsive dependency. Stressing personal responsibility, on the other hand, motivates one to change, as well as help one understand the challenges ahead and evolve coping mechanisms.67 As distress and stress are experienced in a socio-cultural context, rehabilitation services should avoid committing what Kleinman has called a "category fallacy", where a view of human nature developed for one cultural group is uncritically applied to members of another group for whom its validity has not been established.68 According to Kleinman, this results in a "distortion of pathology" rather than a critical understanding of the ways in which the members of a different cultural group perceive, experience and communicates beliefs and distress. One of the essential grounds for formulating enlightened policies toward drug dependency is to consider the society's outlook towards mood altering substances. Despite the documented frequency of substance abuse in GCC countries, a review of the literature reveals no objective studies on knowledge, attitude and perception. Opinion towards substance dependency among citizens of GCC countries is likely to have a wide-ranging influence, affecting issues as diverse as personal consequences of substance dependency, prevention, care and management of people with substance abuse. Historical and cross-cultural studies have suggested that individuals with substance dependence are likely to encounter active discrimination and harassment which, in turn, exacerbates their psychosocial predicament and perpetuates their relapse into drug taking.37 Similarly, it has been suggested that social attitudes can be more devastating than the addiction itself, and the addict's family suffers as well.69 Although many victims of substance dependency could benefit from treatment, attitudes of society towards them is likely to hamper their seeking rehabilitation. As a result, many are likely to stay underground until addiction has reached an advanced stage of irreversible pathology. This not only increases pessimism of the victims and those around them but also shatters the prospect of recovery. Therefore, more research in GCC countries should be conducted in order to shed light on socio-cultural factors that precipitate individuals to succumb to substance abuse. This would open the door for contemplating strategies to achieve a reasonable level of prevention as well as to prioritise which aspects of services are pertinent to the region. Grinspoon and Bakalar have suggested that of all the mistakes repeated, the most serious is trying to free society of drugs via legislation and regulation.70 Indeed, many studies1 suggest that no punitive measure deters availability and abuse of drugs.14 It appears that financial gain is one of the strongest determining factors. Globally, though consensus from the experts in the field suggests that substance dependency is a disease, public opinion often considers it a form of moral degeneracy that can destroy social values. As a result, victims of substance dependency are sent to the prison. Many countries have pursued the idea of creating a national consensus towards zero tolerance for substance abuse and death penalty for drug traffickers. The policies fluctuate between curbing trafficking, reducing demand and decriminalisation of certain classes of drugs.71 Some countries have considered decriminalizing soft drugs and the debate continues on the rationale of dispensing heroin to heroin-addicts.72 Although more time is needed to assess the long-term outcome of these new programs, history has shown that none of the previous campaigns to curb the spread of substance misuse has worked. Instead, the situation appears to be summed up in Bob Marley's lyric, "So you think you have found the solution; But it's just another illusion". CONCLUSION The problem of drug abuse in the GCC is a multi-dimensional one without easy solutions. This paper has touched upon several of these issues. Even though for zero tolerance to substance dependency is advocated, no program has been found to be universally successful in reducing drug dependence. Historically, many societies have tried both criminalisation and decriminalisation but to no avail. Despite all the technologies to monitor and legal authority to bring the drug traffickers to justice,including the threat of death penalty, dealing with substances that cause addiction is becoming a global challenge of ever increasing magnitude. More discouraging, the problem has even affected societies where one would expect cultural factors to protect them from the attraction of drugs. The purpose of this paper, thus, is to "point a finger to the moon", the moon symbolising the complexity of substance dependency. One should not confuse the moon with the finger that points to it.

Die vorliegende Arbeit befasst sich mit der Synthese und Charakterisierung von nanostrukturierten Mikropartikelpulvern mit einstellbarem Zerfalls- und Dispergierungsverhalten und deren Anwendung als verstärkender Füllstoff sowie deren Eignung für Sensoranwendungen. Sie ist in drei Teilbereiche gegliedert: Der erste Teil beschreibt die Synthese der nanostrukturierten Mikropartikelpulvern durch Sprühtrocknung von kolloidalen oxidischen (silicatischen und eisenoxidischen) Nanopartikeln. Es wird ausgeführt, wie durch Variation der Art und Größe der Primärpartikel und deren mengenanteiligen Kombination Mikropartikel unterschiedlichster nanostruktureller Maserung und Ausprägung erhalten wurden. Das Spektrum dieser Partikel reichte von homogen verteilten Strukturen bis hin zu Kern-Satellit-Struktur, von kontrollierter Aggregierung bis hin zur vollständigen Dispergierbarkeit. Im zweiten Teil der Arbeit wurden die Partikel im Hinblick auf ihre Eignung und Verwendung als Füllstoffe für Elastomer-Matrices untersucht. Im Fokus stand die Verstärkungswirkung und die Korrelation mit dem Dispergierverhalten in PDMS. Im dritten Teil der Arbeit wurde das Syntheseprinzip der Herstellung nanostrukturierter Mikropartikel auf Hydroxid-basierte Systeme wie LDHs erweitert. Teil I: Von Silica-NP zu nanostrukturierten Mikropartikeln mit einstellbarem Zerfallsverhalten Um nanostrukturierte Mikropartikel mit einem integrierten Zerfallsverhalten zu erzeugen, wurden zunächst kolloidale Silica-NP mit einer Größe von 20 nm abgestuft mit unterschiedlichen Mengen (0, 1/10, 1/5, 1/3, 1/2, 2/3, 1) eines hydrophobierend wirkenden Silans (Triethoxyoctylsilan, OCTEO) modifiziert. Neben den beiden Extremen der vollständigen und unmodifizierten Varianten (1 und 0) wurden teilweise modifizierte Zwischenstufen erhalten, indem die Silanmenge auf 2/3, 1/2, 1/3, 1/5 und 1/10 im Vergleich zu den vollmodifizierten Silica-NP verringert wurde. Die modifizierten Nanopartikel zeigten beim Dispergieren in verschiedenen Flüssigkeiten (Wasser, Toluol) eindeutige und graduell klar differenzierbare Unterschiede in Abhängigkeit vom Bedeckungsgrad der Partikeloberfläche mit dem Silan. Wie erwartet nahm das hydrophobe Verhalten der Nanopartikel mit zunehmendem Bedeckungs- und damit Modifizierungsgrad zu und die Nanopartikel waren in unpolaren Flüssigkeiten wie Toluol gut dispergierbar, während sie in polaren Flüssigkeiten wie Wasser zur Agglomeration und Sedimentation neigten. In einem nächsten Schritt wurden die zu unterschiedlichen Graden mit OCTEO modifizierten kolloidalen Silica-NP mittels Sprühtrocknung in mikroskalige Pulver überführt. Die nanostrukturierten Mikropartikelpulver wurden mit verschiedenen Analysemethoden wie REM-Aufnahmen, BET-, FTIR- und TG-Messungen untersucht, und die Eigenschaften der gebildeten Partikel charakterisiert. Die nanostrukturierten Mikropartikel zeigten auf den REM-Aufnahmen abhängig vom Modifizierungsgrad der Nanopartikel ein sehr unterschiedliches Aussehen. Während die Mikropartikel aus vollständig modifizierten Nanopartikeln eine eher raue Oberfläche besaßen, hatten die aus unmodifizierten Nanopartiklen gebildeten eine sehr glatte, kompakt erscheinende Oberfläche, was als Hinweis auf eine Kondensation und eine damit verbundene Aggregation der Nanopartikel gewertet wurde. Da sich diese Hypothese anhand der Aufnahmen aber nicht beweisen ließ, wurden in einer nächsten weiterführenden Testreihe Nano-Indenter-Experimente unter dem REM mit den aus voll- und unmodifizierten Nanopartikeln aufgebauten Mikropartikeln durchgeführt. Die Ergebnisse bestätigten den ersten Eindruck der REM-Aufnahmen insofern, als das sich die sehr kompakt wirkenden unmodifizierten Partikel nicht mit einer Wolfram-Spitze eindrücken ließen und damit die Hypothese mechanisch stabiler Aggregate untermauerten. Ganz anders verhielten sich die vollmodifizierten Partikel, die mithilfe der Wolfram-Spitze so eingedrückt werden konnten, dass die Nanopartikel aus dem Mikropartikelverbund herausgelöst wurden und teilweise vereinzelt vorlagen. Hier handelte es sich mit hoher Wahrscheinlichkeit um Agglomerate, die unter der Einwirkung einer Scherkraft wieder vereinzelt werden konnten. Da es mit mikroskopischen Verfahren wie REM nicht möglich war, unmittelbare Aussagen bezüglich der Wechselwirkung der Nanopartikel im Mikropartikel zu treffen, wurden zunächst die Oberflächeneigenschaften mittels BET-, FTIR- und TG-Messungen untersucht. Im Hinblick auf die spätere Anwendung war es sehr wichtig, die Oberflächeneigenschaften der Mikropartikel möglichst umfassend zu charakterisieren, da diese entscheidend zur Dispergierbarkeit der Partikel in einem Matrixsystem beitragen. Mithilfe der FTIR- und TG-Messungen konnte die Anwesenheit und Menge von Silan auf der Partikeloberfläche bestimmt werden. Es zeigte sich ein klarer Trend für die zu verschiedenen Graden mit OCTEO modifizierten Silica-NP. Mit zunehmender Silanmenge nahm sowohl die Intensität der FTIR-Bande für die CH2- und CH3-Streckschwingung als auch der Masseverlust zu. Im Gegensatz zu diesen Messungen zeigte sich bei den BET-Messungen kein klarer Trend in Abhängigkeit vom Bedeckungsgrad der Silica-NP. Die höchsten Werte für die spezifische Oberfläche hatten Mikropartikel, die aus 1/5- und 1/3-modifizierten Silica-NP bestanden. Eine schlüssige Erklärung wird darin gesehen, dass durch die Alkylgruppen auf der Oberfläche ein Kondensieren der Silica-NP weitestgehend verhindert wurde und gleichzeitig noch genügend Mikroporen vorhanden blieben, die mit den Stickstoffmolekülen wechselwirken konnten. Neben den Standard-Analysemethoden wurden Dispergierbarkeitsuntersuchungen durchgeführt sowie die Hansen-Dispergierbarkeitsparameter (HDP) und die ET (30)-Werte mit dem Reichardt-Farbstoff bestimmt. Anhand der Dispergierbarkeitsuntersuchungen konnten erste qualitative Aussagen getroffen werden, ob es sich um hydrophile oder hydrophobe Partikel handelt. Diese ersten Ergebnisse und Trends konnten anschließend mit den HDP und dem RD quantitativ untermauert werden. Die Polarität der Mikropartikel, die aus zu unterschiedlichen Graden mit OCTEO modifizierten Silica-NP aufgebaut waren, nahm mit zunehmender Oberflächenbedeckung ab. Dieser Trend korrelierte mit den aus den FTIR- und TG-Messungen erhaltenen Werten. Da es mit den Silica-basierten Mikropartikeln nicht möglich war, unmittelbare Aussagen zum Agglomerations- bzw. Aggregationsgrad der Nanopartikel im Mikropartikel zu treffen, wurde das Prinzip der Agglomerations/Aggregationssteuerung über Oberflächenmodifikation auf magnetische Nanopartikel übertragen und so ein Modell geschaffen, das die Wechselwirkung auf nanopartikulärer Ebene sichtbar und messbar macht. Diese Informationen zum Agglomerationsgrad der Nanopartikel lieferten wertvolle Hinweise im Hinblick auf die Dispergierbarkeit der Partikel in einer Matrix: Handelte es sich bei den Partikeln um lose Agglomerate, könnten diese zum Beispiel in einem Elastomer wieder auf Primärpartikelgröße dispergiert werden, während Aggregate nur in undefinierte Sekundärstrukturen zerfallen. Gleichzeitig wurde mit dieser Systemübertragung die Frage beantwortet, ob es sich bei den teilmodifizierten Partikeln um eine Mischung aus voll- und unmodifizierten Partikeln handelte oder ob das Silan statistisch über die komplette Oberfläche verteilt war. Wie auch schon beim Silica-System wurden die Nanopartikel zunächst abgestuft mit OCTEO modifiziert (0, 1/10, 1/3, 1/2, 2/3, 1) und anschließend sprühgetrocknet. Aufgrund ihrer magnetischen Eigenschaften konnten die Eisenoxid-Partikel mittels ZFC- und FC-Messungen untersucht werden. Diese spezielle Analysemethode erlaubte es, Aussagen über den Grad der magnetischen Wechselwirkung der Partikel zu treffen und somit indirekt auch über den Grad der Agglomeration/ Aggregation der Nanopartikel im Mikropartikel. Es zeigten sich klare Unterschiede in den Werten für die Blocking-Temperatur (TB) zwischen den voll- und unmodifizierten Partikeln. TB ist die Temperatur, ab welcher die Magnetisierungsrichtung der Partikel aufgrund der thermischen Energie frei fluktuieren kann. Die vollmodifizierten Partikeln hatten einen sehr niedrigen Wert für TB, was auf eine schwache Dipol-Dipol- Wechselwirkung zwischen den einzelnen Eisenoxid-NP schließen ließ, während die unmodifizierten Eisenoxid-Partikel einen hohen TB-Wert hatten, woraus zu schließen war, dass es sich um Aggregate mit einem sehr geringen Partikel-Partikel-Abstand handelte und einer deshalb höheren Wechselwirkung. Die Werte der teilmodifizierten Partikel folgten dem Trend, dass mit zunehmender Silan-Bedeckung der TB-Wert abnahm. Um die Frage der Silan-Verteilung zu beantworten, wurde zusätzlich ein Mischsystem aus voll- und unmodifizierten Eisenoxid-NP versprüht. Sollte es sich bei den teilmodifizierten Partikeln (als Beispiel 1/2) nicht um eine statistische Verteilung der Octylgruppen auf der Oberfläche handeln, müssten die beiden Messungen Übereinstimmungen aufweisen. Dies war allerdings nicht der Fall, was mithilfe der ZFC- und FC-Messungen gezeigt werden konnte. Der TB-Wert des Mischsystems lag zwischen dem der voll- und zu 2/3-modifizierten Partikel, während der Tir-Wert dem der unmodifizierten Partikel entsprach. Die Breite der Aufspaltung zwischen TB undTir konnte als breite Partikelverteilung (Mischung aus Agglomeraten und Aggregaten) interpretiert werden. Im Hinblick auf die Anwendung als Füllstoff wurden die Mikropartikel in eine PDMS-Matrix eingearbeitet und erneut ZFC- und FC-Messungen durchgeführt, wobei die gleichen Trends wie bei den reinen nanostrukturierten Mikropartikeln erhalten wurden. Das bedeutete, dass sich die vollmodifizierten Eisenoxid-NP gut im Elastomer verteilt hatten und somit eine nur sehr geringe Dipol-Dipol-Wechselwirkung vorhanden war. Mit dem entwickelten System der nanostrukturierten Mikropartikel lässt sich der Agglomerations- bzw. Aggregationsgrad der Nanopartikel mehr oder weniger gezielt einstellen, und es können zusätzlich Voraussagen über die Redispergierbarkeit des Partikelpulvers in einer geeigneten Matrix gemacht werden. Basierend auf den gewonnen Erkenntnissen, die zum Verständnis der nanostrukturierten Mikropartikel beitrugen, wurden in einem nächsten Schritt gezielt komplexe Strukturen aufgebaut. Für eine gezielte Strukturierung von Nanopartikeln in Kern-Satellit-Partikel wurde zunächst große 100 nm Silica-NP mit einem PCE funktionalisiert und anschließend mit kleinen und großen unmodifizierten Silica-NP versprüht. Wurden die geeigneten Verhältnisse (70:20:10; 100 nm Mel : 100 nm blank : 20 nm blank) der Partikel zueinander gewählt, konnten Kern-Satellit-Strukturen auf der Mikropartikeloberfläche erzeugt werden. Beim Dispergieren der Mikropartikel in einer Flüssigkeit und in einem Elastomer (PDMS) konnten vereinzelte Kern-Satellit-Strukturen erhalten werden. Um zu bestätigen, dass es sich bei den dispergierten Kern-Satellit-Partikeln nicht um durch Trocknungseffekte entstandene Strukturen handelte, wurden in-situ-Flüssigkeitszellen- TEM-Aufnahmen gemacht. Die Aufnahmen konnten zeigen, dass sich die Kern-Satellit- Partikel in Abhängigkeit zueinander bewegen und nicht jeder Nanopartikel für sich, was auf eine Bindung der Partikel untereinander hindeutete. Neben den Silica-basierten Kern-Satellit-Partikeln konnten auch welche erzeugt werden, deren Satellit-Partikel aus Eisenoxid bestanden. Mit diesem System ist es möglich, multifunktionelle Partikel mit verschiedensten Eigenschaften und Strukturen herzustellen. Teil II: Anwendungspotential nanostrukturierter Mikropartikel Im zweiten Teil der Arbeit wurde zunächst die Anwendung der nanostrukturierten Mikropartikel als Füllstoff in IR und PDMS untersucht. Dafür wurde ein weiteres Silan, Si69TM, zur abgestuften Modifizierung der Silica-NP eingesetzt. Es handelt sich um ein multifunktionelles Silan, welches sowohl an die Partikeloberfläche als auch an das Elastomer binden kann. Bei den mechanischen Untersuchungen der IR-Silica-Komposite zeigte sich, dass das Silan einen entscheidenden Einfluss auf die Verstärkung bei kleinen Deformationen hatte. Während bei dem monofunktionellen Silan (OCTEO) eine direkte Korrelation zwischen Bedeckungsgrad und mechanischer Verstärkung (G') bei gleichbleibendem Füllstoffgehalt beobachtet werden konnte, hatte der Bedeckungsgrad beim multifunktionellen Silan (Si69TM) keinen Einfluss. Anders als bei kleinen Deformationen zeigte sich bei großen Deformationen ein gegenteiliges Bild. Die Verschleißrate der IR-Silica-Komposite nahm bei beiden Silantypen mit zunehmendem Modifizierungsgrad ab, wobei die mit Si69TM modifizierten Partikel-Komposite wesentlich beständiger gegen Verschleiß waren als die mit OCTEO modifizierten Partikel-Komposite, was auf die zusätzliche Matrixanbindung des Si69TM zurückzuführen war. Wurden die IR-Silica- Komposite mit den PDMS-Silica-Kompositen verglichen, konnten keine übereinstimmenden Trends gefunden werden. Im PDMS-System war die mechanische Verstärkung für Mikropartikel aus 2/3 mit OCTEO modifizierten Silica-NP maximal. Diese Unterschiede könnten sowohl auf die unterschiedliche Einarbeitung als auch auf die sehr unterschiedlichen Matrices zurückgeführt werden. Als weitere Anwendung wurden die nanostrukturierten Mikropartikel als Schersensoren für den 3D-Druck untersucht. Hierfür wurden die Silica-NP mit einem PCE modifiziert und anschließend sprühgetrocknet. Um die entstandenen Mikropartikel vollständig in einer Matrix zu dispergieren, waren hohe Scherkräfte und lange Scherzeiten erforderlich, was eine mögliche Anwendung als Schersensor nur schwer realisierbar macht. Teil III: Erweiterung des Ansatzes zur Herstellung nanostrukturierter Mikropartikel auf Hydroxid-basierte Systeme Im dritten Teil dieser Arbeit wurde das System zur Modifizierung von oxidischen Silicaund Eisenoxid-Partikeln auf ein hydroxidisches Systeme übertragen. Hierfür wurden mittels Fällungsprozess LDH-Partikel hergestellt, die anschließend mit OCTEO modifiziert und abschließend sprühgetrocknet wurden. In gleicher Weise wie bei den Mikropartikeln aus Silica-NP nahm der hydrophobe Charakter der LDH-Mikropartikel mit zunehmendem Modifizierungsgrad der Ausgangspartikel zu, was sich anhand von Untersuchungen zur Dispergierbarkeit in Flüssigkeiten unterschiedlicher Polarität zeigte. Zudem ließen sich die aus vollmodifizierten LDHs aufgebauten Mikropartikel in einer PDMS-Matrix wieder in vereinzelte Partikel dispergieren. Die Verstärkung der Komposite war für die teilmodifizierten Partikel (2/3) maximal, da es sich hier, wie auch bei den anderen Partikelsystemen (Silica und Eisenoxid), um eine Mischung aus vereinzelten LDHs und kleineren Aggregate handelte, was aufgrund der starken Füllstoff-Füllstoff-Wechselwirkung zu einer mechanischen Verstärkung bei kleinen Deformationen/Dehnungen führte. Die Eigenschaften der Polymer-Partikel-Komposite ließen sich über den Modifizierungsgrad der Primärpartikel einstellen. Dies konnte für alle drei Partikelsysteme (Silica, Eisenoxid und LDH) beobachtet werden. Ausblick In der vorliegenden Arbeit konnte die Synthese von verschiedenen nanostrukturierten Mikropartikeln und deren einstellbaren Zerfall gezeigt werden. Um den Zerfall der Mikropartikel noch gezielter einstellen zu können, sollte in weiterführenden Arbeiten vor allem die Modifizierung der Nanopartikel noch eingehender untersucht werden. Mithilfe der magnetischen Messungen konnte zwar zwischen einer Mischung aus un- und vollmodifizierten Partikel im Vergleich zu teilmodifizierten Partikel unterschieden werden, es konnten jedoch keine konkreten Aussagen zur Verteilung der Silanmoleküle auf der Partikeloberfläche getroffen werden. Hierfür sollten weitere Charakterisierungsmethoden hinzugezogen werden, die die Modifizierung auf molekularer Ebene analysieren. Zusätzlich sollte die Verteilung/Anordnung der teilmodifizierten Nanopartikel im Mikropartikel untersucht werden. Gerade für Nanopartikel mit einem geringen Modifizierungsgrad (1/10, 1/5 und 1/3) sind verschiedene Anordnungen möglich. Die Nanopartikel können sich während der Sprühtrocknung so anordnen, dass sich die Alkylketten entweder nach außen oder in die Mitte des Mikropartikels orientieren/ausrichten. Die Anordnung der Nanopartikel hat einen großen Einfluss auf die Polarität der entstehenden Mikropartikel- pulver. Darüber hinaus hat sie einen Einfluss auf die Aggregation der Nanopartikel untereinander und somit auf die Bildung von komplexen Unterstrukturen wie zum Beispiel Kern-Satellit-Partikel. Neben der Modifizierung der Nanopartikel sollte die Herstellung der komplexen Strukturen/Suprapartikel weiter optimiert werden. Mit einem detaillierten Verständnis der physikalischen Prozesse während der Sprühtrocknung könnte die Anzahl der Satelliten auf den Kernpartikel kontrollierter eingestellt werden. Grundsätzlich kann das hier entwickelte System der nanostrukturierten Mikropartikel mit einstellbarem Zerfallsverhalten an eine Vielzahl von Anwendungen angepasst werden. Da das System für zahlreiche Partikeltypen (Silica-, Eisenoxid-NP und LDH) geeignet ist, könnten verschiedene Partikel ko-versprüht und so Suprapartikel mit ganz neuen Funktionalitäten und Eigenschaften erzeugt werden. Diese können als verstärkende Füllstoffe in Elastomere oder zur Stabilisierung von Dispersionen eingesetzt werden. Mischpartikel aus Silica- und Eisenoxid-Partikel hätten zum Beispiel den Vorteil, dass sie eine Dispersion stabilisieren und gleichzeitig wieder magnetisch abgetrennt werden können. Diese Mischpartikel könnten auch als Füllstoffe in komplexe Kunststoffbauteile eingearbeitet werden, in denen sie zum einen als mechanisch verstärkender Füllstoff wirken und gleichzeitig durch induktive Erwärmung das Bauteil vernetzt. Beim induktiven Erwärmen handelt es sich um eine schonende Methode Bauteile gezielt zu vernetzen, indem die Wärme im Bauteil selbst, über magnetische Verluste der Magnetpartikel in einem magnetischen Wechselfeld, erzeugt wird und nicht über seine Oberfläche eingebracht werden muss. Eine weitere interessante Anwendung für Mischpartikel ist die als magnetooptisch aktiver Marker oder Tracer in der medizinischen Diagnostik. Aufgrund von Quenching-Effekten (Auslöschungseffekte) ist es schwierig magnetische Nanopartikel mit einer Farbigkeit oder Fluoreszenz auszustatten.[385] Mischt man jedoch die magnetischen Nanopartikel mit einem weiteren Partikelsystem wie zum Beispiel Silica-NP oder LDHs, können magnetooptische Eigenschaften erhalten werden ; The herein presented work deals with the synthesis and characterization of nanostructured microparticle powders with adjustable burst behavior and their application as reinforcing fillers as well as their application as a shear sensors. For this purpose, the work was structured into three parts. The first part was dedicated to the synthesis of nanostructured microparticle powders produced by spray-drying colloidal nanoparticles. Depending on the composition of the particles during the spray-drying process, it was possible to produce nanoparticulate structures such as core-satellites. In the second part of the work, these nanostructured microparticles could be redispersed in a suitable matrix such as polydimethylsiloxane (PDMS) and then tested for a potential application as reinforcing fillers. In the third and final part of the work, the synthesis approach was extended to hydroxide-based systems such as layered double hydroxides particles (LDHs). Part I: From silica nanoparticles to nanostructured microparticles with adjustable burst behavior To generate nanostructured microparticles with an integrated burst behavior, colloidal silica nanoparticles with a size of 20 nm were either partially or completely (1/10, 1/5, 1/3, 1/2, 2/3, 1) modified with triethoxyoctylsilane (OCTEO), which makes the nanoparticle surfaces hydrophobic or semi-hydrophobic, or the nanoparticles were left blank (0). To achieve the part-modification" the amount of silane was reduced accordingly to 2/3, 1/2, 1/3, 1/5 and 1/10 compared to the completely modified silica nanoparticles. The modified nanoparticles showed clear differences when dispersed in different liquids (water, toluene) depending on the silanization degree of the particle surface. As expected, the hydrophobic behavior of the nanoparticles increased with increasing silane coverage and the nanoparticles were redispersible in non-polar liquids such as toluene while they tended to agglomerate and sediment in polar liquids such as water. In a next step, the colloidal silica nanoparticles, which were modified to different degrees with OCTEO, were spray-dried to yield a powder. The obtained nanostructured microparticle powders were then characterized by various analysis methods such as scanning electron microscope (SEM), specific surface area measurement by nitrogen adsorption according the Brunauer, Emmett and Teller theory (BET), FTIR measurements and thermogravimetric analysis (TGA) to examine the properties of the formed particles in more detail. SEM revealed that the nanostructured microparticles showed a very different appearance depending on the degree of modification of the nanoparticles. The microparticles consisting of completely modified nanoparticles had a rather rough surface, while the ones consisting of non-modified nanoparticles had a very smooth and compact surface, which could be due to possible condensation and associated hard agglomeration of the nanoparticles. Since based on SEM images alone it was not possible to confirm this assumption, in a next series of tests, in situ nano-indenter experiments were carried out in the SEM with microparticles composed of completely and non-modified nanoparticles. These results finally confirmed the first impression gained by SEM, as the very compact non-modified particles could not be indented with a tungsten tip which is possibly a good indication that hard agglomerates prevail in this case. The completely modified particles could be indented with the tungsten tip, thus behaved quite differently. The microparticles showed a ductile/plastic behavior and the nanoparticles could be separated from each other. This suggests that these particles probably consist of soft agglomerates of nanoparticles which can be separated again by force. Since it was not possible to make substantiated statements regarding the interaction of the nanoparticles within the microparticle with microscopy methods such as SEM, the surface properties of the particles were studied using BET, FTIR measurements and TGA. With a view to later applications, it it was important to characterize the surface properties of the microparticles in detail, since these are essential for the dispersibility of the particles in a matrix system. Using FTIR measurements and TGA the presence and amount of silane on the particle surface was determined. There was a clear trend for the silica nanoparticles which were modified to different degrees with OCTEO. As the amount of silane increased, both the intensity of the FTIR band for CH2 and CH3 stretching and mass loss increased. In contrast to these measurements, the BET measurements showed no clear trend depending on the surface coverage of the silica nanoparticles. The highest values for the specific surface area were found for microparticles consisting of 1/5- and 1/3-modified silica nanoparticles. In these cases, the condensation of the silica nanoparticles was largely prevented by the surface alkyl groups, and at the same time, there were still enough micropores that were able to interact with the nitrogen molecules which may explain the higher values. In addition to the standard analytical methods, liquid tests were performed and Hansen dispersibility parameters (HDP) and ET (30) values with Reichardt's dye (RD) were determined. Based on the liquid tests, first qualitative statements, concerning the hydro- philicity or hydrophobicity of the particles, modified to a different extend with silane, were made. These results and trends were then quantitatively substantiated with the HDP and the RD experiments. The polarity of the microparticles which were built up to different degrees with OCTEO modified silica nanoparticles decreased with increasing surface coverage. This tendency correlated with the values obtained from the FTIR and TG measurements. Since it had not been possible so far to determine the degree of soft and hard agglomeration of the silica nanoparticles in the microparticles, the system was transferred to iron oxide nanoparticles. The degree of agglomeration of the nanoparticles was crucial for subsequent dispersion in a matrix: If the particles were loose, soft agglomerates, they could be redispersed into primary nanoparticles in an elastomer, while hard agglomerates would only disintegrate into undefined secondary structures. At the same time, this system transfer was intended to answer the question whether the partially modified particles are a mixture of completely and non-modified particles or whether the silane is statistically distributed over the entire surface of all nanoparticles, i.e. whether all nanoparticles are modified to the same extend with silane. Similar to the silica system, the iron oxid nanoparticles were modified to different degrees with OCTEO (0, 1/10, 1/3, 1/2, 2/3, 1) and then spray-dried. Due to their magnetic properties, the iron oxide particles could be analyzed by Zero-Field-Cooled (ZFC) and Field-Cooled (FC) measurements. This special analysis method made it possible to deduce statements on the degree of the magnetic interaction of the particles and thus indirectly on the degree of soft and hard agglomeration of the nanoparticles in the microparticle. There were significant differences in the blocking temperature (TB) between the completely and the non-modified particles. TB is the temperature at which the magnetization direction of the particles can freely fluctuate due to thermal energy. The completely modified particles had very low TB value, suggesting a weak dipole-dipole interaction between the individual iron oxide nanoparticles. In contrary to this, the non-modified iron oxide particles had a high TB value, suggesting that the nanoparticles form hard agglomerates , coming with a very small particle-particle distance and therefore a higher interaction. The values of the partially modified particles followed the trend that the TB value decreased with increasing silane coverage. In order to answer the question of the silane distribution, a mixed system consisting of completely and non-modified iron oxide nanoparticles was also spray-dried. If the partially modified particles (as example 1/2) were a mixture of non-modified and modified nanoparticles and therefore the silane was not statically distributed on the nanoparticle surface, the TB value should be the same as for the mixed system. This was not the case however, as demonstrated by the ZFC and FC measurements. The TB value of the mixed system was between the one of the completely and 2/3-modified particles, while the irreversible temperature (Tir) value corresponded to that of the non-modified particles. The width of the splitting between TB and Tir could be interpreted as a broad particle distribution (mixture of soft and hard agglomerates). For the use as fillers, the microparticles were incorporated in a PDMS matrix and ZFC and FC measurements were again performed, and the same trends were observed as for the pure nanostructured microparticles. From this it could be concluded that the completely modified iron oxide nanoparticles had been well distributed in the elastomer and thus had very little dipole-dipole interaction. With the developed system of nanostructured microparticles, the degree of soft and hard agglomeration of the nanoparticles can be adjusted more or less specifically, and additional predictions can be made about the redispersibility of the particle powder in a suitable matrix. Based on the insights gained to understand the system, more complex structures were built up. For the adjustable structuring of nanoparticles in core-satellite particles, large 100 nm silica nanoparticles were firstly functionalized with a polycarboxylate ether (PCE) and afterwards spray-dried with small and large non-modified silica nanoparticles. By choosing a suitable ratio (70:20:10, 100 nm Mel : 100 nm blank : 20 nm blank) of the particles composition was chosen, core-satellite structures were generated on the microparticle surface. The dispersion of microparticles in a liquid or in an elastomer (PDMS) resulted in isolated core-satellite structures. In situ liquid cell TEM was carried out to confirm that the dispersed core-satellite particles were not only structures created by drying-effects. It was possible to record core-satellite particles moving/rotating in relation to each other which was an indication that the small particles were bound to the larger ones. In addition to the silica-based core-satellite particles, core-satellite particles were synthesized whose satellite particles consisted of iron oxide. This proved the approach being suitable to produce multifunctional particles with different properties and structures. Part II: Application potential of nanostructured microparticles In the second part of the work, the application of the nanostructured microparticles as reinforcing fillers in isopren rubber (IR) and PDMS, as well as shear sensor in 3D printing was examined. For this purpose, the silica nanoparticles were modified with the silane bis(triethoxysilylpropyl)tetrasulfide (Si69TM) in addition to OCTEO. Si69TM is a multifunctional silane capable of covalently binding to both, the particle surface via the ethoxy groups and the elastomer via the sulphur. The mechanical investigations of the IR-silica composites demonstrated that the silane modification of the silica nanoparticles had a significant influence on the reinforcement at small strain amplitudes. While the monofunctional silane (OCTEO) revelaed a direct correlation between the degree of coverage and mechanical reinforcement (G') at a constant filler content, the degree of coverage of the multifunctional silane (Si69TM) had no effect. In contrast to small strain amplitudes, a completely different behavior was found for large strain amplitudes. The wear rate of the IR-silica composites decreased with increasing modification degree for both silane types. The Si69TM modified particle composites were much more resistant to wear than the OCTEO modified particle composites due to the additional matrix binding of the Si69TM. When comparing the IR-silica composites to the PDMS-silica composites, no consistent trends were found. In the PDMS system, the mechanical reinforcement by the particles was at maximum for particles being modified on their surface to an extend of 2/3 by OCTEO. These differences could be attributed to the different incorporation processes as well as the different matrices. Another potential application for the nanostructured microparticles as shear sensor in 3D printing was tested. For this purpose, the silica nanoparticles were modified with a PCE and then spray-dried. In order to completely disperse the resulting microparticles in a matrix, high shear forces and long shear rates were required, which makes a potential application as shear sensor for the current system rather challenging to be realized in practice. Part III: Extension of the approach for the preparation of nanostructured microparticles to hydroxide-based systems In the third part of this work, the system of silica particle modification was transferred to hydroxide-based particles. For this purpose, LDHs were produced by a precipitation process and then modified with OCTEO and finally spray-dried. LDHs are an interesting material due to the broad application potential like as adsorbers for gases, drug containers, and flame-retardants. Exactly as with the silica particles, the hydrophobic character of the LDH microparticles increased with increasing modification degree of the primary LDHs which could be shown by liquid tests. In addition, the microparticles consisting of completely modified LDHs could be dispersed into isolated particles in a PDMS matrix. Similar to the silica particle systems, the reinforcement of the composites was the highest for the partially modified particles (2/3). The partly modified particles consisted of a mixture of isolated LDH particles and small hard agglomerates, which lead to a mechanical reinforcement at small strain amplitudes due to the strong filler-filler interaction. The properties of the polymer-particle composites could be adjusted by the modification degree of the primary LDHs. Outlook In the present work, the synthesis of different nanostructured microparticles and their adjustable burst was shown. In order to be able to carefully adjust the disintegration of the microparticles, the modification of the nanoparticles in particular should be investigated in more detail in future woks. Although it was possible to differentiate between a mixtures of non-modified and completely modified particles compared to partially modified particles, it was not possible to make any specific statements about the distribution of the silane molecules on the particle surface. For this purpose, further characterization methods should be consulted, which analyze the modification at the molecular level. In addition, the distribution/arrangement of the partially modified nanoparticles in the microparticle should be investigated. Especially for nanoparticles with a low degree of modification (1/10, 1/5 and 1/3) different arrangements are possible. During spraydrying, the nanoparticles can either be arranged in such a way that the silane molecules orient themselves in the direction of the particle surface or in the center of the particle. The arrangement of the nanoparticles has a great influence on the polarity of the resulting microparticle powders. In addition, it has an influence on the hard agglomeration of nanoparticles and thus on the formation of complex substructures, such as core-satellite particles. In addition to the modification of the nanoparticles, the production of complex structures/supraparticles should be further optimized. With a detailed understanding of the physical processes during spray-drying, the number of satellites on the core particles could be more controlled. In principle, the system of nanostructured microparticles with adjustable burst behavior, which has been developed herein, can be adapted to a large number of applications. Since the system is suitable for many types of particles (silica, iron oxide and LDH), different nanoparticle building blocks particles could be spray-dried together to create supraparticles with completely new functionalities and properties. These can be used as reinforcing fillers in elastomers or for the stabilization of dispersions. For example, mixed particles of silica and iron oxide particles would have the advantage to stabilize a dispersion and at the same time may be magnetically recovered again. These mixed particles could also be incorporated as fillers into complex plastic components in which they act as mechanically reinforcing fillers on the one hand and, at the same time, crosslink the components by inductive heating. The inductive heating is a gentle method to selectively crosslink components, since the heat produced by the magnetic particles in the component itself and does not have to be introduced over its surface

INTRODUCCIÓNLa instalación de la globalización, luego de la caída de la bipolaridad, ha cambiado dramáticamente la configuración del mundo. Ya instalado el siglo XXI los Estados nacionales, otrora actores de privilegio en las relaciones internacionales, se ven enfrentados con otros actores, legales o ilegales, que en ciertos casos son tan o más poderosos que los propios Estados. Así, éstos ven debilitarse sus capacidades de acción política en un escenario donde los peligros globales se van mezclando con los problemas locales de pobreza y exclusión, cuestionando a la seguridad nacional e internacional, ambas – globalidad y localidad – como dos caras de la misma moneda.Esa dinámica internacional de articulación de lo global y lo local ha ido generando un nuevo escenario, desarmando y reconstruyendo viejos alineamientos políticos, promoviendo nuevas realidades regionales y nuevas afinidades. En ese marco se entiende que las operaciones internacionales de intervención involucran aspectos económicos, sociales, militares y humanitarios y, en última instancia, se articulan – tal vez conflictivamente – con el concepto tradicional de soberanía de los Estados. Por ello, en este artículo nos preguntamos como es que ocurre esa articulación.Este trabajo pretende analizar la relación de la comunidad internacional y sus intervenciones en función de la soberanía de los Estados, todo ello en un escenario de globalización. En este marco global entendemos que los conflictos – tanto latentes como manifiestos – pueden terminar impactando de una manera u otra en la seguridad regional y en la seguridad internacional. No obstante ello, de por sí las intervenciones no son caminos exentos de dificultades, en función de la eventual tensión entre soberanía e intervención.Sobre esa tensión existen muchos puntos de vista remarcables. Así, Deng, Kimaro, Lyon, Rotchild, y Zartman (1996) hacen notar la responsabilidad que conlleva la soberanía estatal en términos de brindar bienestar a los ciudadanos. Esa responsabilidad, concluyen, tiene dos facetas. Una frente a sus propios ciudadanos y otra frente a la comunidad internacional. (Cap. 1) En "The Responsibility to Protect: Report" (2001) también se nos menciona la dualidad de tal responsabilidad, hablándonos de responsabilidad "residual" de la comunidad internacional frente a crisis humanitarias. Por otra parte, también se reconoce que una intervención no deja de ser una suspensión "de facto" de la soberanía bajo el criterio de que paz y estabilidad no pueden ser gestionadas si no se tiene autoridad sobre el territorio. También en sentido de responsabilidad de la comunidad internacional, Lyon y Mastanduno (1995) nos hablan de la generación de la "interdependencia moral," que se relaciona con el sentimiento que un Estado tiene con respecto a las prácticas de otro sobre su población. (pp. 5, 252 – 265) Es que la soberanía westfaliana terminó diseñando al Estado moderno y territorial, pero hoy existe una configuración diferente en función del deterioro de las capacidades de los Estados, la transformación del sistema internacional en función de la globalización y los cambios tecnológicos, así como también las peculiaridades generadas por las presiones de los nacionalismos. Desde esta perspectiva primeramente ubicaremos el escenario que resulta de la globalización, con sus atributos y consecuencias relacionados con los Estados y sus instituciones vinculadas al ejercicio efectivo de la soberanía. En tal sentido, se parte de una idea del marco global de interacción que nos brinda Ulrich Beck (2003), quién plantea que la globalización es irreversible, inexcluyente y se apoya en la conceptualización de la incertidumbre imperante, relacionada con el riesgo y la inseguridad globales. Así, se resaltan los impactos e interrelaciones, tanto entre Estados, entre Estados y organizaciones multilaterales y de la sociedad civil y entre Estados, organizaciones multilaterales y organizaciones delictivas transnacionales. (p. 42) Bajo esta globalización desordenada, el poder de conducción de los Estados va perdiendo preponderancia y deteriorándose en su rol político clásico. Este autor nos dice que pensar los problemas del mundo desde una concepción de soberanía tradicional clásica, es perder capacidad de acción política, porque los conflictos configuran nuevos retos para la política y las instituciones en general, más allá de fronteras.Luego se pretenderá presentar aquí el eventual debate entre soberanía y legitimidad de las operaciones internacionales en tanto intervenciones, vinculándose así el interés nacional de cada Estado y el interés común internacional en relación con el derecho al desarrollo y a la seguridad que tiene la humanidad. Entonces, soberanía como responsabilidad se vincularía con el bienestar de los ciudadanos dentro de un Estado y con la correspondiente responsabilidad gubernamental, frente a sus ciudadanos y frente a la propia comunidad internacional.En ese marco podríamos decir que las operaciones internacionales de intervención desafían el concepto de soberanía de los Estados y se vincularían con la necesidad de actuar frente a una amenaza, latente o manifiesta, de que ocurran pérdidas humanas, así como también situaciones de migraciones y violaciones a los derechos humanos, todo lo cual pone sobre la mesa visiones en pro y en contra de este tipo de intervención.Luego se incursiona en las diferentes categorizaciones y puntos de vista sobre los Estados débiles y fallidos. Así, se verán puntos de vista teóricos y analíticos al respecto de una eventual categorización de Estados fallidos como tales.Si bien aquí no estamos diciendo que sea necesaria la generación de una "Nueva Westfalia" fundacional, lo que aquí sí se pretende es poner sobre la mesa la necesidad de pensar en la generación de nuevos contenidos institucionales para enfrentar nuevos desafíos, evitando así que las viejas instituciones se transformen en aquellas "instituciones concha" que nos define Anthony Giddens (2000, p. 31).Es que, en este escenario incierto, se hace necesario concebir instituciones configuradas de otro modo, tendientes a la idoneidad y credibilidad de las respuestas a las demandas y que no sean meras instituciones vacías de contenido en términos de eficiencia.GLOBALIZACIÓN Y ESTADO NACIÓNHasta el siglo XX el universo estuvo determinado fuertemente por la certidumbre y la fuerza de la razón. Pensado desde las relaciones internacionales y de la guerra, Sigmund Freud (Einstein y Freud, 2001) visualiza la humanidad como una comunidad de personas sometidas a "la dictadura de la razón" (p.90).Pero el mundo actual, en tanto globalizado y firmemente basado en los avances de las ciencias y las tecnologías de la información, ha configurado un sistema de interrelaciones entre actores – estatales o no – con una dinámica propia que permea lo tecnológico y se esparce en todas las actividades humanas, dinámica ésta que genera incertidumbres cotidianas. La globalización se relaciona con el debilitamiento y, eventualmente, la caída de barreras para todo lo que se relaciona con la vida diaria, el control sobre la economía, la información, los riesgos ecológicos y los conflictos en general, mostrando la desfiguración del concepto de distancia. Al respecto, Ulrich Beck (1998a) nos dice que globalización significa ". los procesos en virtud de los cuales los estados nacionales soberanos se entremezclan e imbrican mediante actores transnacionales y sus respectivas probabilidades de poder, orientaciones, identidades y entramados varios" (p.29). En el mismo marco y citado por Beck (1998a), Wallerstein nos dice que transnacional estaría significando " … el surgimiento de formas de vida y acción cuya lógica interna se explica a partir de la capacidad inventiva con la que los hombres crean y mantienen mundos de vida social y relaciones de intercambio 'sin mediar distancias'. (.) que se infiltran, lo que repugna al control estatal – nacional y a su exigencia de orden" (p.57).Entonces esta globalización nos mostraría, por un lado, una eventual erosión en la acción política del Estado Nacional y por otro lado, el accionar de múltiples organizaciones transnacionales, actores, grupos e individuos, más allá de los sistemas políticos, todo esto sin un árbitro internacional claro que pueda evitar la generación de eventuales conflictos.Hoy los Estados Nacionales deben interactuar con diferentes actores nacionales, multilaterales y transnacionales, en virtud de lo cual su poder de conducción se va desfigurando frente a la multiplicidad de espacios y vínculos más allá de lo nacional. El Estado, "atado" a un territorio y estructurado como unidad de asociación política y de organización, va perdiendo preponderancia frente a una globalización de funcionamiento desorganizado y contingente, donde la pobreza, el terrorismo y los problemas ecológicos, configuran nuevos retos para la política, la ciencia y el funcionamiento institucional en general. Como dice Beck (2000) "pensar [hoy los problemas globales] en clave de Estado nacional hace perder toda capacidad de acción política" (p. 104). Desde su punto de vista y citando a David Held, Beck (1998a) propone la necesidad de un equilibrio de poder pluridimensional entre naciones, organizaciones y hombres, donde los grupos organizados se puedan manifestar autónomamente en relación con determinados derechos y deberes, y visualizándose a los Estados nacionales como cediendo parte de poder y soberanía a instituciones y organizaciones multilaterales. (p. 136).En tal sentido, debemos considerar aquí que la soberanía nacional y la articulación de un Estado en organizaciones multilaterales no tienen por que ser dimensiones excluyentes entre sí. En un marco de interdependencia y cooperación, la eventual disminución de autonomía nacional frente a la institucionalidad multilateral aumenta los niveles de soberanía compartida (Rojas Aravena, 1999, pp. 16 – 17). También Carlos Gutiérrez (2001) al respecto nos dice: "Las diversas tendencias a la globalización (…) nos confrontan con problemas que ya no pueden solucionarse dentro del marco del estado nacional. El vaciamiento de la soberanía del estado nacional seguirá ahondándose y, por tanto, resulta imprescindible proseguir con la ampliación de las facultades de su acción política a nivel supranacional." (p. 12).LOS CONFLICTOS EN EL ESCENARIO GLOBALComo se mencionó, en el actual escenario internacional el desplazamiento de poder desde los Estados hacia actores que están fuera del control político y que muchas veces ni siquiera muestran un interlocutor válido, si es que lo poseen, es un atributo del mundo globalizado. En este marco los conflictos entre Estados no son improbables ni impensables, puesto que éstos siguen siendo los principales protagonistas de las relaciones internacionales.Pero los procesos sociales y políticos, las nuevas amenazas y el accionar delictivo de ciertos actores, también puede constituir un elemento que origine conflictos en las sociedades, sea dentro de los Estados y/o más allá de ellos. No obstante, desde esta perspectiva pensamos que los futuros conflictos se relacionarán especialmente con el accionar de los propios gobiernos, su legitimidad frente a la ciudadanía y las actitudes que esa ciudadanía toma frente a los problemas que los involucra cotidianamente. Es que a fines del siglo XX se pudo percibir un eventual retraimiento del Estado de la vida cotidiana, sea por acción, omisión o por deslegitimación del accionar político ante la sociedad civil. Cabe recordar aquí lo que nos dice Beck (2003), "Sin Estado y sin servicios públicos, no hay seguridad, sin impuestos, no hay Estado. Sin impuestos, no hay educación ni sanidad asequible ni seguridad social, sin impuestos no hay democracia, sin opinión pública, sin democracia y sin sociedad civil, no hay legitimidad, y sin legitimidad, otra vez, no hay seguridad." (p. 42) También Beck se pregunta si "¿no será precisamente la falta de Estado, la inexistencia de estructuras estatales que funcionen, el humus de las actividades terroristas?" (p. 31) En el mismo sentido, Juan Battaleme (2002) nos dice que: "Una nación con debilidades institucionales importantes, va a ver estas debilidades reforzadas por la acción de la globalización que opera desnudando las falencias de los mismos en su ejercicio del control y autoridad (tanto doméstica como internacional), y por la erosión que actores nocivos le hacen." (s.p.) En definitiva, entonces, los conflictos están hoy más referidos a la estabilidad democrática de las propias instituciones nacionales de cada uno de los Estados, a la eventualidad del accionar de grupos terroristas o guerrilleros y a las necesidades insatisfechas de las comunidades. En ese escenario, el rol de la comunidad internacional va adquiriendo preponderancia.LA TENSIÓN ENTRE SOBERANÍA E INTERVENCIÓNConceptualizando la SoberaníaDesde Westfalia la soberanía era – y de hecho aún lo es – el recurso más importante de los Estado en un mundo donde reina la asimetría de poder y los peligros que implican la defensa de estilos de vida y recursos naturales. Bajo ese criterio, debemos coincidir en que cualquier operación internacional de intervención debería hacerse con el consentimiento del Estado que tiene soberanía en ese territorio. (Bellamy Williams y Griffin, 2004, p. 11; Lyon y Mastanduno, 1995, pp. 1 – 5) Tal ha sido el espíritu de la resolución 46/182 de la Asamblea General de la ONU cuando nos dice que " … la soberanía, la integridad territorial y la unidad nacional de los Estado deben ser respetadas …" y que, partiéndose que cualquier Estado tiene el control efectivo de su territorio, cualquier asistencia humanitaria debe contar, en principio, con el consentimiento y petición previa del país afectado. No obstante debemos notar que la expresión "en principio"contenida en la resolución podría estar subordinando, en cierta forma, la soberanía a la tragedia humanitaria. Sobre este tema, Boutros-Ghali reconocía que la soberanía e integridad de los Estados "es crucial para el progreso internacional." No obstante, mencionaba que"el tiempo de la absoluta y exclusiva soberanía (…) ha pasado.", enfatizando que es necesario "encontrar un balance entre la necesidad de una buen gobierno interno y los requerimientos de un mundo más interdependiente." Asimismo, definía las operaciones de paz como "un despliegue de la presencia de ONU en el campo, hasta ahora con el consentimiento de todas las partes involucradas". El problema aquí puede surgir con la expresión 'hasta ahora', 'hasta la fecha' o eventualmente 'hasta aquí' (hitherto en inglés), lo que puede resultar controversial. (Bellamy Williams y Griffin, 2004, p. 12; Lyon y Mastanduno, 1995, p. 2).Desde esa perspectiva, la soberanía estatal no estaría implicando necesariamente un poder ilimitado e irrestricto sobre la población de un Estado, Estado éste que – de hecho –debe proteger los derechos de los ciudadanos, brindándoles aquellos bienes básicos que hacen a la vida, la dignidad y los derechos humanos en general, para poder así enfrentar los problemas de salud, hambre, crimen, conflictos tanto políticos como sociales y riesgos como consecuencia de deterioro ambiental. Pero, frente a las necesidades de protección de los derechos humanos de una población, puede ocurrir que tal vez no exista voluntad y/o capacidad por parte del gobierno soberano para cumplir con tales funciones. Entonces frente a esa situación existiría una suerte de responsabilidad "residual" a través de la cual la comunidad internacional debería actuar moral e interrelacionadamente, donde no cabría la posibilidad de no responder frente a la pérdida de vidas y sufrimiento humano. Esa dualidad en tanto responsabilidad frente a la comunidad internacional y frente a los ciudadanos, se vincularía con el respeto de la soberanía de los Estados, por un lado, y el respeto de la dignidad y los derechos humanos básicos de la población dentro de los Estados, por otro. (Deng, et. al. 1996, Cap 1; Lyon y Mastanduno, 1995, p. 252)La contrapartida de esa responsabilidad de los Estados frente a la comunidad internacional se transforma en responsabilidad de proteger e incluso de reconstruir, puesto que la reconstrucción, en sí misma, no deja de ser de ser una medida preventiva de futuros conflictos o desestabilizaciones. En definitiva, existirían dificultades para articular el concepto tradicional de soberanía – referido más hacia la guerra entre Estados – con las actuales situaciones de violencia intra estatal y tragedias humanitarias. Por tanto las operaciones internacionales de intervención seguramente seguirán desafiando al sistema internacional y las interacciones estatales. Si el mundo ha cambiado, tal vez habría que redefinir instituciones e instrumentos que se adecuen mejor a la realidad de hoy.Las intervenciones y su articulación multilateralEntendemos aquí que una de las características de las operaciones internacionales de intervención es el cruce físico de fronteras de un Estado en nombre de la comunidad internacional y con un propósito definido. Esas intervenciones se pueden relacionar con preocupaciones sobre violaciones a valores y principios relevantes, puesto que las eventuales pérdidas de vidas humanas, limpiezas étnicas y demás condiciones de sufrimiento humano, impactan en la seguridad regional e internacional. Pero dichas intervenciones no serían un fin en si mismas sino que tendrían como propósito la transformación de sociedades inestables y violentas en sociedades liberales y demócratas. (Lyon y Mastanduno, 1995, pp. 12 – 14; Bellamy Williams y Griffin, 2004, p. 165; Weiss, 2004, p. 138)En cierta forma este tipo de operaciones internacionales de intervención suspenden la soberanía de un Estado ya que, como nos dicen Rabimov (2005, s.p.) y Rotberg (2003, p. 3), no es posible intervenir o accionar en procura de estabilidad y/o restauración si no existe autoridad sobre el territorio, así como tampoco es posible solucionar el conflicto en un Estado débil e inestable, sin un nivel mínimo de seguridad.De hecho, si bien el mantenimiento del principio de no intervención está vigente en función de la soberanía de los Estados, hoy el imperativo humanitario está pesando cada vez más, especialmente cuando se entiende que existe responsabilidad de la comunidad internacional. Y esta responsabilidad es responsabilidad cuando se interviene frente a calamidades humanitarias, como también es responsabilidad cuando no se interviene frente a la constatación ese tipo de escenarios, lo cual también puede ocurrir en ciertas ocasiones.En otro orden, las operaciones internacionales de intervención han provocado y provocan sentimientos encontrados ya que, en algunas situaciones, las mismas pueden ser percibidas como excusas para el logro de otros intereses ajenos la solución de crisis humanitarias. En ese marco McChrystal, citado por Frye (2000), evalúa las intervenciones internacionales bajo cinco criterios: legitimidad, cuando la intervención es aceptada a los ojos de la comunidad internacional; legalidad, ya que sin base legal las intervenciones son meras invasiones; moralidad, que debe ser genuina y humanitaria; credibilidad, porque hay que cumplir lo que se pregona; y capacidad, dada la gran cantidad de recursos que demandan las intervenciones. (pp. 54 – 71)Desde nuestra óptica hacemos hincapié en la importancia de la multilateralidad en el cumplimiento de operaciones internacionales de intervención. Si bien Hans Binnendikj y Stuart E. Jonson (2004), "… la multilateralidad, si bien contribuye a legitimar "… no garantiza el éxito" (p. xvii), siguiendo a Lyon y Mastanduno (1995, p. 12), se considera aquí que la multilateralidad es la clave ya que una intervención multilateral es más "legitimable". Siendo que "multilateral" es un adjetivo que califica un funcionamiento institucional, la multilateralidad está brindada por los participantes y el accionar es el resultado del liderazgo institucional en función a los principios que los unen. (John G. Ruggie1993, pp. 3 – 47) Entonces, el primer elemento que caracteriza la legitimidad de una intervención es que su definición deberá provenir de organismos multilaterales manifestando su interés en intervenir.Pero desde esta perspectiva también la legitimidad deberá provenir del análisis que haga cada Estado cuando vaya a participar en la operación internacional de intervención en sí misma y para cada caso concreto. Es ahí donde pensamos que también se manifiesta una nueva aproximación de la soberanía estatal. La multilateralidad legitima internacionalmente y cada Estado tiene la posibilidad de legitimar interna e institucionalmente, de acuerdo a su propio marco y esquema de valores. En resumen, una apreciación de situación tamizada de acuerdo a valores nacionales brindaría legitimidad interna al Estado participante, a la vez que la multilateralidad brindaría la legitimidad internacional cuando se implementan intervenciones.Pero la multilateralidad también puede ir de la mano con el regionalismo. Es que, en virtud del conocimiento de los marcos de valores y modos de conducción y liderazgo, para la implementación de operaciones internacionales sería importante tener especialmente en cuenta la participación de aquellos Estados de la región en la que el escenario conflictivo está ocurriendo. El involucramiento de Estados de la región en los eventuales conflictos, aunque siempre manteniendo un adecuado balance entre las razones del conflicto propiamente dicho y las agendas de los propios Estados participantes, configurará un accionar más eficaz en procura de objetivos compartidos por la comunidad internacional.En tal sentido Lyon y Mastanduno (1995) también nos dicen que existe una gran dificultad en determinar la legitimidad o no de la comunidad internacional como tal, en función de las diferencias entre los marcos de valores e intereses que existe entre países desarrollados y otras regiones del globo. (pp. 250 – 265) Tal vez la pregunta más importante sea "¿quién determina que un Estado no está cumpliendo con sus obligaciones y (por tanto) se justifican intervenciones?" (p. 8).(1) The Responsibility to Protect: Report (2001), "The Policy Challenge" (pp. 1 – 9).(2) Ampliando la idea, Anthony Giddens define el concepto de "instituciones concha", a aquellas instituciones " . que se han vuelto inadecuadas para las tareas que están llamadas a cumplir". También en ese sentido Ulrich Beck, (2000) nos menciona: "el inmovilismo de las instituciones está en contradicción con una sociedad cuya vida cambia" (p. 24).(3) http://daccess-dds-ny.un.org/doc/RESOLUTION/GEN/NR0/589/36/IMG/NR058936.pdf?OpenElement (Recuperado el 2/8/2010).(4) The Challenges Project, Challenges of Peace Operations: Into the 21st Century – Concluding Report 1997 – 2002. (2002), "The Changing Concept of Security" (p. 41).(5) The Responsibility to Protect: Report (2001). "The Policy Challenge". (pp. 1 – 9) "The Responsibility to React" (pp. 29 – 35) "The Responsibility to Rebuild" (pp. 39 – 45); The Responsibility to Protect: Research, Bibliography, Background. (2001) "Rights and Responsibilities" (pp. 129 – 153). *Licenciado en Ciencia Política, Universidad de la República de Uruguay. Se ha desempeñado como asesor del área política en el Centro de Altos Estudios Nacionales y en la Escuela de Comando y Estado Mayor Aéreo de la Fuerza Aérea Uruguaya. Fue el Secretario General del Centro de Estudios Estratégicos del Ejército Nacional durante el período 2002 – 2004 y Consejero de Institutos de Formación Militar del Ministerio de Defensa Nacional durante el período 2008 – 2010.BIBLIOGRAFÍA Y OTRAS FUENTESLibrosBellamy, Alex J., Paul Williams and Stuart Griffin. (2004) Understanding Peacekeeping. Malden, MA, USA: Blackwell Publishing Inc.Binnendijk, Hans and Jonson, Stuart. (2004) Transforming for stabilization and reconstruction operations. Washington D.C. USA.: National Defense University.Beck, Ulrich. (2003) Sobre el terrorismo y la guerra. Barcelona: Editorial Paidós Asterisco.Beck, Ulrich. (2000) La democracia y sus enemigos. Barcelona: Editorial Paidós.Beck, Ulrich. (1998a) ¿Qué es la globalización? Buenos Aires: Editorial Paidós.Beck, Ulrich. (1998b) La sociedad del riesgo. Barcelona: Editorial Paidós.Brown, Chris. (2002) Sovereingty, rights and justice. Malden, MA, USA: Polity Press in association with Blackwell Publisher Ltd. Cambridge – Oxford.Chomsky, Noam. (2006) Failed States: the abuse of power and the assault on democracy. New York: Metropolitan Books.Deng, Francis; Kimaro, Sadikiel; Lyons, Terrence; Rotchild, Donald and Zartman, William. (1996) Sovereignty and Responsibility. Washington D.C.: The Brookings Institution, R. R. Donnelley and Sons Co.Einstein, Albert y Freud, Sigmund. (2001) ¿Por qué la guerra? Barcelona: Editorial Minúscula.Frye, Alton. (2000) Humanitarian Intervention: Crafting a Workable Doctrine. Washington DC: Brookings.Giddens, Anthony. (2000) El mundo desbocado. Madrid: Taurus.Lyon, Gene and Michael Mastanduno, (1995) Beyond Westphalia? State Sovereignty and International intervention. Baltimore, MD, USA: The Johns Hopkins University Press.Rotberg, Robert. (2003) When States fail: Causes and Consequences.Princeton, N.J.: Princeton University Press.Ruggie, John Gerald. (1993) Multilateralism Matters: The Theory and Praxis for an Institutional Form. New York, NY: Columbia University Press.The Responsibility to Protect. (2001) International Commission on Intervention and State Sovereignty. Ottawa, Canada; International Development Research Centre.The Challenges Project, Challenges of Peace Operations: into de 21st Century. (2002) Stockholm: Elanders Gotab.Weiss, Thomas G. (2004) The Sunset of Humanitarian Intervention? The Responsibility to Proterct in a Unipolar Era, Securiy Dialoue. New York: The Graduate Center, The City University of New York. Vol. 35(2).ArtículosRotberg, Robert. (2002) Failed States in a World of Terror, Foreign Affairs, Vol . 81, Nº 4, July / August 2002. pp. 127 – 140.The Status that fail us. (2007) Foreign Policy. July – August. pp. 54 – 63.Publicaciones ElectrónicasAtwood Brian. Security and Development University of Minnesota; Minneapolis, MN US Humphrey Institute of Public Affairs. Recuperado el 27 de octubre de 2007 en http://www.un-globalsecurity.org/pdf/Atwood_paper_security_devlpmt.pdfBattaleme, Juan. Soberanía y amenazas asimétricas: volviendo a pensar el principio de no intervención en los albores del siglo XXI. Argentina Global. Nº 11. Octubre – Diciembre de 2002. Recuperado el 15 de enero de 2004 dehttp://www.geocities.com/globargentina/Batt02.htm.Brahimi Report. Recuperado el 9 de agosto de 2010 dehttp://www.un.org/spanish/peace/operations_report/Carlos Gutiérrez (2001) Concepto de seguridad: más que fronteras, un tema de supervivencia global. Recuperado el 9 de agosto de 2010 dehttp://www.cee-chile.org/publicaciones/revista/rev02/rev2-1.pdfRabimov, Stephan. Threats of Weak, Fragile, Mailing States and Mitigation Strategies. Global Political Risk Consulting, LLC. Recuperado el 27 de febrero de 2005 en www.grprisk.comRojas Aravena, Francisco (1999). América Latina y la seguridad internacional. Contribuciones y desafíos para el siglo XXI. OEA Foro El futuro de la seguridad internacional en el Hemisferio, CP/CSH-INF 2/00 Recuperado el 9 de agosto de 2010 dehttp://www.oas.org/csh/docs/Francisco%20Rojas%20Aravena.pdf

El objetivo principal de nuestra tesis doctoral es presentar propuestas de regulación del régimen jurídico brasileño de evaluación de impacto ambiental, buscando fijar los elementos imprescindibles para que tal instrumento jurídico pueda funcionar eficazmente y coherentemente con el alto grado de protección ambiental que se desea lograr, ayudando a nuestro país a integrar la protección del medio ambiente en sus políticas de desarrollo económico. No obstante, para llegar a un esquema investigativo que nos permita el desarrollo de una propuesta institucional eficiente para Brasil, nos ocupamos también de describir los antecedentes, principios y objetivos de la política medioambiental brasileña en un intento de delimitar el tema específico objeto de nuestra tesis doctoral, a partir de consideraciones sobre el estado de derecho socioambiental instituido en Brasil con la promulgación de la Constitución Federal de 1988. Debemos poner de relieve que la utilización de la Unión Europea y en especial España y Francia como referencias obedece a supuestos comparativos estrictos, pues lo que pretendemos es determinar cómo se podrá perfeccionar la evaluación ambiental de proyectos e implantar en Brasil la evaluación ambiental estratégica, a partir de la experiencia exitosa de la Unión Europea, buscando la construcción de un corpus institucional que permita que Brasil logre un mayor desarrollo social, económico y político. Hay que dejar claro que no es la intención de este estudio usar el proceso europeo y las demás legislaciones nacionales como un modelo a implantar tal cual en Brasil sino más bien como una referencia a tener en cuenta, puesto que se tratan de Estados distintos, es decir, consideramos las disparidades y diferencias existentes entre Brasil y los países supra citados. Los avances tecnológicos realizados en los dos últimos siglos no fueron capaces de disminuir la incertidumbre acerca de los efectos de las actividades humanas en la naturaleza. Al contrario, en estos momentos, la sociedad teme más que nunca que los actuales modelos de producción y consumo generen, en un corto espacio de tiempo, efectos aún más devastadores e imprevisibles. El cambio climático, la escasez del agua, el agotamiento de fuentes energéticas y de otros recursos naturales son problemas que constituyen una amenaza real a nivel mundial . La necesidad de implantación y observancia de los principios de prevención y precaución, destacados en la Declaración de la Cumbre de Río, en 1992, es incontestable. En este contexto, la evaluación de impacto ambiental se presenta como un mecanismo indispensable para una actuación política capaz de conducir las actividades productivas en la perspectiva de la sostenibilidad. Aunque en el ordenamiento jurídico brasileño estén vigentes numerosas normas, tanto en el ámbito constitucional, legal o infra legal, para la regulación de la materia, id est, el régimen jurídico de protección del medio ambiente y en especial el sistema de evaluación de impacto ambiental de proyectos (EIA), ello no impide en Brasil la autorización administrativa de proyectos altamente impactantes (desde el punto de vista ambiental) y tampoco se exige a su promotor, ni la realización de las medidas de mitigación necesarias, ni se le imponen medidas compensatorias proporcionales a la magnitud de los impactos ambientales negativos generados por los proyectos y actividades objeto de la autorización. De la misma manera, en Brasil, los conflictos inherentes a la incorporación de lo condicionante ambiental al proceso de toma de decisiones públicas son frecuentes y exacerbados, lo que se debe, sobre todo, a la escasa transparencia del procedimiento administrativo de autorización ambiental y a la insuficiente participación ciudadana . Como consecuencia de la globalización, las normas de preservación del medio ambiente aparecen como óbices que retardan y dificultan el crecimiento económico del país, argumento este utilizado por el poder económico para obligar a los gobiernos a flexibilizar las normas de protección ambiental bajo la amenaza de invertir en otros países. Brasil ha cedido a estas presiones ejercidas por el capital, implementando políticas neoliberales que apoyan la flexibilización de las leyes de protección del medio ambiente . Con el objetivo de romper con ese movimiento irresponsable de regresión de la legislación de la protección ambiental, destacaremos la importancia de introducir mejoras en el régimen jurídico de la evaluación de impacto ambiental. En la presente tesis analizaremos el concepto de la evaluación de impacto ambiental, sus modalidades y su incorporación a diversos ordenamientos jurídicos a partir de finales de la década de los 60 del pasado siglo. En este sentido, estudiaremos el régimen jurídico europeo de evaluación de impacto ambiental y la transposición normativa realizada por el derecho español y francés, así como su repercusión, analizando los resultados obtenidos después de más de 40 años de experiencia en el uso de la evaluación de impacto ambiental en estos países con distintas tradiciones jurídicas y ambientales en relación a Brasil. El ejercicio comparativo nos llevará a presentar observaciones y sugerencias, consistentes en innovaciones metodológicas y mejoras procedimentales al régimen jurídico de la EIA vigente en Brasil, además de constatar la imprescindible y urgente necesidad de institucionalización de la evaluación de impacto ambiental de planes y programas, o lo que es lo mismo, la evaluación ambiental estratégica (EAE) en el ordenamiento jurídico brasileño. Mejoras estas que podrán conferir la necesaria transversalidad a las políticas públicas de preservación medioambiental, materializándose el principio de integración de la protección del medio ambiente en todas las políticas públicas, requisito indispensable para que se consiga un desarrollo económico que, de facto, pueda considerarse sostenible. El objetivo de este trabajo es, pues, apuntar medidas capaces de promover la mejora del régimen jurídico brasileño de la EIA y de la EAE, haciéndolo más completo, eficaz y eficiente. Con ello, en nuestra opinión, se evitará la producción de daños ambientales injustificables, a tenor de los beneficios económicos y sociales generados por la ejecución de las acciones planeadas, pues el carácter preventivo de la evaluación de impacto ambiental y su capacidad de orientar las acciones humanas para que estas se amolden a la necesidad de preservación del medio ambiente, son atributos necesarios para garantizar la utilización racional de los recursos naturales, de manera que el medio ambiente se integre armónicamente en el proceso productivo, evitando el desperdicio de recursos naturales y los daños ambientales. Asimismo, estos cambios que vamos a proponer conferirán, a nuestro juicio, mayor legitimidad a las leyes, a las políticas, planes y programas de gobierno implementados, una vez que la amplia participación ciudadana es un requisito intrínseco de los procedimientos de evaluación de impacto ambiental. CONTENIDO DE LA INVESTIGACIÓN La metodología que vamos a seguir en esta investigación es la que comúnmente se desarrolla en este tipo de estudios científicos jurídico-sociales, fundando nuestra investigación en la doctrina, legislación y jurisprudencia, que consideramos más autorizadas a la hora de proponer medidas para la mejora del régimen jurídico brasileño de la EIA y de la EAE. La metodología debe centrarse en los aspectos principales establecidos para una investigación relacionada con el ámbito del derecho ambiental, sobre todo por el carácter fragmentario del marco normativo e institucional que se encuentra en la producción y aplicación de las normas ambientales. En este sentido, deberán utilizarse métodos que permitan el análisis de la evolución de la normativa ambiental, específicamente de los principios generales del derecho ambiental y de los procedimientos de evaluación de impactos, dada su naturaleza obligatoria. Por lo tanto, el método histórico permitirá analizar cómo se desarrollaron los diferentes mecanismos de evaluación del impacto ambiental. También el método inductivo permitirá ver cuáles fueron los instrumentos de regulación incorporados por Brasil que efectivamente influyeron en la formación legislativa ambiental volcada hacia la creación de subsistemas específicos de evaluación de impactos. También se adoptará el método comparativo para establecer cómo es la adopción, aplicación y ejecución de las medidas relacionadas con la evaluación de impactos en España, en Francia y en la Unión Europea, aunque no se pretende crear ni adoptar un "modelo" específico, pues, como se ha señalado anteriormente, las diferencias existentes entre los sistemas jurídicos nacionales lo impide. Aún sobre los aspectos teóricos y metodológicos, buscamos seguir una vertiente critico-metodológica que, en las palabras de GUSTIN y DIAS : Supone una teoría crítica de la realidad y sostiene dos tesis de gran valor para repensar la ciencia del derecho y de sus fundamentos y objeto: la primera sostiene que el pensamiento jurídico es tópico y no deductivo, es problemático y no sistemático. Esa tesis trabaja con la idea de la razón práctica y de la razón prudencial para favorecer la decisión jurídica. La segunda tesis forma parte de la versión postulada por la teoría del discurso y por la teoría de la argumentación. Esa línea comprende el derecho como una red compleja de lenguajes y significados. Por supuesto, la multidisciplinariedad que siempre está presente en el tema de la protección del medio ambiente deberá abordarse desde el contexto de los temas transversales, tales como la ecología, la biodiversidad, los recursos hídricos, la gestión de los residuos, etc. Estos temas se vinculan, sin duda, a la aplicación de los principios generales del derecho ambiental y a los procedimientos de evaluación de impacto ambiental. Tampoco podremos dejar de tratar su perspectiva histórica. Aunque se ha descrito brevemente, tuvo especial relevancia para el conocimiento de las circunstancias en las cuales se basaron las políticas medioambientales europea y brasileña. La estructura es el soporte de una investigación, siendo además la base que otorga coherencia al estudio. Los contenidos que se abordarán a lo largo de la presente tesis son ciertamente heterogéneos, por lo que se hace necesario encontrar el modo de conectarlos adecuadamente. Como nuestra tesis se fundamenta en un examen eminentemente comparativo, es menester realizar una precisión de orden metodológico con relación al derecho comparado que se utilizará a lo largo de la presente investigación. Para facilitar el ejercicio de comparación que presentamos, hemos dividido la presente tesis doctoral en dos partes, subdivididas en ocho capítulos. En este formato, la primera parte trata de la evolución de las políticas medioambientales de la Unión Europea y de Brasil. En el capítulo I nos dedicaremos al estudio de la evolución histórica y de la contextualización del concepto y de la definición del principio de desarrollo sostenible a fin de demostrar el camino recorrido hasta su concepción multidimensional actual. En el capítulo II, antes de adentrarnos en el tema de los principios generales del medio ambiente, presentaremos breves consideraciones sobre la distinción doctrinal entre principios y reglas jurídicas. A continuación, abordaremos el principio de ¿No Regresión¿, poniendo de relieve su importancia como principio rector del derecho ambiental. También destacaremos la interrelación entre la evaluación de impacto ambiental y los más importantes principios funcionales del derecho ambiental, además de señalar su conexión con el principio de integración ambiental y con el objetivo del desarrollo sostenible. En el capítulo III analizaremos brevemente la política medioambiental de la Unión Europea, destacando los aspectos que consideramos más relevantes para la comprensión de la evolución de la política medioambiental en el viejo continente, sobre todo intentando comprender porqué y de qué manera la UE está siendo capaz de lograr inserir la preservación ambiental en todas las acciones y políticas que repercuten en el medio ambiente. En el capítulo IV nos dedicaremos a describir y averiguar cómo se desarrolló la política medioambiental en Brasil. En este capítulo, presentaremos las bases del nuevo constitucionalismo ambiental brasileño, o sea, el estado de derecho socioambiental, instituido en Brasil por la Constitución Federal de 1988. La segunda parte es, indudablemente, el núcleo principal de la tesis doctoral, en la cual describimos la actual estructura del régimen jurídico brasileño de evaluación de impacto ambiental, analizándolo desde una visión crítica, a fin de determinar las vicisitudes que esta estructura comporta en aras de fijar los elementos que pueden ser modificados y perfeccionados. En el Capítulo V, realizaremos un análisis de la evolución histórica de la evaluación de impacto ambiental, abordando sus antecedentes y evolución en Europa. En seguida pasaremos al estudio de la evaluación ambiental de proyectos analizando los principales aspectos de esa herramienta jurídica en Brasil y en España y mencionando, aunque brevemente, el sistema francés de evaluación de impacto ambiental de proyectos. El capítulo VI se dedicará al estudio de la evaluación ambiental estratégica. Se pondrán de relieve las principales diferencias entre la EIA y la EAE, con el objetivo de comprobar que los dos instrumentos son complementarios e igualmente necesarios para el funcionamiento de un sistema de evaluación de impacto ambiental que se desee eficaz y eficiente. En este capítulo destacaremos la importancia de la evaluación ambiental estratégica de las leyes y de las políticas públicas. Aunque la aplicación de tales modalidades de evaluación estratégica no tenga carácter obligatorio en los Estados miembros de la UE es el objetivo de este estudio demostrar que son también necesarias para concretar el principio de integración ambiental, ya que es incontestable que las leyes y las políticas públicas pueden generar impactos significativos en el medio ambiente. En el capítulo VII trataremos de la participación ciudadana en la evaluación del impacto ambiental. A partir de consideraciones sobre la participación ciudadana en los regímenes jurídicos brasileño y español, intentaremos aportar sugerencias para ampliar la participación ciudadana en los procedimientos de evaluación del impacto ambiental. La propuesta institucional expuesta en el Capítulo VIII constituye la verdadera aportación de la tesis doctoral, al establecer las características, la naturaleza jurídica y los requisitos que deberán orientar la institucionalización de la evaluación ambiental estratégica en Brasil. Para conseguir este objetivo, analizaremos en primer lugar los efectos de las políticas neoliberales implantadas en Brasil en los últimos años. A partir de los errores identificados en la política medioambiental de nuestro país en una sociedad de riesgo, indicaremos las razones que nos llevan a considerar la evaluación ambiental estratégica como uno de los instrumentos más eficaces para garantizar la sostenibilidad, que solo se alcanzará poniendo en práctica el principio de integración de la protección del medio ambiente en todas las acciones públicas de desarrollo. Finalmente, destacamos que nuestra aportación se basa en la creación de un sistema que incremente el grado de protección volcada hacia la tutela anticipatoria de los riesgos que podrían causar daños al medioambiente. CONCLUSIONES PRIMERA: Se constata que en Brasil los efectos ambientales de las acciones de desarrollo económico no son sistemáticamente evaluados, ya sea en el ámbito federal, por el Instituto Brasileño del Medio Ambiente (IBAMA), o ya sea en el ámbito estatal, por los distintos organismos estatales con competencia en materia medioambiental. En este sentido, se ha pronunciado una auditoría realizada por el Tribunal de Cuentas de la Unión Federal ¿ TCU en 2009, que ha puesto de relieve que el IBAMA en el proceso de otorgamiento de licencias ambientales no tiene un sistema eficiente para evaluar los beneficios de la concesión de licencias y el impacto real de las obras o emprendimientos licenciados en el medio ambiente. Y, además, señala que no son utilizados por el citado instituto (IBAMA) instrumentos capaces de identificar y medir los beneficios, ni siquiera saber si las medidas de preservación del medio ambiente están siendo adoptadas por los responsables. Hay una falta sistemática de seguimiento de las licencias concedidas. La falta de seguimiento del impacto ambiental de las actividades licenciadas obstaculiza el desarrollo de normas y criterios para orientar a los promotores y a sus equipos técnicos en la preparación del estudio de impacto ambiental, lo que genera un círculo vicioso. Además, con mayor seguridad en torno a la falta de seguimiento de las licencias ambientales, se observa, asimismo, que, en Brasil, acarrea la ausencia de verificación y por tanto la imposibilidad de proponer medidas para disminuir los impactos ambientales negativos de la obra o actividad, permitiendo que ocurra graves e irreversibles daños ambientales. Además, se constata que en Brasil durante el procedimiento de otorgamiento de licencias ambientales se producen indeseables injerencias, como las presiones políticas para la concesión de licencias, como hemos visto ha tenido lugar con la autorización de la Central Hidroeléctrica de Belo Monte. SEGUNDA: Se constata la escasa efectividad del sistema de evaluación del impacto ambiental en Brasil. Las causas que motivan esta escasa efectividad pueden resumirse en las siguientes: a) La no vinculación del órgano ambiental responsable de la concesión de licencias ambientales a lo apuntado en los estudios técnicos realizados durante el procedimiento de licenciamiento ambiental. b) La no vinculación del órgano ambiental responsable de la concesión de licencias a lo discutido en las audiencias públicas, excluyéndose a los ciudadanos de la participación en el proceso de toma de decisiones. c) La baja calidad de los estudios técnicos y la inconsistencia de sus diagnósticos, dada la falta de una valoración adecuada de los proyectos, lo que lleva a resultados y conclusiones negligentes, contrarios a la teoría y estudios científicos existentes. d) La falta de imparcialidad de los técnicos contratados, que presentan análisis tendenciosos y de baja calidad técnica para apoyar los objetivos de los proponentes del proyecto. e) La vulneración del derecho de los ciudadanos de acceso a la información medioambiental. f) La ausencia de sanciones efectivas, tanto de naturaleza civil, como penal, a los funcionarios responsables de la expedición de licencias, así como a los técnicos responsables de la elaboración de los estudios medioambientales e incluso a los proponentes de los proyectos, por incumplimiento de las normas que regulan la evaluación de impacto ambiental en Brasil, cuando sea pertinente y esté prevista en el ordenamiento jurídico vigente. TERCERA: Como ha quedado expuesto, la evaluación de impacto ambiental de proyectos y la evaluación ambiental estratégica son instrumentos complementarios e interdependientes. Como hemos señalado, un sistema de evaluación de impacto ambiental para que sea completo, eficaz y eficiente necesita establecer la evaluación de los impactos ambientales desde la fase embrionaria del proceso de toma de decisiones, esto es, desde la fase del planeamiento estratégico del desarrollo, cuando, al menos en teoría, todas las opciones aún están abiertas, incluso, la opción cero, que significa no realizar la acción cuando los estudios ambientales realizados demuestren que sus potenciales beneficios no justificarían los perjuicios que su implementación traería al medio ambiente. Pues bien, en virtud de lo expuesto, concluimos que el sistema de evaluación de impacto ambiental brasileño es incompleto, ineficiente e ineficaz, ya que no determina, no contempla, la evaluación de impacto ambiental a partir de la fase del planeamiento estratégico. CUARTA: El crecimiento económico continua siendo el principal objetivo de las políticas públicas en Brasil, que posterga y desplaza a un segundo plano la protección ambiental. En este sentido, hemos podido comprobar cómo alcanza incluso al Poder Legislativo que ha dado origen a un movimiento de flexibilización de la legislación de protección del medio ambiente. Así pues, bajo la ¿justificación¿ (burda excusa) de que el rigor de las leyes ambientales está suponiendo un obstáculo para el crecimiento económico del país, se están promulgando leyes que permiten la ocupación irrestricta de áreas de protección ambiental, que amnistían de penalidades a los causadores de daños ambientales o que flexibilizan las normas procedimentales de protección ambiental, que están permitiendo autorizar obras y actividades sin que sus impactos ambientales sean previamente evaluados, causando un grave retroceso en materia de protección medioambiental y desarrollo sostenible. QUINTA: Además de lo anterior, también hemos puesto de relieve en nuestro estudio la ausencia de reglamentación jurídica de la EAE en Brasil. A nuestro juicio, ésta es la principal deficiencia del régimen jurídico brasileño de evaluación de impacto ambiental. Tal deficiencia le impide a Brasil hacer efectivo el principio de integración de la protección del medio ambiente en su proceso de crecimiento económico, sobre todo, ello es aún más grave si se tiene en cuenta que el desarrollo sostenible constituye un principio y un objetivo del Estado de Derecho Socioambiental establecido por la Constitución Federal de 1988. Por ello, ante esta grave deficiencia del ordenamiento jurídico ambiental brasileño, hemos propuesto (con la finalidad de suplir esta laguna jurídica) una metodología inspirada en el derecho comparado, en el derecho europeo y en la normativa de algunos de sus Estados miembros, para que, sobre todo (sin ánimo de exhaustividad en este momento) se someta a evaluación de impacto ambiental las decisiones públicas desde la fase de su planificación, gestionando los riesgos al medio ambiente, garantizando que la participación ciudadana sea real y efectiva en dicho procedimiento, lo que conferirá mayor legitimidad a las políticas públicas. Además, nuestra propuesta llega más lejos, pues, entendemos que en Brasil no solo los planes y programas capaces de generar impactos ambientales significativos deben ser sometidos a EAE, sino que también deben serlo las leyes que tengan tal potencialidad. 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General Abstract 1. Introduction Nowadays, it is essential to develop and find new ways to reduce the increasing pollution deriving from anthropogenic and environmental sources. Human activities are major responsible of climate changes and ecosystems alterations, because of the increasing release of CO2 and other harmful gases inside the atmosphere. In order to reduce the environmental impact of the human society, a great attention is now given to such processes able to reduce the pollutants concentration in both air and water systems. Advanced oxidation processes (AOPs), which involves the generation of highly reactive hydroxyl radicals (OH•), have emerged as promising air and water treatment technology for the degradation or mineralization of a wide range of pollutants. Titanium dioxide (TiO2) induced photocatalysis is an example of AOP processes and it has been demonstrated its efficiency in the decomposition of various organic contaminants. TiO2 is a very well known and well-researched material due to the stability of its chemical structure, biocompatibility, physical, optical, and electrical properties. TiO2-based photocatalysts are used for a variety of applications such as degradation of volatile organic compounds (VOCs) [1] and decomposition of nitrogen pollutants (NOx) [2] or also organic dyes, like Methylene Blue [3]. The crystalline forms of TiO2 are anatase, rutile and brookite. In general, TiO2 is preferred in anatase form because of its high photocatalytic activity, non-toxicity, chemically stability; moreover, it is relatively inexpensive. For a long time, new synthetic routes have been developed to prepare nano-TiO2 samples in order to enhance their photocatalytic efficiency [4-6]. In fact, since many years the attention has been focused on ultrasmall semiconductive particles, because they show peculiar and enhanced properties compared to the micrometric particles ones [7]. Nano-sized TiO2 is extremely efficient towards the photodegradation processes; in particular, photo-redox reactions are greatly enhanced thanks to the high numbers of active sites present on the extremely large surface area [8]. However, in recent years many papers published the possible health risks correlated with nano-sized materials [9,10]. The small size, shape, solubility and agglomeration degree of nano-sized materials, make them able to cross the cell boundaries or pass directly from the lungs into the blood stream and finally reach all the organs in the body [11]. On the other hand, larger particles are adsorbed by organs and cells with more difficulty. The main question is then if it is necessary to use the nano-sized particles in an exclusive way. Kwon et al. [12] stated that nanocatalysts having small particle size, high surface area, and a high density of surface coordination unsaturated sites offer improved catalytic performance over microscale catalysts but this does not imply the impossibility a priori to use these latter in selected conditions. The use in photocatalysis of TiO2 powders with larger-sized crystallites is a very interesting approach to reduce the possible health problems caused by nanoparticles. 2. Aims of work The aims of this PhD work is to evaluate the photoactivity of micro-TiO2 samples using as irradiation source both UV and LED lights. At first, commercial powdered micro- and nano-sized TiO2 catalysts, were tested and then improved for the degradation of pollutants in both gas and aqueous phase. The ultimate purpose of the PhD work is to test the possibility of using TiO2 for production of building materials; the photocatalytic activity of TiO2 can be then exploited for degrading air pollutants inside domestic environments or workplaces, thus making them healthier over time. Application of photocatalysis to construction buildings began towards the end of 1980s with the production of photocatalytic glasses, which provided self-cleaning and anti-fogging properties [13]. Afterward photocatalytic cementitious materials have been patented by Mitsubishi Corp. and Italcementi SpA [14,15]. In all these construction materials, the active photocatalyst is anatase TiO2. Although the use of photocatalytic cement is still restricted and limited, many buildings and city roads have been designed and constructed since 2000. Relevant examples are Church "Dives in Misericordia", Rome, Italy; Music and Arts City Hall, Chamberéry, France [16]. In general, the mostly used powders of commercial TiO2 for photocatalytic applications are nanometric: this leads some advantages in terms of pollutants degradation efficiency, but many backwards too, like the difficulty to recover the catalyst or the possibility of inhalation with consequent health damage, even the high cost is not negligible. For this reasons, the optimization of the photocatalytic efficiency of micrometric compounds is desired, in order to replace definitely the nanometric catalysts. In this PhD work micro-sized TiO2 powder was used for the preparation of porcelain gres tiles, which are commercial manufactured products, opening a new generation of material intrinsically safer than the traditional photocatalytic products. All samples were fully characterized investigating textural, structural, morphological and surface properties. The photoefficiency was evaluated in different ways, which can be summarized as follows: • Assessment of the photoactivity of commercial samples, both nanometric and micrometric, in gas and aqueous phases in the presence of typical indoor and outdoor pollutants (NOx and Volatile Organic Compounds (VOCs), textile dyes, surfactants); • Assessment of the self-cleaning effect, evaluated by water contact angle measurements, during ultraviolet irradiation on micro-TiO2 tiles of building materials on whose surface the oleic acid is deposited (ISO/WD 27448-1); • Assessment of the effects of the addition of anionic or cationic ions, like fluorine, tin, rhenium or tungsten, on the catalytic surface through the impregnation method. Doping is useful to lower the titanium band gap and accordingly to increase the photocatalytic activity of the material. 3. Experimental details 3.1 Catalytic materials a) Preparation of TiO2 powders Different commercially available micro- and nano-sized pigmentary-powdered TiO2 were chosen; the catalysts were characterized and used without further treatment. In the Table 3.1 the photocatalytic powders used in this PhD work are reported. For each powder, the different physico-chemical characteristics are specified: XRD for the crystalline nature, BET for the surface area, XPS for the atomic composition of elements, SEM and TEM for the particles morphology, FTIR for the chemical composition of samples supported with DRS (diffuse reflectance spectra) for the characterization of the light absorption features and band-gap determinations. Before starting the photooxidation process of pollutants, commercial TiO2 powders were deposited in two plains of glass sample (each plain of 7.5x2.5 cm2). TiO2 powders (0.050 g) were first suspended in 2-propanol (50 ml) so to obtain a homogeneous suspension and then deposited by drop casting onto one side of the laminas. The solvent was simply evaporated at room temperature without any further treatment. The samples consisted in a thicker layer, obtained by overlapping three TiO2 coatings (labelled as T, standing for triple layers, followed by the substrate abbreviation), as shown in previous works by Bianchi et al. [17,18]. Table 3.1. Main features of TiO2-based commercial powders, used as photocatalysts, with the corresponding crystalline phase: nanometric and micrometric samples. Powder Crystalline phase BET (m2/g) Micro/Nano XPS OH/Otot P25 (Evonik) 75% anatase; 25% rutile 52 NANO 0.14 PC105 (Crystal) anatase 80 NANO 0.85 1077 (Kronos) anatase 11 MICRO 0.32 AH-R (Hundsman) anatase 12 MICRO 0.19 AT-1 (Crystal) anatase 12 MICRO 0.24 1001 (Kronos) anatase 11 MIXED PHASE (micro+nano) 0.27 1002 (Kronos) anatase 9 MIXED PHASE (micro+nano) 0.35 1071 (Kronos) anatase 10 MIXED PHASE (micro+nano) 0.18 A-Z (Hombitam) 99% anatase 4 MICRO 0.25 AN (Hombitam) 98,5% anatase 12 MICRO 0.5 N.10 (HombiKat) 98% anatase; 2% rutile 13 MICRO 0.13 b) Preparation of vitrified tiles Among all building materials, commercially available white tiles by GranitiFiandre SpA (sample name White Ground Active® (WGA) or Orosei Active) were chosen and used for the preparation of photocatalytic tiles. Porcelain gres tiles are manufactured under high pressure by dry-pressing of fine processed ceramic raw materials, with large proportions of quartz, feldspar, and other fluxes. The body of these materials is then fired at very high temperatures (1200–1300◦C) in kilns [19]. After impregnation with water, the tiles are subjected to temperature cycles between +5 and -5 °C, during a minimum of 100 freeze–thaw cycles, in order to verify their resistance to the frost and their durability. No evident cracks or damages were observed on the samples. The final material is thus characterized by lack of porosity, complete water-proofing, durability, hardness, wear resistance properties, and a complete frost resistance. The porcelain gres tiles were covered at the surface with a mixture of micro-TiO2 and a commercial SiO2-based compound prepared via ball–mill [20,21]. To achieve the desired product stability, at the end of the preparation procedure tiles were treated at high temperature (680 °C) for 80 min and then brushed to remove the powder present at the surface and not completely stuck. Temperature was precisely chosen to maintain the anatase form of the semiconductor and allow the vitrification of the tiles surface. Tiles were also prepared with the same procedure but without adding the photoactive oxide into the SiO2-based compound for the sake of comparison (sample name White Ground (WG) or Orosei)). The surface wettability of photoactive porcelain gres tiles was evaluated by static contact angle (CA) measurements performed with an OCA20 instrument (DataPhysics Co., Germany) equipped with a CCD camera and a 500 μL-Hamilton syringe to dispense liquid droplets. [22,23]. c) Doping effect on TiO2 powders Micrometric TiO2 powders were doped with cations like tungsten (W), tin (Sn) and rhenium (Re), and fluoride anions (F-). This was done with the aim to improve the photoefficiency of the micro-sized TiO2 catalysts, which have lower activity than the traditional nanopowders. Ren at al. [24] demonstrated that the fluorination of TiO2 nanocrystals gave a photocatalytic enhancement due to the higher separation efficiency of photogenerated electrons and holes. Furthermore, it has been found that the surface fluorination favors the generation of free OH radicals, which are responsible of an enhanced oxidation [25]. Regarding the doping with metal cations, in the literature is reported that Re dopant could effectively inhibit the recombination of the photoinduced electrons and holes [26]. Re can act as electron trap and promote the interfacial charge transfer processes in the composite systems, which reduces the recombination of photoinduced electron-hole pairs, thus improving the photocatalytic activity of TiO2. Moreover, it was demonstrated that that metal particles doping can facilitate the electron excitation by creating a local electrical field, enhancing photoinduced surface redox reactions: it results in the extension of the wavelength of TiO2 response towards the visible region [27]. The band gap energy of the doped-TiO2 results less than that of naked TiO2, which induces the red shift of the adsorption edge to respond to visible light. This peculiar feature gets interesting for the use of LED (Light Emission Diode) as irradiation source for the photooxidation processes, because LED emissions are located only in the visible region of light. In fact, an important aspect is the use of irradiation by visible light, through LED lamps. Several cities, like Milano, Stockholm, Los Angeles, Copenhagen, have chosen to adopt the LED emission for the outdoor illumination: Milano will substitute the 80% of urban illumination with the LED light within May 2015 (Expo start date). Advantages, connected to this emerging technology (high durability, cheapness, low energy consume), adhere very well with the environmental safety. Thus, NOx and VOCs photodegradation was performed with LED lamp, using micrometric doped powder. The classical impregnation method was applied to dope the catalyst surface with fluoride anions, starting from inorganic fluoride salts (NaF, NH4F, CaF2 and F2). At the end of the impregnation procedure (24 h, room temperature), powders were calcined at 400°C for 4 h and rinsed in distilled water three times. The metal doping was performed in two different ways: it was used the same procedure of impregnation method for tin (Sn) surface doping, whereas a different surface deposition technique (decoration method) was performed for metals of tungsten (W) and rhenium (Re). Decoration of M- or MO-NPs is commonly implemented by means of ultra-sounds (US) in aqueous or organic solutions where ceramics or polymer substrate powders are dispersed [28]. In the latter case, the precursor of metal was sonicated at a costant temperature of 80°C for 3 h, with 33.0% amplitude and a 50 W cm-2 intensity. At the end, the solution was centrifugated many times to remove all the solvent; the final powders was washed with n-pentane and centrifugated again. The residual solvent was evaporated and the sample was finally calcined at 480°C for 40 h to completely remove the organic scents. 3.2 Testing procedure a) Photocatalytic set-up in gas-phase Photocatalyitc degradation of air pollutants, such as acetone, acetaldehyde, toluene (well known as VOCs) and NOx, were conducted in Pyrex glass cylindrical reactors having different volume depending on the type of analyzed pollutant: 5 L for VOCs and 20 L for NOx, respectively. In the case of VOCs analysis, the gaseous mixture in the reactor was obtained by mixing hot chromatographic air (f.i. 250 ◦C for toluene), with relative humidity (RH) of 40%, and a fixed amount of volatilized pollutant, in order to avoid condensation. The initial concentration of VOCs in the reactor was 400 ppmv, monitored directly by micro-GC sampling. Photon sources were provided by a 500 W iron halogenide lamp (Jelosil, model HG 500) emitting in the 315–400 nm wavelength range (UV-A) at 30 Wm−2 or by a LED lamp, emitting into the visible region. Acetone and acetaldehyde degradation tests lasted for 2 h, whereas toluene tests for 6 h, due to the difficulty in degrading a molecule with an aromatic ring and with a complex degradation pathway [19]. For NOx photodegradation study, a first static experimental setup was obtained used the following conditions: RH: 50%, UV light of 10 Wm-2 (for TiO2 powders deposited on glass sheets) or 20 Wm-2 (for micro-sized TiO2 gres tiles), with a NOx starting value of 1000 ppb. The analytical procedure was reported by Bianchi et al. [21]. NOx degradation by TiO2 powders (always immobilized on a glass sheet) and photoactive tiles was conducted also in continuous conditions using a plug-flow reactor (with an effective volume of 0.025 L) built strictly following the ISO 22197-1 rule [29]. Experimental conditions were maintained as follows: RH: 40%, 20Wm−2, [NOx]inlet=500 ppb, and 180, 32.4, 9, and 4.2 L h−1 total flow, respectively. A chemiluminescent analyzer (Teledyne Instruments M200E) was used to check the conversion of the pollutant in both batch and plug-flow reactor setups. b) Photocatalytic set-up in aqueous-phase The photocatalytic apparatus was a 1 L glass stirred reactor equipped with an iron halogenide UV lamp (500 W, Jelosil® HG500) emitting light at wavelengths of 315–400 nm and able to irradiate the reactor with a specific power of 95 Wm-2, when TiO2 powder was used as catalyst. The UV lamp was placed beside the reactor, which was cooled with water at a temperature of 30 ± 0.5◦C, as reported previously by Gatto et al. [30]. TiO2 was introduced in the reactor at the beginning of each test (0.66 g/L for surfactant degradation and 0.1 g/L for textile dyes). The variation of the surfactant (PFOA) concentration in solution was monitored by total organic carbon (TOC) analysis and ionic chromatography. The PFOA initial concentration ([PFOA]0= 4 mM) was maintained lower than its critical micellar concentration (7.8 mM) in order to avoid the formation of emulsions during the kinetic tests. Samples (10 mL) of the reaction mixture were collected at different reaction times: typically at 0 min (before the start of the reaction), 30 min, 1 h, 2 h, 3 h, 4 h, 6 h and 9 h. Textile dyes, chosen for the photodegradation tests, were Rhodamine B (RhB), Methylene Blue (MB) and Crystal Violet (CV); dyes degradation was checked every 60 min by determining the dye concentration in the water solution by a UV–vis spectrophotometer analyzer (T60 UV–vis PG LTD instruments), using water as the reference. Pure CV has an absorbance maximum at 590 nm, RhB at 555 nm and MB around 670 nm. Textile dyes degradation was also performed using photoactive tiles, covered with the micrometric 1077 powder. For this aim, a cylindrical batch reactor of 1 L volume was used for dye degradation tests in presence of ten photoactive tiles (0.03 m2 total surface photoactive area) immersed into the liquid solution, as reported by Bianchi et al. [31]. Refrigeration was allowed by a cooling jacket. Two different lamps directly immersed into the dye solution were used with this setup: a typical germicidal 9 W UV-C lamp (Philips TUV BL-S, model AEPL-7913 mercury vapor low pressure), with a radiant power of 1 Wm-2 and a 125 W UV-A lamp (Jelosil, mercury vapor low pressure), with an illuminance of 65 Wm-2, in correspondence of the tiles surface. During photocatalytic tests, the TiO2 active faces of the tiles were turned towards the UV light. After each test, the tiles were simply washed using deionized water and acetone and then left in deionized water all night long. The same dyes solution (RhB, MB, CV) were used in the present setup at a concentration of 1 × 10−5 M. c) Self-cleaning effect The self-cleaning capability of TiO2 photoactive tiles was evaluated in two different ways: (1) through the measurement of the water contact angle (CA) (KRUSS GmbH) of a tile, after oleic acid deposition and UV irradiation (Jelosil, model HG 500) for 76 h and (2) through the monitoring, by a colorimeter, of the discoloration of dyes directly put on the tiles surfaces, after exposure to the sunlight (Milan – Italy, May 2012). For water CA measurements, a test piece of porcelain gres tile of 100 ± 2mm2 were pre-treated by ultraviolet irradiation of 20 Wm-2 for at least 24 hours. Then, the catalytic samples were dipped inside an oleic acid (Fluka, >80%) solution (0.5 vol%) in order to simulate a polluting condition. The presence of oleic acids on the tile surface modify its wettability. After UV irradiation it was measured the CA at an appropriate time interval, observing a continuous decrease of the CA values related to a degradation of the polluting agent. The measurement can be considered concluded when the contact angle value of the clean photocatalytic tile is restored, as before the oleic acid deposition. For comparison, the measurement is repeated on a sample similarly polluted with oleic acid, but left in the dark for 76 hours. Furthermore, it was taken a sample of porcelain gres tile, not containing TiO2, and it was immersed into oleic acid solution and irradiated, with the aim to evaluate the pure contribute of UV irradiation. Dyes degradation instead was monitored by Vis-spectrometer equipped with an integrated sphere (OceanOptics, USB400-VIS-NIR-ES). 1 μL of dyes, dissolved in water, was put on the tiles surface and left under the sunlight, whose power was continuously checked from 9 am to 5 pm every day by a radiometer DeltaOhm HD2012,2. A mean power irradiation value of 7.28 W/m2 was measured. The color analysis was performed using the CIEXYZ and CIELAB models [22]. 4. Results and discussion 4.1 Characterization results a) Powders characterization Anatase, evidenced by XRD patterns, is the unique polymorph present for all samples, except for P25 and N.10 (by Hombikat) powders, which exhibit even the rutile phase (25 and 2%, respectively). The crystallographic reflexes (1 0 1), (2 0 0) and (2 1 1) have been employed to calculate the average crystallites size of the various titania particles. P25 and PC105, commercial nanometric powders, have comparable crystallite size centered on 25 nm, while the other samples have values between 120 and 200 nm, confirming their micro-sized nature. These structural properties are reflected in their BET surface areas that are about 11-12 m2/g, which are much lower compared to the nano-sized ones (Table 3.1). For 1001, 1002, 1071 samples Sherrer calculation was not performed, as TEM analysis reveals the presence of both micro-sized and ultrafine fractions, as it is visible in Fig. 4.1, section d. HR-TEM and SEM images confirmed the average crystallites sizes extrapolated by XRD analysis; moreover, it was excluded the presence of ultrafine particles in 1007, AT-1, AH-R, A-Z, AN and N.10 powders. It can be evidenced that nano-sized materials perfectly fall within the "nano" definition: in fact, both samples are characterized by average particles size of 15-30 nm (Fig. 4.1, section a), closely packed features and roundish contours [19]. As for what concerns the other powders (1077, AT-1, AH-R, A-Z, AN, N.10), they all exhibit well crystallized particles possessing smooth edge and average diameter size in the 120-200 nm range (see Fig. 4.1, section b and c), with fringes patterns belonging to the TiO2 anatase polymorph. On the contrary, for 1001, 1002 and 1071 powders TEM images again confirm that they are composed by a mixture of both micro-sized crystallites and some ultrafine particles (Fig. 4.1, section d). The surface state of the TiO2 particles was analyzed by XPS. No significant differences can be appreciated in the Ti 2p region among all the present samples concerning the binding energies (BE) and the full width at half-maximum (FWHM) values. The peak of Ti 2p3/2 is always regular and the BE at about 458.5 ± 0.1 eV compares well with the data for Ti(IV) in TiO2 materials [32]. The analysis of the oxygen peaks exhibits the presence of more than one component, which can be attributed to lattice oxygen in TiO2 (529.9 eV) and to surface OH species (>531.5 eV) respectively. A particular O1s shape was observed for PC105. In this case, the OH component is very intense probably due to a particular industrial synthesis in order to enhance the photocatalytic efficiency of the sample. The hydrophilicity/hydrophobicity character of photocatalysts surface plays a crucial role in determining the adsorption step and thus the photocatalytic activity, at least in the degradation of pollutants [33]. P105 exhibits the highest concentration of OH that represent the 85% of the oxygen at the surface, as it shown in Fig. 4.2. It is noteworthy that the micro-sized samples, with the exception of N.10 (by HombiKat) sample, present a higher atomic concentration of OH groups in comparison with P25, pointing out the higher hydrophilic character of their surface (see Table 3.1, fifth column). Fig. 4.1. TEM images of the various TiO2 powders. Section a: P25; section b: 1077; section c: AH-R; section d: 1071. FTIR spectra in the ν(OH) spectral range of the samples in air revealed two complex absorption bands, respectively located in the 3000–3450 cm-1 range and at ν ≥ 3600 cm-1. Based on the spectral behavior and of our previous data [19], the former envelope can be ascribed to the stretching mode of all H-bonded OH groups present at the surface of the various solids, whereas the latter corresponds to the stretching mode of all Ti–OH species free from hydrogen bonding interactions [34]. It is well-known that surface hydroxyl radicals play a fundamental role in the photocatalytic processes [35]. In particular, photo-generated holes react with water molecules adsorbed on TiO2 surface, leading to the formation of OH•: TiO2 + hν → h+ + e- (3.1) h+ + H2O → OH• + H+ (3.2) The pigmentary TiO2 powders showed appreciable amounts of OH groups and this validate their rather good performances in the photocatalyitc degradation, as reported in our previous study [19]. Fig. 4.2. O1s XPS spectra for (a) P25; (b) PC105; (c) 1077; (d) AT-1. b) Gres tiles characterization XPS measurement reveals the presence of only Ti(IV) and a Ti/Si ratio of 0.15 for the micro-TiO2+SiO2-based compound, which belongs to porcelain grès tiles. The preservation of the pure anatase form was verified by both XRPD and XPS measurements. As reported by Anderson and Bard [37] the presence of SiO2, together with TiO2, enhances the formation of hydroxyl radical OH•, which may be achieved via strong Brønsted acid sites at the TiO2/SiO2 interface region. Such incorporation inhibits the crystal growth of TiO2 allowing the preservation of the anatase structure at high temperature. By the investigation of morphological features, the presence of SiO2-based compound is evident in gres tiles (Fig. 4.3), in the form of either small protruding particles or as amorphous coating which covers the TiO2 particles. Fig. 4.3. HR-TEM images of the TiO2 porcelain gres tiles materials. (a) refers to low magnification and (b) to high magnification. The very thin nature of these particles and/or coating allows to inspect the fringe patterns located below, confirming that the spacing among the fringes are still ascribable to the anatase TiO2 polymorph. 4.2 Photocatalytic tests 4.2.1 Photocatalytic activity in gas-phase a) NOx photoabatement with TiO2 powders In this section, several commercial pigmentary powders were tested for NOx degradation and were compared with the nanometric powders efficiency (P25 and PC105). At first, the tested concentration of NOx in the reactor was 1000 ppb, in order to follow the same pollutant concentration requested by the ISO 22197-1 rules [38]. All the samples showed good photocatalytic performances, because the abatement of NOx was early completed at the end of 3 hours, except the 1071 (by Kronos) sample, which showed lower photodegradation (61.5 %). The efficiency of the other samples was between 90 and 99%: this behavior leads to hypothesize a complete degradation of the pollutant within the chosen limited time of the run (3 h). In particular, it is interesting to observe the photodegradation trend of the only micro-sized samples (1077, AH-R, Hombitam A-Z, Hombitam AN and HombiKat N.10) at 15 min, 30 min, 60 min and 240 min, the most significantly times. In Fig. 4.4 we can observe the peculiar differences, which arise in the initial period of the degradation. 1077, Hombitam AZ and Hombitam AN seem to be the most active, showing the best efficiency in the first times of reaction (15, 30 min). This behavior can be explained through the physico-chemical features and the amount of hydroxyl radicals that initiate the oxidation of NO. The ratio of OH/Otot, obtained by XPS analysis, resulted to be, in fact, higher than the other micrometric ones (Table 3.1). In particular, after 2 h, the NOx conversion of these samples is higher than 90%, very close to that of P25, which reaches the complete pollutant degradation in the same time. Thus, even if the nano-sized materials (P25 and PC105) show the best performances, the photocatalytic activities of the pigmentary powders are comparable, in agreement with the presence of appreciable amount of surface hydroxyls, which are crucial species for the photooxidation processes [39]. From the trend in the Fig. 4.4 it is clear that the micrometric samples with the best photocatalytic performances are the ones showing the largest OH component, the following 1007, Hombitam AZ and Hombitam AN. Fig. 4.4. TiO2 commercial micro-sized powders (1077, AH-R, Hombitam AZ, Hombitam AN, HombiKat N.10) for NOx abatement at 15, 30, 60, 240 min under UV light irradiation. b) NOx photoabatement with photoactive tiles Another study concerns the application in photocatalysis of building materials. In this PhD work porcelain gres tiles, covered with micrometric TiO2 powder, were used for the NOx degradation, under UV light, in static experimental conditions in gas phase. Starting from 1000 ppb of NO2, i.e. the same amount required by the ISO 22197-1 specification, the 65% of degradation was measured after 6 h. A very interesting trend (Fig. 4.5) was observed also following the NO2 degradation by photocatalytic tiles. NO2 was chosen as specific reference pollutant instead of the more generic NOx, because of its higher hazardousness. The continued exposure to high NO2 levels, in fact, can contribute to the development of acute or chronic bronchitis [40]. More in detail, tests were carried out by using as starting pollutant concentration 106 ppb (value not to be exceeded more than 18 times in a calendar year), and 212 ppb (alert threshold), according to the Directive 2008/50/EC of the European Parliament, which states the guidelines for the protection of the human health. It is possible to observe (Fig. 4.5) that, as the amount of starting pollutant is decreased, the time necessary to bring its concentration under the limit required by the European Directive (21 ppb) also decreases. In the Fig. 4.5 inset the degradation trend can be observed in the case of an initial pollutant concentration close to the alert threshold. Fig. 4.5. Time necessary to degrade the pollutant and decrease its amount under the limit value required by the Directive 2008/50/EC of the European Parliament and of the council on ambient air quality and cleaner air for Europe (21 ppb); 20 W/m2, RH 50%, static conditions. Therefore under real pollution conditions, simulating a day in the absence of wind (static conditions) WGA is able to degrade NO2 in a very efficient way bringing the pollutant concentration down to the required limit (21 ppb) in a matter of hours [21]. Micro-sized TiO2 porcelain gres tiles were also tested in continuous conditions using a plug-flow reactor, whose the operating conditions have been softened cutting the inlet concentration by half (500 ppb, instead of 1000 ppb). It was investigated the role of the flow per hour on the final NO2 conversion. An interesting aspect revealed: the modification of the flow per hour leads to an evident change of the contact times that is the time the pollutant can stay "in contact" with the catalyst surface. As expected, increasing the contact time, the final conversion proportionally increases. This result is very evident for Orosei Active sample that shows a conversion varying from 1.3% to 82.0% at 180 L h−1 and 4.2 L h−1, respectively. The obtained 82% conversion at 4.2 L h−1 flow can be consequently considered a very good value. c) VOCs photoabatement with TiO2 powders In order to study the photocatalytic activity of nano- and micro-sized samples, the degradation of three different VOCs, acetone, acetaldehyde and toluene, has been performed. As an illustrative example, it was reported the toluene photodegradation tests. For both nano-and micro-sized TiO2 powders, the pollutant was not completely degraded, even after 6 h of reaction. Moreover, it is noteworthy that the degradation percentages fell more or less in the same range (46–52%) with a slightly higher value for the nanometric P25 and PC105 catalysts, as it is shown in Fig. 4.6. Toluene degradation resulted very difficult due to the complexity of molecule, which presents the aromatic ring. The different catalysts show similar behavior toward the toluene degradation, irrespective of their physico-chemical characteristics. On the contrary, the pollutant mineralization is rather different for almost all samples. Furthermore, a low amount of CO2 formation confirmed the incompleteness of the degradation reaction. The possible by-products, which could take form during the degradation, were monitored by FTIR measurements. After the employment in toluene degradation, the spectra of the materials underwent deep changes. In particular, it was possible to recognize signals of unreacted toluene (T) and of several by-products deriving from its degradation, among which benzyl alcohol (BZOH), benzoic acid (BZAc) and benzaldehyde (BZH) [19]. In addition, the signals due to the stretching mode (νOH) of Ti-OH species free from hydrogen bonding interactions were disappeared with the parallel increase of the broad envelope generated by H-bonded OH groups [31]. Thus, it was possible to state that the catalysts surface underwent irreversible changes after the employment in the photodegradation reaction of toluene: the photo-active "free" Ti-OH sites were completely absent, as a result of their participation to the reaction. Fig. 4.6. Toluene degradation histogram: photoefficiency achieved with commercial micro-sized TiO2 and compared to the P25 and PC105 ones (nanometric). Their disappearance was a clear evidence of why toluene degradation appeared incomplete even after 6 h of reaction for all the samples, regardless of the morphological features of the materials. Therefore, in the case of toluene and in general for all less hydrophilic VOCs, it was well evident that both micro-sized materials and nano-sized ones possess almost the same photocatalytic behavior. 4.2.2 Photocatalytic activity in aqueous-phase Parallel with photocatalytic tests in gas-phase, photodegradation of surfactants and textile dyes in aqueous phase were performed. In particular, the PFOA (perfluooroctanoic acid) was chosen as surfactant species. The abatement was conducted by using P25 nano-powder as catalyst. The photodegradation trend, monitored at different times, highlighted the incomplete PFOA mineralization. For the entire duration of the photo-abatement process, it was possible to observe a decrease in the PFOA content in solution. However, the mineralization after 4 h settled down: the fluoride content and the percentage mineralization after 6 and 9 h remained equal to 29% and 32%, respectively, as reported by Gatto et al. [29]. Through HPLC-MS analysis was confirmed the presence of the intermediates in the solution that took form through two possible degradation pathways: this surface modification might influence the catalyst reducing the photocatalytic efficiency of TiO2. Nevertheless, it is important to note that, as reported in the literature, no PFOA abatement was observed working in the presence of TiO2 as photocatalyst without UV irradiation as well as under UV irradiation in the absence of photocatalyst (photolysis) [31]. The other interesting study concerns the textile dyes photodegradation, using micro-sized TiO2 (1077) powders as catalysts. The textile dyes analyzed were Methylene Blue (MhB), Rhodamine B (RhB) and Crystal Violet (CV). Experimental dark tests showed a very low adsorption of all the dyes on both kinds of powders. The contribute of photolysis was almost negligible for MhB and CV, whereas 12% of dye degradation for simple photolysis (10% for P25) was achieved for RhB. Nano-sized powder showed the best results for all the considered dyes achieving the complete decolorizing of the water solution, but also micro-sized sample was able to degrade the pollutants with a good efficiency (ranging from 48 to 58% depending on the dye in six hours) (see Fig. 4.7), as reported by Bianchi et al. [30]. In addition, the micro-sized powder can be easily filtered and recovered in order to be immediately reused for further photodegradation reactions. In fact, 1077 was recovered by the simple centrifugation and reused in the same dye degradation test with no loss of photoactivity [30]. Fig. 4.7. Photocatalysis of dyes performed with powdered micro-TiO2 catalyst (1077): crystal violet □; methylene blue ▲; rhodamine B ◌. Another application is relative to the photocatalytic efficiency of TiO2 porcelain gres tiles, evaluated through UV-vis measurements. This choice reflects the fact that photoactive porcelain gres tiles are covered with the micrometric 1077 powder. It was observed an increase of about 15% of dyes degradation in comparison to the simply photolysis. These porcelain gres tiles can be reused, just after insertion of the tiles in distilled water, and without affecting the photocatalytic activity. In fact, all the tests were done using the same batch of ten samples of industrial tiles, and no loss in their photoactivity was monitored. This indicates that the TiO2 deposited layers are not deactivated during the reaction either by loss or poisoning of the catalyst, and can be reutilized in subsequent runs. Thus, these new industrial ceramic materials are surely an interesting alternative to TiO2 suspensions in photocatalytic applications avoiding the removal of the particles at the end of the process. 4.2.3 Self-cleaning effect A different aspect for the evaluation of gres tiles photo-efficiency is the CA evaluation, measured on micro-sized TiO2 porcelain gres tiles, after the deposition of oleic acid and irradiation by UV lamp. At first, before the oleic acid (Fluka, >80%) deposition, the pretreatment CA measurements were performed obtaining value of about 31°. The, the catalytic samples were dipped inside the oleic acid solution (0.5 vol%); the presence of oleic acids on the tile surface modify its wettability, the water contact angle in fact increases to about 65°. After UV irradiation it was measured the CA at an appropriate time interval, observing a continuous decrease of the CA values related to a degradation of the polluting agent. We observed that after 76 h of irradiation, the water CA reached the starting value before the oleic acid deposition (about 30°). This highlights the self-cleaning properties of TiO2 porcelain gres tile [22] and its photocatalytic efficiency for the degradation of organic contaminant deposited on the surface. On the contrary, the same kind of porcelain gres tile (Orosei Active), treated with oleic acid, but maintained in the dark, does not show modifications of CA in the range t0 and t76. The same procedure, consisting in the deposition of oleic acid solution and irradiation under UV light for 76 h, was performed for a porcelain gres tiles, not containing TiO2. Even in this case the CA measurement during the UV irradiation remained the same, i.e., the initial CA measured on the oleic acid film (65°). It is justified that the change in the value of the contact angle is due merely to the photodegradation of the oleic acid due to both the action of UV radiation and the photocatalytic efficiency of the used material and not by spontaneous degradation of oleic acid, induced by non photocatalytic factors. Thus, the photocatalytic process is necessary for the abatement of organic pollutants [17]. 4.3 Doping effect on TiO2 powders Micro-sized 1077 powder was even doped by the impregnation method. First of all the fluorination effect was investigated, making a comparison with the corresponding nanometric P25 powder: in both powders, after the fluorination, the photocatalytic activity of NOx and VOCs abatement resulted increased. The simply surface fluorination seems to be a good method to increase the photoactivity in commercial TiO2 samples, even with large crystallites [41]. In particular, the morphological features evidenced in the HR-TEM images and FT-IR spectral patterns, showed significant features. When the fluorination was carried out on the 1077 sample, there was an increasing of the OH groups interacting by H-bonding in F2 fluorination and new families of free OH groups involving Ca2+ and Na+ ions. The simple surface fluorination by fluorination resulted as an easy and good method to increase the photoactivity in commercial TiO2 samples, even with large crystallites, as reported in Fig. 4.8. Fig. 4.8. Toluene degradation for both micro- (1077) and nano-sized (P25) TiO2 samples, naked and fluorinated (NaF precursor). Physico-chemical characterization demonstrated that the surface fluorination influenced all the surface OH groups, leaving free only some particular OH "families", reasonably the more active in the photocatalytic process. Thus, the driving force of the process is both the presence of active OH population and the efficient adsorption of the pollutant molecules on the photocatalytic semiconductor surface. Parallel with this, the metal surface deposition with Sn, W and Re lead to an improved photoefficiency. In this case, micro-sized TiO2 powders exhibited a higher photoactivity compared with the naked TiO2 one. In particular, an interesting aspect was even the evaluation of photo-efficiency of doped 1077 using the LED light as irradiation source for the pollutant degradation. It has been observed that the photo-abatement efficiency of micro-sized catalysts for VOCs is improved by the presence of metals particles, in particular in the case of rhenium and tungsten. The degradation percentage of acetone was in fact, 37% for 1077_W and 33% for 1077_Re, compared with the 1077, which showed a negligible photoactivity (~2%), when the catalysts were irradiated by visible light. In Fig. 4.9 it is possible to see the improved photo-efficiency. In fact, the metal species like W and Re have the main properties of promote the charge transfer and the visible light absorption, which lead to enhanced photocatalytic degradation of pollutants than naked micro-sized TiO2, even under visible light irradiation [42]. Fig. 4.9. Acetone photodegradation in gas-phase under visible light (performed with a LED lamp). 5. Conclusions The photocatalytic activity of both nanometric and micrometric TiO2 powders was evaluated, revealing that nano-sized powders have the best photo-efficiency. However, commercial pigmentary micro-sized TiO2 powders have given good results proving that they could be good materials in photocatalysis and good alternative to nano-sized catalysts. In particular, 1077, Hombitam AZ and AN are the micro-sized TiO2 powders with the highest photoactivity for NOx abatement. The low surface area is not a discriminant factor if other features compensate it; the ratio of OH/O has a specific influence for the pollutants photodegradation together with the morphological features of particles. In fact, nanometric P25 is characterized by a significant higher amount of hydroxyl radicals, in agreement with the optimal efficiency in pollutants photodegradation. However, also pigmentary 1077, Hombitam AZ and AN samples show appreciable amount of OH• groups and this justifies their good catalytic performance. Furthermore, porcelain gres tiles, prepared entrapping micro-TiO2 at the SiO2 surface confirmed a stable and reproducible photocatalytic activity toward organic contaminants, such as dyes and NOx, in both liquid and gas phase. This indicates that these new industrial ceramic materials with micrometric TiO2 are surely an interesting application, which avoids the use of traditional nanomaterials in powder form for their preparation. In addition, the doping of micrometric TiO2 powders with anionic or cationic species highlighted the possibility to increase the catalytic performance obtaining comparable results with naked nanometric samples. And, as a consequence of the high demand of the use of LED lamps in the indoor and outdoor areas, the metal particles on the micrometric TiO2 surface confirmed their ability to adsorb visible light and to be considered sensitizers. To summarize, powders with large particles and low surface area can have good photoefficiency for the depollution abatement.

Introducción
El actual desarrollo y crecimiento de las ciudades, crea la necesidad de que la ciudad no sólo sea un espacio en el que residan sus habitantes sino un lugar en el que se ven plasmados los cambios que surgen en ella; es por ello que constantemente se implementan fuentes para el turismo y la exportación de productos que generen el crecimiento económico. Debido a esto y como contribución al desarrollo, se crean estrategias de comunicación visual para representar una ciudad por medio de un sello que la identifique y diferencie de otras locaciones de su región y del planeta.
En la Ciudad Autónoma de Buenos Aires, teniendo en consideración a los tres últimos jefes de gobierno, partiendo desde el periodo del año 2000 al 2015 se ha intentado establecer una marca ciudad, que en todos los casos, ha terminado siendo interpretada por sus ciudadanos como una marca política. Desde la gestión de Aníbal Ibarra (2000-2003), siendo reelecto durante el siguiente período el cual no logró terminar ya que fue destituido de su cargo por un juicio político en marzo del 2006, manejó la marca ciudad con los colores de su partido de gobierno, Frente Progresista Popular. Época en que en el cual la ciudad se vistió con los colores naranja y negro y cuyo signo distintivo se reconoció como "gobBsAs" desplegada por toda la ciudad.
Luego de la destitución de Ibarra asume la gestión de gobierno, Jorge Telerman haciendo leves cambios en la marca que se había instaurada por el líder anterior, por razones de tiempo. Su marca la cual fue considerada un sello marcario multicolor con el nombre "a+BA" y trabajó bajo el claim "actitudBsAs".
A su vez Mauricio Macri quien fue electo como jefe de gobierno por dos ocasiones entre el (2007-2015), impulsó una nueva propuesta de marca ciudad, desde su primer periodo con los colores de su partido de gobierno Propuesta Republicana (PRO), la cual fue y ha sido impulsada durante el período mencionado por la agencia de publicidad Don, dando los primeros pasos con el claim "Haciendo Buenos Aires" hasta su evolución final que es "En todo estás vos".
Según el manual de identidad corporativa de la marca ciudad de Buenos Aires "El nuevo claim de la ciudad proviene de la evolución del anterior 'Haciendo Buenos Aires'. 'En todo estás vos' significa que cada plan de gestión, cada obra realizada o cada evento que se haga, está hecho pensando en cada uno de los vecinos" (Manual de normas / de identidad visual institucional, 2014, p. 51). Entonces para su manual de identidad corporativa la marca ciudad, está trabajada pensando en cada uno de sus habitantes, es por ello que se los incluye en su comunicación.
A partir de los análisis que se exponen durante la introducción de este tema de investigación, lo que se busca es analizar la marca ciudad de Buenos Aires como una estrategia de gobierno, para hacer difusión política durante todo el periodo del proceso ejecutivo.

Planteamiento del problema
Una marca ciudad, es una estrategia de marketing y comunicación para posicionar una ciudad como un lugar turístico y atraer la inversión interna como extranjera. Trabaja como un elemento de identificación, creando un certificado de calidad de un producto o servicio. Estas marcas son administradas o dirigidas por municipios o instituciones públicas trabajando en conjunto con sus habitantes y empresas privadas.
La ciudad de Buenos Aires desde el año 2007 cuenta con una nueva marca, siendo una ventaja competitiva, considerando la efectividad que han tenido otras ciudades en el mundo que han desarrollado su activo intangible más preciado. Dicha marca es dirigida por el gobernador de la ciudad Mauricio Macri.
El autor de la investigación antes de visitar la Capital Federal de Argentina, observó a través de la televisión pagada, un spot promocional de la ciudad de Buenos Aires invitando al turista a conocerla. En dicho spot que tenía como fondo de la canción de Palito Ortega "un muchacho como yo" en el cual aparecía el gobernador de la ciudad Mauricio Macri, haciendo una invitación para Buenos Aires como la ciudad de todos, por su diversidad cultural y su gente, llamando mucho la atención del autor, por esta estrategia de marketing turístico de ciudad.
Al llegar a Buenos Aires lo que más le llamo la atención fueron los colores amarillo y negro que se utilizaban en la marca, llevándolo a generarse una primera pregunta que fue ¿por qué del uso de estos colores? A su vez, al indagar entre los habitantes de la Capital Federal, la percepción de casi todos a los que se le consultó desde su punto de vista empírico fue que era una propaganda política del (PRO).
Fue a partir de ello, que surgió la iniciativa de analizar la marca ciudad de Buenos Aires como una estrategia de gobierno, para hacer propaganda política durante todo el periodo del proceso ejecutivo, haciendo presencia del actor político y sus obras en la ciudad a manera de comunicar a los ciudadanos aquí "en todo estoy yo" en vez de su claim que dice "en todo estás vos".
Es por esto, que durante el proceso de esta investigación se vincula a la marca ciudad de Buenos Aires como una estrategia de marketing de ciudad para posicionar a su actor principal, que en este caso es el gobernador. Siendo así que en este sentido se lo puede definir como marketing político a la "(…) disciplina orientada al estudio de los procesos de los intercambios entre las entidades políticas, su entorno, y entre ellas mismas, con particular referencia al posicionamiento de estas entidades y sus comunicaciones". (Carlín, 2006, p. 7). Lo que se busca por medio del marketing político es posicionar a un actor electoral, para ganar adeptos a una ideología política y conseguir a través de los ellos un lugar en el manejo político de un sector de la población.
Este tema de investigación examina la comunicación gráfica de los contenidos de la marca ciudad de Buenos Aires "en todo estás vos" desde el período 2007 al 2015, con el fin de diferenciar una estrategia de marketing político con el concepto de una marca ciudad en la que la participación política no se vea reflejada en su totalidad con la identidad de la marca. Por lo que surge la pregunta de investigación que es: ¿en qué punto la marca ciudad de Buenos Aires se unifica con la marca partidaria del "PRO"? y si es posible contestar también ¿qué efectos tiene la mediatización de un actor político en una marca pública?, razón por la cual entre sus principales objetivos generales está, indagar la función de la marca ciudad de Buenos Aires (2007-2015) y su vinculación como una marca partidaria. Asimismo, evaluar la participación del actor político en ésta marca ciudad y cómo afecta la mediatización en un proceso de campaña.
Sus objetivos específicos tratan de establecer la vinculación de la comunicación pública con la comunicación partidaria; establecer los principios que fundamentan el diseño y propuesta de la marca ciudad Buenos Aires; relacionar los elementos de la comunicación gráfica de la marca ciudad con las estrategias de marketing político del "PRO"; fundamentar cómo a través de una comunicación pública se puede persuadir a los habitantes.
Por lo que se propone como hipótesis que: El partido "Propuesta Republicana" "PRO" identificó los elementos de diseño y comunicación gráfica de la marca ciudad de Buenos Aires (2007-2015) con una estrategia de marketing político, y de este modo unificó la comunicación partidaria con la comunicación pública.

Estado de la cuestión
Esta investigación surge en la Ciudad Autónoma de Buenos Aires, con respecto al uso de la marca ciudad Buenos Aires "en todo estas vos". El gobernador Mauricio Macri está al frente de la marca ciudad y su comunicación, en los distintos eventos realizados por la gobernación de la Ciudad.
Manuel Cruz (2013), menciona que las ciudades no son sólo poblaciones, infraestructuras a la orilla de un río o a la cercanía del mar, las sociedades se conforman a partir de la participación de los habitantes; el lenguaje coloquial, las costumbres, la forma de habitar, la cultura, forma parte de una ciudad. Con todo esto se puede construir una marca que afiance en su estructura, una esencia de lo que es y la representa. Una marca ciudad es una herramienta utilizada por los países y ciudades por medio de sus gobiernos, para impulsar la economía, turismo e inversión en el sector público y privado y así poder mostrar todos sus atributos ante el mundo.

La obsolescencia de ciertas herramientas de la administración pública local, lleva la mirada hacia nuevas formas de gestión de lo público donde se expone la necesidad de integrar al ciudadano a dicho esquema. Con base en un recorrido por los tres momentos de la marca de ciudad, donde se aportan los ingredientes básicos para el desarrollo exitoso de esta herramienta, nos concentramos en la participación de la ciudadanía como una herramienta insoslayable. (Paz, 2008, p. 184).

Una marca ciudad es un canal en el que se ve reflejada la participación de la ciudadanía. Entre los distintos tipos de uso que se puede tener de ella, ya sea en eventos en la ciudad en los cuales se hace una gran presencia de marcaría, fundaciones públicas, espectáculos públicos, eventos culturales, lo cual crea posicionamiento en los usuarios del sello marcario de ciudad. La socióloga y publicitaria Capurro (2006) se refiere a la Marca Ciudad como una necesidad de diferenciación no sólo en infraestructura sino también en valores.
Añade que las infraestructuras no dejan de ser importantes pero se las da por supuestas en el desarrollo de la misma, pues una marca ciudad logra materializar los intangibles y competir por captar iniciativas que creen mejores oportunidades en sus ciudadanos.
El estudio en Argentina de la marca ciudad se ha desarrollado en la provincia de Buenos Aires, ha tomado en cuenta procesos exitosos como la Marca Tandil y Villa Gesell, donde se hace un estudio de las características, fortalezas y debilidades que se adquieren en los procesos en las ciudades argentinas, visto en tres pasos de análisis: creación, implementación y comparación de otras marcas.
En la Universidad Nacional del Centro de la Provincia de Buenos Aires, Calvento y Colombo (2009), desarrollaron una investigación sobre la marca ciudad.
Plantean que la marca ciudad es definida como una estrategia de gestión de imagen, que ha sido desarrollada en algunas ciudades importantes del mundo e indican que las marcas son administradas y coordinadas por políticas públicas, por el estado subnacional, es decir, por la unidad institucional o nivel del Poder Ejecutivo, componente de un gobierno en un Estado Nacional, como son sus ciudades, municipios, regiones u otros poderes locales. En su estudio comparan a las ciudades de Tandil y Villa Gesell, donde se señala que la marca de Villa Gesell se presenta muy sólida y sigue una metodología consistente con la creación de la marca país Argentina, e indican que mientras que la marca Tandil ha tenido éxito, sufre de fuertes críticas que la muestran como una marca que no hace referencia a la ciudad sino que establece una conexión entre la marca y el gobierno del intendente.
A su vez, Lorenzo y Calvento (2011) investigaron que la marca ciudad de Tandil, no se encuentra parcialmente definida por su marca turística, y que no cuenta con una gestión marcaria integral, que complete y difunda otros aspectos igualmente relevantes de la misma. Indican que la marca Tandil, no posee una orientación estratégica ya que no define sus atributos y no cuenta con los elementos de marketing de ciudades, para promover y generar diferenciación y posicionamiento integral tanto a nivel provincial regional, nacional e internacional.
Hacen referencia a que desde hace algunos años se promueve un proyecto marcario, bajo el lema "Tandil, lugar soñado" el cual está bien posicionado, sin embargo, son acciones enfocadas al turismo y sus precedentes se encuentran exclusivamente relacionados al sector, olvidando hacer referencia a sus valores, su identidad, su gente, su cultura, su educación, sus empresas o su potencial económico y productivo.
A partir de la metodología manejada por las autoras. Utilizaron como herramienta, las encuestas para generar respuestas en su investigación, a través de 25 temas claves que vinculan a la ciudad con el fin de relevar la imagen interna de Tandil, lo que les permitió lograr un análisis estratégico de la imagen interna y externa, y el reposicionamiento de la ciudad a nivel nacional, pero sin embargo a nivel internacional la imagen sigue siendo un poco difusa, y es conocida sólo por algunos países en lo que respecta a logros de personalidades tandilenses reconocidas en el exterior.
El proceso de desarrollo de la marca Mar Del Plata ha tenido un significativo crecimiento en el posicionamiento turístico y ha construido una fidelización de esta, ya que para los argentinos es uno de sus principales destinos turísticos en la época de verano. En la Universidad Nacional De Mar Del Plata, Biasone (2010) realizó el estudio del caso de la marca Mar Del Plata para reposicionarla. Allí indica que el sello marcario se puso en marcha en el año 1996 con un eslogan que contenía un lenguaje coloquial y amistoso. La investigadora plantea que su estudio es de tipo exploratorio y descriptivo, ya que el abordaje de su tema se realiza desde la comunicación institucional turística, a modo que permita conocer las causas que confluyeron y dieron origen a la marca como destino turístico. En su abordaje relata la creación, la evolución y el posicionamiento de la marca Mar Del Plata.
El trabajo de los investigadores: Fernández, Madoery, Gaveglio, Angelone, del Huerto Romero, en la Universidad Nacional de Rosario (1997), se basa en una estrategia que resalta la importancia de la competitividad territorial, por lo que hacen uso del marketing territorial o marketing de ciudades como una maniobra para definir la segmentación y el posicionamiento de la marca en la ciudad de Rosario.
Fernández y Paz en la Universidad Nacional de Quilmes (2005), realizaron un estudio que trata sobre el marketing de ciudades hacia una política pública de diseño y gestión de los signos de identificación de la ciudad. Comienzan haciendo una introducción desde los años 1990, como producto de una combinación de factores socioeconómicos, las modalidades de gestión urbanas experimentaron transformaciones que representaron un gran cambio en el desarrollo de las ciudades, en gran parte de características irreversibles. Aducen que en el marco de las reformas estructurales practicadas y el retiro del aparato estatal de la escena de las políticas sociales y protagonismo económico de las tres ultimas décadas, las estrategias de intervención han cambiado radicalmente, las exigencias actuales en materia de gobernabilidad, competitiva y calidad de vida, en ese sentido las políticas públicas orientadas a crear y fortalecer o reinstalar la marca de territorio se presenta como un poderoso activo de la gestión contemporánea en el camino del desarrollo de una imagen pública, interna y externa, de aceptación en referencia a la ciudad o región.
En su trabajo investigativo se analizan dos de los procesos, que ellos plantean como relevantes al momento de indagar en las causas y consecuencias de las transformaciones del sistema urbano mundial. Como primer punto proponen la adopción de nuevos enfoques de planificación y gestión urbana. En particular consideran el diseño de la imagen y los procesos de construcción de identidad en la definición de estrategias de desarrollo urbano. El segundo punto se centra en las nuevas demandas de saberes e instrumentos que participen a fortalecer los procesos de diseño y gestión de marca desde un enfoque que incorpore la creatividad e imaginación ciudadana a los conocimientos especializados de los técnicos en diseño y comunicación.
A modo de conclusión de toda su investigación, postulan la necesidad de ir más allá de los límites que se ha propuesto originalmente el marketing de ciudades con un enfoque de gestión urbana, ya que en este sentido se intenta ampliar las fronteras del campo de intervención del enfoque de marketing de ciudades en dirección a las problemáticas que consideran propias de la publicidad y la comunicación.
En su artículo, los investigadores abordan una de estas dimensiones, la marca ciudad diseño de las marca territoriales, debe ingresar en las agendas de políticas públicas, como una estrategia de fortalecimiento de los rasgos identitarios de las ciudades y regiones, con el objetivo de promover la localización de actividades productivas e intensificar los flujos turísticos. La marca ciudad es una herramienta para potenciar la devoción cívica de los actuales habitantes, y difundir las bondades de una ciudad entre potenciales residentes, para así enfrentar con éxito los desafíos complejos propios de la realidad urbana, incentivando la necesidad recurrir a enfoques que permiten activar el potencial creativo, que existe en todos los ámbitos de la vida urbana, de manera tal que los actores locales y ciudadanos se transformen en co-creadores de su futuro, fortaleciendo el desarrollo de la marca que se quiere para el futuro; mencionan que la gestión de marca para ciudad y su objetivo prioritario, es fomentar procesos de creación comunitaria de marca y valor de marca, donde se alcance a diseños consensuados de logo y eslogan en términos de un atributo o conjunto de atributos de identidad territorial.
Rodrigues L. (2010) investigó, el marketing territorial en el contexto del subdesarrollo: el caso de la periferia de la región metropolitana de Rio de Janeiro - Brasil. Su estudio se basa en la competencia, entre las ciudades asociadas a los efectos del proceso de globalización sobre el territorio, donde resalta que no quedan dudas sobre la incorporación del marketing territorial como una herramienta potente, para complementar el desarrollo de las ciudades. Sin embargo, cuestiona que las herramientas estratégicas que tuvieron éxito en las ciudades de países de gran economía como países europeos, sean aplicables en las circunstancias a las especificidades de un entorno territorial sudamericano, por lo que analiza bajo una perspectiva crítica las contribuciones teóricas de tres investigaciones de marketing territorial, para ser adaptadas a la realidad de las ciudades subdesarrolladas situadas a la periferia de la región metropolitana de Río de Janeiro.
Cordeiro Braga y Veiga Shibaki (2010), analizan y evalúan cómo los elementos turísticos de una metrópolis, en este caso, la avenida Paulista se destaca como un ícono turístico y se fortalece por el turismo de negocios. Plantean que el desarrollo de su investigación se divide en cuatro ejes fundamentales para su estudio que son el turismo urbano, metropolitano, de negocios y marketing de ciudades, este último favoreció la realización de un estudio exploratorio de los datos secundarios obtenidos, en documentos de organismos y asociaciones relacionadas con la gestión turística en São Paulo. Señalan que incluyeron en su estudio datos ganados en el trabajo de campo de los establecimientos comerciales, elementos culturales, información sobre la estructura hotelera y los atractivos ubicados en la avenida, de esa forma pudo probarse que el carácter del ícono, facilita la difusión de la oferta turística en la región.
Any Brito Leal Ivo (2011), estudió la intervención urbanística y la creación de ciudades en el mundial de fútbol Brasil 2014. En su artículo discute cómo las intervenciones contemporáneas de remodelaciones urbanas intensas y legitimadas han contribuido para la construcción de marca país, y su impacto en la ciudad y espacios, indica que los grandes eventos se convierten en nuevas estrategias de intereses económicos nacionales en un ámbito global, y las intervenciones urbanas pasan a ser clave, para la re significación de la nación en ese contexto.
Quien hace una definición entre marca de producto y marca país, donde la marca producto se asocia a gestión de venta y creación simbólica de producto, mientras que marca ciudad, se relaciona o se puede aplicar al marketing de ciudades y se refiere a la comercialización de un lugar para diversos turistas, inversionistas directos, habitantes y mercado de exportación de profesionales. La investigadora afirma que en ese caso las ciudades se toman como bienes de consumo inmersas en el turismo, la cultura y el entretenimiento entre otros sectores del mercado. Asimismo, pone como ejemplo a ciudades que se venden como productores en sectores públicos y privados de la industria turística nacional e internacional en la que nombra a Salvador en Brasil y Barcelona en España. Indica que según la definición de Simon Anaholt, el mayor desafío para la construcción de la imagen nacional fuerte y competitiva, es conseguir que las diversas formas de divulgación y los agentes, como los actores políticos produzcan mensajes coherentes y uniformes sobre el país, tanto para el público interno como externo, a fin de que las políticas se dirijan a transformar el país según esa imagen diferencial en el mercado mundial. Durante su proceso de desarrollo menciona que pensar en estado nación según marca país, es redefinir el estado como una corporación inmersa en el mercado contemporáneo, fuera del sentido político. Concreta de la misma manera que el estado estaría fundando gradualmente sus estrategias sobre el desarrollo de esos nuevos prototipos del mercado.
Haciendo un análisis de varios autores, Any Brito Leal Ivo (2010), plantea una hipótesis que sostiene que la adopción de nuevos valores en el mercado, como valores nacionales y los daños en los procesos políticos puede ir en varias direcciones, desde un vacío en la imagen creada y la realidad, hasta la dominación y direccionamiento de las políticas culturales. Añade que el Mundial de Fútbol 2014, en Brasil, consolida una nueva imagen del país y que es –"El Brasil que despega"– en el escenario global. Ya que el mundial es un evento de gran importancia que se ajusta a la mecánica de gestión con reputación nacional, que posibilita que los juegos tengan sedes en diferentes ciudades del país, afirma que más allá del marketing de lugares, se construye también una idea de Brasil de acuerdo en expectativas distintivas y se refiere, al intento de forjar elementos claramente identificables, como representaciones visiblemente reconocidas como brasileras, mediante las ciudades escogidas y presentadas como la cara de Brasil.
Agrega que la intención del gobierno brasileño va más allá de ser sede del Mundial 2014 y recibir a los turistas, ya que el evento construye un proceso para el futuro próximo, mostrando la modernización nacional, su capacidad y su fuerza económica, convirtiéndose en proyecto legítimo que busca una nueva posición del país en la geopolítica mundial.
Como conclusión indica que la grandeza y la intensidad del volumen de obras se imponen como objetivo no sólo por el rito y el impacto simbólico de las noticias, sino por los negocios involucrados. La ciudad se libera de las ataduras de la regulación de las leyes, paradójicamente, los nuevos instrumentos legales favorecen la permisividad del uso del espacio urbano y el avance de los intereses particulares sobre los colectivos, así el desarrollo del evento trae nuevos cuestionamientos a la construcción y trascendencia del espacio urbano y la ciudad en la búsqueda desenfrenada de forjar una ciudad global.
En la Universidad de Palermo, Vélez Jaramillo (2008), realizó una tesis titulada: Los circuitos culturales en la construcción de marca ciudad. Caso Medellín. Su estudio se refiere a la construcción de marca en Medellín. Menciona que para el trabajo de desarrollo de una marca ciudad es necesario contar con un equipo de profesionales en varios campos como arquitectos, administradores, sociólogos, empleados del sector publico, diseñadores, comunicadores, que tratan en última instancia, en la elaboración de una propuesta en la que se deben considerar una serie de cuestiones, en lo que refiere al diseño. De acuerdo a los estudios en que se basó, divide al trabajo en cuatro ramas, el diseño de lo simbólico y la comunicación visual, el diseño de materiales para la industria, el diseño de actividades y servicios programados en lo que respecta al uso de espacios públicos para eventos y relaciones públicas, y el diseño de sistemas y entornos físicos, en el que se refiere a la arquitectura y diseño forestal en áreas verdes. Indica que además del trabajo interdisciplinario debe destacarse la importancia del Estado, no sólo en cuanto a la financiación del proyecto, sino más bien para el despliegue de políticas entre las cuales puede ubicarse el crecimiento de una marca ciudad en la integración de los sectores privados.
El enfoque que aporta con su trabajo desde el diseño contempla conceptos tales como marca, submarca y marca ciudad, relacionados con otros conocimientos como es consumo cultural y política cultural, no obstante hace énfasis en que hará proyección de los circuitos culturales de la ciudad de Medellín. Así, plantea como hipótesis que el desarrollo de los circuitos culturales opera como elemento clave para la integración y la dinámica entre las submarcas que conforman la marca ciudad. Entre sus objetivos plantea definir los conceptos de marca, identidad de marca, y marca ciudad, como una aproximación a las manifestaciones culturales en la ciudad antes mencionada. Señala que el relevamiento de actividades culturales durante el segundo semestre de 2006 y el primer semestre del 2007, comprendió un período en el que comenzó a desarrollarse un plan de mercadeo en la ciudad 2006 - 2016 auspiciado por la Alcaldía de Medellín.
En ese sentido según afirma, debe destacarse el papel impulsor del estado municipal, los cambios en el desarrollo urbano registrados en la ciudad durante el año 2000, configurando el contexto en el cual el estado ha trabajado en el espacio público, como política de integración ciudadana y democratización del acceso y la participación en la vida cultural para los diversos sectores de la sociedad, en relación con el panorama de las actividades culturales, que actualmente se observan en Medellín. Su propuesta consiste en una serie de circuitos culturales para la ciudad, para hacer visible los lugares y establecer conexión entre ellos y principiar posibles recorridos a través de distintos medios: sistema de señalización, publicación de mapas y guías impresas, desarrollo y actualización permanente de su sitio web, resulta imprescindible una mirada analítica más amplia y contextual sobre la ciudad, en el espacio en el que se despliegan las actividades culturales.
Señala que en su trabajo investigativo, su hipótesis hizo hincapié en el carácter interdisciplinario que implica la construcción de una imagen marcaria. Uno de sus objetivos contempló el diseño de los conceptos de marca, submarca y marca ciudad, presentó toda una serie de consideraciones al concepto de marca y a la construcción de una marca ciudad y otros elementos que componen submarcas y circuitos culturales relacionando otros conceptos mencionados como consumo y política cultural. Consideró pertinente para el caso de Medellín la construcción de marcas alternas en la imagen marcaria de la ciudad que agrupen diferentes áreas de trabajo o de interés: educación, turismo, cultura, servicios sociales, salud y espacio público. En participación del sector público y privado, ya que por medio de las marcas alternas ayudan a estructurar y clasificar la oferta y servicios ofrecidos por ambos sectores.
Por su parte, Miguel Badillo (2010), realizó una investigación de City-marketing en ciudades intermedias: caso Palmira - Colombia. Su estudio plantea que se basa específicamente en su etapa de diseño, ya que su proyecto surgió de la necesidad de generar acciones diná- micas y metodológicas, a fin de implementar un mecanismo que permita el diseño de un instrumento de gestión y promoción de la ciudad. La población de su estudio se integró con habitantes de la ciudad, visitantes y dirigentes de diversos sectores del Valle del Cauca en Colombia. La metodología empleada se basó en un estudio documental y el uso de instrumentos, cualitativos y se apoyó en cartografías urbanas, estudio de imaginarios y mediciones cualitativas de comunicación publicitaria, por lo cual para su realización, el investigador estableció un eje conceptual para la implementación de un plan de city-marketing en Palmira y una segunda fase donde desarrolló la sensibilización, la caracterización de la ciudad, los lineamientos estratégicos y los parámetros para la construcción de la marca y el diseño del plan de comunicación.
Su proyecto inició en el año 2003 donde a través del Centro Integrado para el Desarrollo de la Investigación (CIDI), conjuntó con un equipo de estudiantes liderados por un docente, quienes estructuraron el proyecto plataforma de posicionamiento Palmira hasta el 2006. Luego pasa al programa de publicidad y es continuado por un nuevo grupo de estudiantes dirigidos por una docente quienes estructuran la primera fase que es la auditoría de la imagen Palmira, para el desarrollo de un proyecto de citymarketing.
Menciona que durante el año 2007 el grupo de investigación publicitaria retomó el tema y realizó una investigación documental, partiendo de los resultados que existían en la misma universidad de estudios anteriores, tomando en cuenta un tema de gran importancia para su caso, por lo cual el investigador indica que la primera fase fue la visualización del tema. En el año 2009 se avanzó en una segunda fase, que fue el proceso de oficialización, donde trabajó en una propuesta integrada como parte de las diversas acciones que el actual gobierno implementaría en el plan de desarrollo.
En la Universidad de Palermo, Carlos Calle (2008), desarrolló un estudió basado en la marca ciudad de Cuenca como un elemento de participación social. Su estudió está basado en la ciudad de Cuenca que es la tercera ciudad más importante del Ecuador y para ello en su introducción se refiere al actual contexto de la globalización que propicia nuevos escenarios, para la comunicación, las exportaciones y el turismo, por lo cual en la ciudad antes mencionada a través de su alcalde se implementó una estrategia de marca ciudad, que comprende un elemento gráfico identificador y una campaña de posicionamiento como punto turístico enfocado en un diferenciador que posee ya que es patrimonio cultural de la humanidad, compuesto por elementos tangibles e intangibles.
Para ello se enfoca en establecer un concepto más claro de marca ciudad, analizando a la misma desde el acoplamiento de la globalización y la mundialización para tomarla como herramienta para fomentar la participación social. Analiza la implementación y promoción de la marca estudiada y su contribución en el marco del turismo, ya que en su trabajo se ejecuta un estudio estructural de los principios que conforman la marca ciudad y su relación con el diseño, su importancia, su interacción con el desarrollo diario de la ciudad. Resalta la importancia de un sello marcario para la misma, dirigiéndose al municipio con miras a mejorar el uso y la actual promoción de la propuesta para reconocerla como un instrumento social que contribuya a la mejor calidad de vida. En su hipótesis plantea desarrollar una estrategia mucho mejor de lo que funcionaba hasta el 2005, donde no se cumplía lo que tenia que dar de una Marca Ciudad, para lo cual piensa posicionarla e instaurarla como herramienta comunicativa real; como elemento gráfico y no como símbolo. Para posicionar a la ciudad de Cuenca como un destino turístico debido a que en la ciudad el turismo representa un rubro muy importante, ya que según menciona existe un estudio que afirma que un 51,7% del ingreso económico proviene del turismo. A través de la investigación se trata no sólo de explotar la parte turística sino también la comercial y lograr la integración de la ciudadanía para el desarrollo de la marca ciudad.
Como aporte se integra su estudio para mejorar la promoción de la propuesta para reconocer la marca ciudad como instrumento social.
En España, Sánchez Moya (2010), efectuó una tesis sobre Barcelona y Estambul y la imagen de la ciudad como valor de cambio. Introduce el tema haciendo una introducción breve al concepto de marca ciudad y su importancia, para luego introducir al lector en la concepción de marca Barcelona. Afirma que los proyectos que se han llevado a cabo en la ciudad la han transformado en una marca. Como prueba de esa transformación aduce que la película de Woody Allen que se filmó en la ciudad de Condal, se presentó simplemente como "Vicky - Cristina Barcelona" entendiéndose la palabra Barcelona como un modelo de ciudad, como una marca. Mediante una construcción visual del territorio, Barcelona se presenta a través de distintas marcas, con la intención de atraer turistas y capital extranjero a la ciudad. En su estudio escogió tres de las marcas de Barcelona que estuvieron presentes durante las cuatro últimas décadas, desde principio de los años 1980 hasta el año 2010.
Comienza por hacer el análisis de la marca Barcelona Mediterránea, explicando el concepto que da inicio al nombre para el desarrollo de la misma, como una ciudad mediterránea donde explica brevemente los proyectos que se llevaron a cabo en el litoral de Barcelona con el fin de abrir la ciudad al mar. Siguiendo con la marca Barcelona fue reinventada y trata de las transformaciones urbanas que se desarrollaron desde la democracia, con el fin de convertir a la ciudad en una metrópolis moderna, como un modelo Barcelona.
En el mismo país, Paz Balibrea (2004), efectuó una investigación sobre el concepto de modelo de Barcelona. Indica que la idea es utilizada de forma dominante en los círculos internacionales de urbanistas, arquitectos, geógrafos, sociólogos, políticos municipales y expertos en políticas culturales, para definir lo que llama una estrategia de regeneración urbana redefinida. Considera que el modelo Barcelona es positivo y se considera como un gran éxito de las resoluciones urbanísticas adoptadas en diseño y arquitectura tenidas como de alta calidad formal y estética. Se propuso hacer un recorrido crítico por la historia del modelo hasta esos momentos, y muestra que el consenso entregado y/o apático que ha caracterizado la actitud de la mayoría de los ciudadanos ante su ciudad y especialistas ante su objeto de estudio manifiesta que existen signos de resquebrajamiento.
Su aporte proviene de la historia y la crítica cultural por lo cual integró dos elementos de análisis en el debate crítico sobre la ciudad, aunque los presenta por separado, se necesitan mutuamente en la argumentación. Uno es la importancia del estudio de la cultura como eje transversal que recorre y da sentido a las transformaciones que constituyen el modelo de Barcelona, y el otro elemento a consideración es su hipótesis, que propone la utilidad crí- tica de distinguir los conceptos de modelo y marca, a la hora de definir la naturaleza de las transformaciones urbanísticas de la ciudad, a su entendimiento y uso desde la transición.
La investigadora se basa en que para construir la imagen modelo de Barcelona, el cine hizo un gran aporte en el modelo de construcción de Barcelona. Por ello en la medida en que escogió seis películas de directores españoles, norteamericanos y europeos, el cine pertenece a las industrias culturales que en los últimos años han aportado al desarrollo de dicho modelo. Indica que Barcelona ha experimentado un crecimiento exponencial desde la segunda mitad de los años noventa. En la ciudad se incorporó un organismo institucional que da soporte a la idea de introducir, el poder de la difusión de la imagen en la ciudad, por medio de espectáculos gratuitos en salas de cines públicas. Lo que crea uno de los medios más eficaces de propaganda infundada en la ciudad y su gran difusión se convierte en un agente ideológico, capaz de contribuir eficazmente en la construcción de un modelo a seguir.
Luego del análisis de las películas de varios directores, la investigadora hace énfasis en que no todas las muestras de cine pueden crear un modelo eficaz, he indica que los aspectos más progresistas en el origen del modelo Barcelona, que provenían de configuraciones socio-políticas catalanas y españolas heredadas del empuje del fin de la dictadura, no deben llevar a los ciudadanos ni a la negación, ni a la nostalgia de su existencia, ya que desde y gracias a aquella época, Barcelona tiene elementos urbanismo democratizante e integrador que siguen presentes en el espacio social y constituido de la ciudad.
La ciudad se regeneró bajo la premisa de conectar la nueva urbanidad con una memoria colectiva arquitectónica muy parcial, de la gran burguesía catalana de la que muchos de los agentes del modelo Barcelona eran, en definitiva, herederos; por no hablar de cómo la agenda terciaria impuesta sobre la ciudad, desvirtúa y resignifica, pero no hace desaparecer lo más socialmente progresista del modelo, vaciándolo en marca. Es por ello que deduce que el modelo ha muerto ahogado por las imposiciones de la marca. Sin embargo, aduce que se recuperó el concepto de modelo como una particular forma de entender la relación con el espacio urbano que consiste en afirmar el derecho de todos los ciudadanos a la ciudad.
Richard Eugenie (2008), expone un tema que no tiene que ver con la marca ciudad, pero aborda un punto que es significativo para el proyecto de investigación, con un tema titulado Álvaro Uribe: la comunicación por la imagen. Principios de marketing político. Menciona que en Colombia en cercanías de los procesos de elección presidencial en el año 2006, Álvaro Uribe Vélez, se lanzaba a la reelección. Los habitantes de Colombia tenían al candidato presidencial como un personaje de imagen política bien fuerte por la construcción sólida a través de los medios de comunicación, en la que se aplicó una campa- ña permanente haciendo uso de los medios de comunicación masivos a su alcance tanto tradicionales, audiovisuales y directos con una posición que lo privilegiada a pesar de las garantías que ofrece la Ley colombiana. Su campaña se dividió en dos etapas en la cual la primera fase, se recolectaron testimonios por parte de los colombianos en apoyo a Uribe haciendo notar en apoyo popular para luego ser utilizados con fines electorales, en su segunda fase se procede a crear la estrategia de comunicación visual para los afiches de campaña, a través del website www.adelantepresidente.com en la que los votantes podían elegir la imagen de campaña por medio de votación. La importancia en el uso de todos estos medios influyeron en la agenda mediática en los meses siguientes, el autor afirma que la construcción de todas estas estrategias construyeron un amplio dispositivo de persuasión a los futuros electores. Es por ello que Eugenie (2008), propone en su investigación un estudio semiológico de los afiches de campaña, para apreciar el alcance que tuvieron las herramientas de marketing político, para explicar el éxito obtenido por el actor político durante el 2002 y la facilidad con la que logró ser presidente en el 2006, examinando las imágenes de campaña en cinco etapas, para lo cual analizó la construcción del sentido de la imagen, las relaciones interpersonales, el relato, modalidades de acción y por último pero no menos importante las pasiones y sensaciones que producían los mensajes en la población. En su análisis de las imágenes reconoce todos los elementos gráficos contenidos en el afiche de campaña en el que destaca la construcción de la imagen en cuanto a simbologías y en la discursiva aplicada en el texto. En todas las etapas de su investigación de la imagen campaña presidencial de Uribe, el autor concluye con que todos los elementos gráficos no fueron puestos por casualidad, ya que la conformación de los mismos construye una realidad que resalta los valores del actor político.
Por otro lado Leyvi Castro Martínez (2012), estudió el caso el caso del presidente Barack Obama, a través de las técnicas del marketing político utilizadas en los medios de comunicación directos, como son las redes sociales, website, mensajes de texto, correo electrónico, etc., con el fin de llegar a más adeptos logrando posicionar al candidato como un producto a partir de toda la constante mediatización, logrando consolidar el voto duro e incursionando en una nueva forma de hacer política.
En el estado de la cuestión realizado se da cuenta de la ausencia de trabajos que aborden la problemática especifica de este proyecto, por tanto se cree que con el desarrollo de esta investigación se contribuirá, a la construcción de una marca ciudad que cumpla con los objetivos que se deben tener para crear una marca que aporte a la edificación de nuevas marcas. Con los interrogantes abiertos en este proyecto de investigación, sobre el tema específico de la marca ciudad de Buenos Aires con las siguientes preguntas ¿en qué punto la marca ciudad de Buenos Aires se unifica con la marca partidaria del "PRO"? y ¿qué efectos tiene la mediatización de un actor político en una marca pública?
Si bien en los trabajos mencionados se abordan las estrategias para la construcción de una marca ciudad y el desarrollo que se ha venido proyectando, muy poco se tiene en consideración acerca del tipo de estrategia que usan los administradores o coordinadores políticos, para el tratamiento del sello marcario de la ciudad Autónoma de Buenos Aires.

Línea temática
Esta investigación se encuentra enmarcada en dos líneas temáticas: 1) Medios y estrategias de comunicación. 2) Diseño y producción de objetos, espacios e imágenes.
Además está como objeto el estudio la marca de la Ciudad Autónoma de Buenos Aires entre el periodo (2007-2015) con el fin de evidenciar una estrategia de marketing político, en el concepto de una marca ciudad unificando la comunicación pública con la comunicación partidaria.
Lo que Brindará soporte a nuevas investigaciones y tratamientos de futuras marcas, en las que la ideología política no intervenga en su totalidad para el desarrollo y creación de las mismas, así de esta forma pueden evolucionar durante cada período de gobierno y continúe siendo administrada por el siguiente gobierno que la dirija.

Orden de trabajo y justificación

Capítulo I: La Comunicación Política desde los medios de comunicación masivos.
En este capítulo, se aborda el tema en referencia al papel que ejercen los medios de comunicación masivos en la comunicación política. Iniciando en la diferenciación entre lo público y lo partidario, para posteriormente dejar en claro la marca pública, la marca partidaria y la vinculación que estas tienen en la participación con los habitantes, como un comportamiento democrático por parte de las políticas públicas de los gobiernos pertinentes. A su vez en este capitulo se pone en contexto, acerca de la comunicación masiva y la persuasión que esta ejerce en el elector dando paso a la opinión pública y la transformación que sufre con los medios de comunicación masivos (llamada opinión publicada), la cual interviene en la agenda setting de los actores políticos y por medio de ésta se da la construcción de la imagen de la realidad social, que puede persuadir al elector de forma directa o indirecta sobre su entorno social.
A modo de cierre, para este capítulo se presentan las campañas políticas en la Argentina y la participación de la prensa en los gobiernos democráticos, a comienzos del año 1983, como un proceso de vinculación de los medios de comunicación masivos con la política.

Capítulo II: Estrategias de marketing político.
En este capítulo se exponen las estrategias que se despliegan en el marketing político para la comunicación electoral, en el que se definen las nociones de esta disciplina, mencionando términos como construcción de la imagen política y como afecta ésta en la percepción del elector. Diferenciación entre marketing comercial y marketing político. Candidato y posicionamiento que definen el papel del candidato y la importancia del posicionamiento en el marketing político, el discurso en la disciplina mencionada y cómo funciona en las estrategias de campaña. A su vez se nombran las características de la publicidad política y las campañas electorales. Asimismo las herramientas del marketing político entre las que destacan las herramientas tradicionales, audiovisuales y de marketing directo, por último el elector y rol en el centro de todas estrategias que se mencionan.

Capítulo III: Construyendo la marca en la ciudad.
En este capítulo se define el concepto de marca e introduce al término de marca ciudad, qué es, y la importancia de sus públicos tanto interno como externo, el funcionamiento de las marcas de ciudad y por medio de quién se gestionan, la construcción de las marcas territoriales como un término que también se les da a estas estrategias de sello marcario, el city-marketing y sus estrategias en la marca ciudad, estrategias de reconstrucción de marcas que apostaron por la reconstrucción desde lo social para posteriormente fortalecerse en su estrategia marcaria, casos que han transcendido como: Berlín, Barcelona, Curitiba y Medellín al mismo tiempo que se hacen referencia de dos casos de comunicación de sello marcario en Argentina, ya que el caso de estudio se sitúa en el país mencionado.

Capítulo IV: Desarrollo Metodológico.
En este capítulo se desarrollan las herramientas metodológicas del tema de investigación que es de tipo descriptivo y de carácter cualitativo, en el cual se desarrollarán entrevistas en profundidad y un análisis de contenido de los elementos de comunicación de la marca pública con la marca partidaria, con lo que se busca comprobar la hipótesis y los objetivos de la investigación.

Introducción El actual desarrollo y crecimiento de las ciudades, crea la necesidad de que la ciudad no sólo sea un espacio en el que residan sus habitantes sino un lugar en el que se ven plasmados los cambios que surgen en ella; es por ello que constantemente se implementan fuentes para el turismo y la exportación de productos que generen el crecimiento económico. Debido a esto y como contribución al desarrollo, se crean estrategias de comunicación visual para representar una ciudad por medio de un sello que la identifique y diferencie de otras locaciones de su región y del planeta. En la Ciudad Autónoma de Buenos Aires, teniendo en consideración a los tres últimos jefes de gobierno, partiendo desde el periodo del año 2000 al 2015 se ha intentado establecer una marca ciudad, que en todos los casos, ha terminado siendo interpretada por sus ciudadanos como una marca política. Desde la gestión de Aníbal Ibarra (2000-2003), siendo reelecto durante el siguiente período el cual no logró terminar ya que fue destituido de su cargo por un juicio político en marzo del 2006, manejó la marca ciudad con los colores de su partido de gobierno, Frente Progresista Popular. Época en que en el cual la ciudad se vistió con los colores naranja y negro y cuyo signo distintivo se reconoció como "gobBsAs" desplegada por toda la ciudad. Luego de la destitución de Ibarra asume la gestión de gobierno, Jorge Telerman haciendo leves cambios en la marca que se había instaurada por el líder anterior, por razones de tiempo. Su marca la cual fue considerada un sello marcario multicolor con el nombre "a+BA" y trabajó bajo el claim "actitudBsAs". A su vez Mauricio Macri quien fue electo como jefe de gobierno por dos ocasiones entre el (2007-2015), impulsó una nueva propuesta de marca ciudad, desde su primer periodo con los colores de su partido de gobierno Propuesta Republicana (PRO), la cual fue y ha sido impulsada durante el período mencionado por la agencia de publicidad Don, dando los primeros pasos con el claim "Haciendo Buenos Aires" hasta su evolución final que es "En todo estás vos". Según el manual de identidad corporativa de la marca ciudad de Buenos Aires "El nuevo claim de la ciudad proviene de la evolución del anterior 'Haciendo Buenos Aires'. 'En todo estás vos' significa que cada plan de gestión, cada obra realizada o cada evento que se haga, está hecho pensando en cada uno de los vecinos" (Manual de normas / de identidad visual institucional, 2014, p. 51). Entonces para su manual de identidad corporativa la marca ciudad, está trabajada pensando en cada uno de sus habitantes, es por ello que se los incluye en su comunicación. A partir de los análisis que se exponen durante la introducción de este tema de investigación, lo que se busca es analizar la marca ciudad de Buenos Aires como una estrategia de gobierno, para hacer difusión política durante todo el periodo del proceso ejecutivo. Planteamiento del problema Una marca ciudad, es una estrategia de marketing y comunicación para posicionar una ciudad como un lugar turístico y atraer la inversión interna como extranjera. Trabaja como un elemento de identificación, creando un certificado de calidad de un producto o servicio. Estas marcas son administradas o dirigidas por municipios o instituciones públicas trabajando en conjunto con sus habitantes y empresas privadas. La ciudad de Buenos Aires desde el año 2007 cuenta con una nueva marca, siendo una ventaja competitiva, considerando la efectividad que han tenido otras ciudades en el mundo que han desarrollado su activo intangible más preciado. Dicha marca es dirigida por el gobernador de la ciudad Mauricio Macri. El autor de la investigación antes de visitar la Capital Federal de Argentina, observó a través de la televisión pagada, un spot promocional de la ciudad de Buenos Aires invitando al turista a conocerla. En dicho spot que tenía como fondo de la canción de Palito Ortega "un muchacho como yo" en el cual aparecía el gobernador de la ciudad Mauricio Macri, haciendo una invitación para Buenos Aires como la ciudad de todos, por su diversidad cultural y su gente, llamando mucho la atención del autor, por esta estrategia de marketing turístico de ciudad. Al llegar a Buenos Aires lo que más le llamo la atención fueron los colores amarillo y negro que se utilizaban en la marca, llevándolo a generarse una primera pregunta que fue ¿por qué del uso de estos colores? A su vez, al indagar entre los habitantes de la Capital Federal, la percepción de casi todos a los que se le consultó desde su punto de vista empírico fue que era una propaganda política del (PRO). Fue a partir de ello, que surgió la iniciativa de analizar la marca ciudad de Buenos Aires como una estrategia de gobierno, para hacer propaganda política durante todo el periodo del proceso ejecutivo, haciendo presencia del actor político y sus obras en la ciudad a manera de comunicar a los ciudadanos aquí "en todo estoy yo" en vez de su claim que dice "en todo estás vos". Es por esto, que durante el proceso de esta investigación se vincula a la marca ciudad de Buenos Aires como una estrategia de marketing de ciudad para posicionar a su actor principal, que en este caso es el gobernador. Siendo así que en este sentido se lo puede definir como marketing político a la "(…) disciplina orientada al estudio de los procesos de los intercambios entre las entidades políticas, su entorno, y entre ellas mismas, con particular referencia al posicionamiento de estas entidades y sus comunicaciones". (Carlín, 2006, p. 7). Lo que se busca por medio del marketing político es posicionar a un actor electoral, para ganar adeptos a una ideología política y conseguir a través de los ellos un lugar en el manejo político de un sector de la población. Este tema de investigación examina la comunicación gráfica de los contenidos de la marca ciudad de Buenos Aires "en todo estás vos" desde el período 2007 al 2015, con el fin de diferenciar una estrategia de marketing político con el concepto de una marca ciudad en la que la participación política no se vea reflejada en su totalidad con la identidad de la marca. Por lo que surge la pregunta de investigación que es: ¿en qué punto la marca ciudad de Buenos Aires se unifica con la marca partidaria del "PRO"? y si es posible contestar también ¿qué efectos tiene la mediatización de un actor político en una marca pública?, razón por la cual entre sus principales objetivos generales está, indagar la función de la marca ciudad de Buenos Aires (2007-2015) y su vinculación como una marca partidaria. Asimismo, evaluar la participación del actor político en ésta marca ciudad y cómo afecta la mediatización en un proceso de campaña. Sus objetivos específicos tratan de establecer la vinculación de la comunicación pública con la comunicación partidaria; establecer los principios que fundamentan el diseño y propuesta de la marca ciudad Buenos Aires; relacionar los elementos de la comunicación gráfica de la marca ciudad con las estrategias de marketing político del "PRO"; fundamentar cómo a través de una comunicación pública se puede persuadir a los habitantes. Por lo que se propone como hipótesis que: El partido "Propuesta Republicana" "PRO" identificó los elementos de diseño y comunicación gráfica de la marca ciudad de Buenos Aires (2007-2015) con una estrategia de marketing político, y de este modo unificó la comunicación partidaria con la comunicación pública. Estado de la cuestión Esta investigación surge en la Ciudad Autónoma de Buenos Aires, con respecto al uso de la marca ciudad Buenos Aires "en todo estas vos". El gobernador Mauricio Macri está al frente de la marca ciudad y su comunicación, en los distintos eventos realizados por la gobernación de la Ciudad. Manuel Cruz (2013), menciona que las ciudades no son sólo poblaciones, infraestructuras a la orilla de un río o a la cercanía del mar, las sociedades se conforman a partir de la participación de los habitantes; el lenguaje coloquial, las costumbres, la forma de habitar, la cultura, forma parte de una ciudad. Con todo esto se puede construir una marca que afiance en su estructura, una esencia de lo que es y la representa. Una marca ciudad es una herramienta utilizada por los países y ciudades por medio de sus gobiernos, para impulsar la economía, turismo e inversión en el sector público y privado y así poder mostrar todos sus atributos ante el mundo. La obsolescencia de ciertas herramientas de la administración pública local, lleva la mirada hacia nuevas formas de gestión de lo público donde se expone la necesidad de integrar al ciudadano a dicho esquema. Con base en un recorrido por los tres momentos de la marca de ciudad, donde se aportan los ingredientes básicos para el desarrollo exitoso de esta herramienta, nos concentramos en la participación de la ciudadanía como una herramienta insoslayable. (Paz, 2008, p. 184). Una marca ciudad es un canal en el que se ve reflejada la participación de la ciudadanía. Entre los distintos tipos de uso que se puede tener de ella, ya sea en eventos en la ciudad en los cuales se hace una gran presencia de marcaría, fundaciones públicas, espectáculos públicos, eventos culturales, lo cual crea posicionamiento en los usuarios del sello marcario de ciudad. La socióloga y publicitaria Capurro (2006) se refiere a la Marca Ciudad como una necesidad de diferenciación no sólo en infraestructura sino también en valores. Añade que las infraestructuras no dejan de ser importantes pero se las da por supuestas en el desarrollo de la misma, pues una marca ciudad logra materializar los intangibles y competir por captar iniciativas que creen mejores oportunidades en sus ciudadanos. El estudio en Argentina de la marca ciudad se ha desarrollado en la provincia de Buenos Aires, ha tomado en cuenta procesos exitosos como la Marca Tandil y Villa Gesell, donde se hace un estudio de las características, fortalezas y debilidades que se adquieren en los procesos en las ciudades argentinas, visto en tres pasos de análisis: creación, implementación y comparación de otras marcas. En la Universidad Nacional del Centro de la Provincia de Buenos Aires, Calvento y Colombo (2009), desarrollaron una investigación sobre la marca ciudad. Plantean que la marca ciudad es definida como una estrategia de gestión de imagen, que ha sido desarrollada en algunas ciudades importantes del mundo e indican que las marcas son administradas y coordinadas por políticas públicas, por el estado subnacional, es decir, por la unidad institucional o nivel del Poder Ejecutivo, componente de un gobierno en un Estado Nacional, como son sus ciudades, municipios, regiones u otros poderes locales. En su estudio comparan a las ciudades de Tandil y Villa Gesell, donde se señala que la marca de Villa Gesell se presenta muy sólida y sigue una metodología consistente con la creación de la marca país Argentina, e indican que mientras que la marca Tandil ha tenido éxito, sufre de fuertes críticas que la muestran como una marca que no hace referencia a la ciudad sino que establece una conexión entre la marca y el gobierno del intendente. A su vez, Lorenzo y Calvento (2011) investigaron que la marca ciudad de Tandil, no se encuentra parcialmente definida por su marca turística, y que no cuenta con una gestión marcaria integral, que complete y difunda otros aspectos igualmente relevantes de la misma. Indican que la marca Tandil, no posee una orientación estratégica ya que no define sus atributos y no cuenta con los elementos de marketing de ciudades, para promover y generar diferenciación y posicionamiento integral tanto a nivel provincial regional, nacional e internacional. Hacen referencia a que desde hace algunos años se promueve un proyecto marcario, bajo el lema "Tandil, lugar soñado" el cual está bien posicionado, sin embargo, son acciones enfocadas al turismo y sus precedentes se encuentran exclusivamente relacionados al sector, olvidando hacer referencia a sus valores, su identidad, su gente, su cultura, su educación, sus empresas o su potencial económico y productivo. A partir de la metodología manejada por las autoras. Utilizaron como herramienta, las encuestas para generar respuestas en su investigación, a través de 25 temas claves que vinculan a la ciudad con el fin de relevar la imagen interna de Tandil, lo que les permitió lograr un análisis estratégico de la imagen interna y externa, y el reposicionamiento de la ciudad a nivel nacional, pero sin embargo a nivel internacional la imagen sigue siendo un poco difusa, y es conocida sólo por algunos países en lo que respecta a logros de personalidades tandilenses reconocidas en el exterior. El proceso de desarrollo de la marca Mar Del Plata ha tenido un significativo crecimiento en el posicionamiento turístico y ha construido una fidelización de esta, ya que para los argentinos es uno de sus principales destinos turísticos en la época de verano. En la Universidad Nacional De Mar Del Plata, Biasone (2010) realizó el estudio del caso de la marca Mar Del Plata para reposicionarla. Allí indica que el sello marcario se puso en marcha en el año 1996 con un eslogan que contenía un lenguaje coloquial y amistoso. La investigadora plantea que su estudio es de tipo exploratorio y descriptivo, ya que el abordaje de su tema se realiza desde la comunicación institucional turística, a modo que permita conocer las causas que confluyeron y dieron origen a la marca como destino turístico. En su abordaje relata la creación, la evolución y el posicionamiento de la marca Mar Del Plata. El trabajo de los investigadores: Fernández, Madoery, Gaveglio, Angelone, del Huerto Romero, en la Universidad Nacional de Rosario (1997), se basa en una estrategia que resalta la importancia de la competitividad territorial, por lo que hacen uso del marketing territorial o marketing de ciudades como una maniobra para definir la segmentación y el posicionamiento de la marca en la ciudad de Rosario. Fernández y Paz en la Universidad Nacional de Quilmes (2005), realizaron un estudio que trata sobre el marketing de ciudades hacia una política pública de diseño y gestión de los signos de identificación de la ciudad. Comienzan haciendo una introducción desde los años 1990, como producto de una combinación de factores socioeconómicos, las modalidades de gestión urbanas experimentaron transformaciones que representaron un gran cambio en el desarrollo de las ciudades, en gran parte de características irreversibles. Aducen que en el marco de las reformas estructurales practicadas y el retiro del aparato estatal de la escena de las políticas sociales y protagonismo económico de las tres ultimas décadas, las estrategias de intervención han cambiado radicalmente, las exigencias actuales en materia de gobernabilidad, competitiva y calidad de vida, en ese sentido las políticas públicas orientadas a crear y fortalecer o reinstalar la marca de territorio se presenta como un poderoso activo de la gestión contemporánea en el camino del desarrollo de una imagen pública, interna y externa, de aceptación en referencia a la ciudad o región. En su trabajo investigativo se analizan dos de los procesos, que ellos plantean como relevantes al momento de indagar en las causas y consecuencias de las transformaciones del sistema urbano mundial. Como primer punto proponen la adopción de nuevos enfoques de planificación y gestión urbana. En particular consideran el diseño de la imagen y los procesos de construcción de identidad en la definición de estrategias de desarrollo urbano. El segundo punto se centra en las nuevas demandas de saberes e instrumentos que participen a fortalecer los procesos de diseño y gestión de marca desde un enfoque que incorpore la creatividad e imaginación ciudadana a los conocimientos especializados de los técnicos en diseño y comunicación. A modo de conclusión de toda su investigación, postulan la necesidad de ir más allá de los límites que se ha propuesto originalmente el marketing de ciudades con un enfoque de gestión urbana, ya que en este sentido se intenta ampliar las fronteras del campo de intervención del enfoque de marketing de ciudades en dirección a las problemáticas que consideran propias de la publicidad y la comunicación. En su artículo, los investigadores abordan una de estas dimensiones, la marca ciudad diseño de las marca territoriales, debe ingresar en las agendas de políticas públicas, como una estrategia de fortalecimiento de los rasgos identitarios de las ciudades y regiones, con el objetivo de promover la localización de actividades productivas e intensificar los flujos turísticos. La marca ciudad es una herramienta para potenciar la devoción cívica de los actuales habitantes, y difundir las bondades de una ciudad entre potenciales residentes, para así enfrentar con éxito los desafíos complejos propios de la realidad urbana, incentivando la necesidad recurrir a enfoques que permiten activar el potencial creativo, que existe en todos los ámbitos de la vida urbana, de manera tal que los actores locales y ciudadanos se transformen en co-creadores de su futuro, fortaleciendo el desarrollo de la marca que se quiere para el futuro; mencionan que la gestión de marca para ciudad y su objetivo prioritario, es fomentar procesos de creación comunitaria de marca y valor de marca, donde se alcance a diseños consensuados de logo y eslogan en términos de un atributo o conjunto de atributos de identidad territorial. Rodrigues L. (2010) investigó, el marketing territorial en el contexto del subdesarrollo: el caso de la periferia de la región metropolitana de Rio de Janeiro - Brasil. Su estudio se basa en la competencia, entre las ciudades asociadas a los efectos del proceso de globalización sobre el territorio, donde resalta que no quedan dudas sobre la incorporación del marketing territorial como una herramienta potente, para complementar el desarrollo de las ciudades. Sin embargo, cuestiona que las herramientas estratégicas que tuvieron éxito en las ciudades de países de gran economía como países europeos, sean aplicables en las circunstancias a las especificidades de un entorno territorial sudamericano, por lo que analiza bajo una perspectiva crítica las contribuciones teóricas de tres investigaciones de marketing territorial, para ser adaptadas a la realidad de las ciudades subdesarrolladas situadas a la periferia de la región metropolitana de Río de Janeiro. Cordeiro Braga y Veiga Shibaki (2010), analizan y evalúan cómo los elementos turísticos de una metrópolis, en este caso, la avenida Paulista se destaca como un ícono turístico y se fortalece por el turismo de negocios. Plantean que el desarrollo de su investigación se divide en cuatro ejes fundamentales para su estudio que son el turismo urbano, metropolitano, de negocios y marketing de ciudades, este último favoreció la realización de un estudio exploratorio de los datos secundarios obtenidos, en documentos de organismos y asociaciones relacionadas con la gestión turística en São Paulo. Señalan que incluyeron en su estudio datos ganados en el trabajo de campo de los establecimientos comerciales, elementos culturales, información sobre la estructura hotelera y los atractivos ubicados en la avenida, de esa forma pudo probarse que el carácter del ícono, facilita la difusión de la oferta turística en la región. Any Brito Leal Ivo (2011), estudió la intervención urbanística y la creación de ciudades en el mundial de fútbol Brasil 2014. En su artículo discute cómo las intervenciones contemporáneas de remodelaciones urbanas intensas y legitimadas han contribuido para la construcción de marca país, y su impacto en la ciudad y espacios, indica que los grandes eventos se convierten en nuevas estrategias de intereses económicos nacionales en un ámbito global, y las intervenciones urbanas pasan a ser clave, para la re significación de la nación en ese contexto. Quien hace una definición entre marca de producto y marca país, donde la marca producto se asocia a gestión de venta y creación simbólica de producto, mientras que marca ciudad, se relaciona o se puede aplicar al marketing de ciudades y se refiere a la comercialización de un lugar para diversos turistas, inversionistas directos, habitantes y mercado de exportación de profesionales. La investigadora afirma que en ese caso las ciudades se toman como bienes de consumo inmersas en el turismo, la cultura y el entretenimiento entre otros sectores del mercado. Asimismo, pone como ejemplo a ciudades que se venden como productores en sectores públicos y privados de la industria turística nacional e internacional en la que nombra a Salvador en Brasil y Barcelona en España. Indica que según la definición de Simon Anaholt, el mayor desafío para la construcción de la imagen nacional fuerte y competitiva, es conseguir que las diversas formas de divulgación y los agentes, como los actores políticos produzcan mensajes coherentes y uniformes sobre el país, tanto para el público interno como externo, a fin de que las políticas se dirijan a transformar el país según esa imagen diferencial en el mercado mundial. Durante su proceso de desarrollo menciona que pensar en estado nación según marca país, es redefinir el estado como una corporación inmersa en el mercado contemporáneo, fuera del sentido político. Concreta de la misma manera que el estado estaría fundando gradualmente sus estrategias sobre el desarrollo de esos nuevos prototipos del mercado. Haciendo un análisis de varios autores, Any Brito Leal Ivo (2010), plantea una hipótesis que sostiene que la adopción de nuevos valores en el mercado, como valores nacionales y los daños en los procesos políticos puede ir en varias direcciones, desde un vacío en la imagen creada y la realidad, hasta la dominación y direccionamiento de las políticas culturales. Añade que el Mundial de Fútbol 2014, en Brasil, consolida una nueva imagen del país y que es –"El Brasil que despega"– en el escenario global. Ya que el mundial es un evento de gran importancia que se ajusta a la mecánica de gestión con reputación nacional, que posibilita que los juegos tengan sedes en diferentes ciudades del país, afirma que más allá del marketing de lugares, se construye también una idea de Brasil de acuerdo en expectativas distintivas y se refiere, al intento de forjar elementos claramente identificables, como representaciones visiblemente reconocidas como brasileras, mediante las ciudades escogidas y presentadas como la cara de Brasil. Agrega que la intención del gobierno brasileño va más allá de ser sede del Mundial 2014 y recibir a los turistas, ya que el evento construye un proceso para el futuro próximo, mostrando la modernización nacional, su capacidad y su fuerza económica, convirtiéndose en proyecto legítimo que busca una nueva posición del país en la geopolítica mundial. Como conclusión indica que la grandeza y la intensidad del volumen de obras se imponen como objetivo no sólo por el rito y el impacto simbólico de las noticias, sino por los negocios involucrados. La ciudad se libera de las ataduras de la regulación de las leyes, paradójicamente, los nuevos instrumentos legales favorecen la permisividad del uso del espacio urbano y el avance de los intereses particulares sobre los colectivos, así el desarrollo del evento trae nuevos cuestionamientos a la construcción y trascendencia del espacio urbano y la ciudad en la búsqueda desenfrenada de forjar una ciudad global. En la Universidad de Palermo, Vélez Jaramillo (2008), realizó una tesis titulada: Los circuitos culturales en la construcción de marca ciudad. Caso Medellín. Su estudio se refiere a la construcción de marca en Medellín. Menciona que para el trabajo de desarrollo de una marca ciudad es necesario contar con un equipo de profesionales en varios campos como arquitectos, administradores, sociólogos, empleados del sector publico, diseñadores, comunicadores, que tratan en última instancia, en la elaboración de una propuesta en la que se deben considerar una serie de cuestiones, en lo que refiere al diseño. De acuerdo a los estudios en que se basó, divide al trabajo en cuatro ramas, el diseño de lo simbólico y la comunicación visual, el diseño de materiales para la industria, el diseño de actividades y servicios programados en lo que respecta al uso de espacios públicos para eventos y relaciones públicas, y el diseño de sistemas y entornos físicos, en el que se refiere a la arquitectura y diseño forestal en áreas verdes. Indica que además del trabajo interdisciplinario debe destacarse la importancia del Estado, no sólo en cuanto a la financiación del proyecto, sino más bien para el despliegue de políticas entre las cuales puede ubicarse el crecimiento de una marca ciudad en la integración de los sectores privados. El enfoque que aporta con su trabajo desde el diseño contempla conceptos tales como marca, submarca y marca ciudad, relacionados con otros conocimientos como es consumo cultural y política cultural, no obstante hace énfasis en que hará proyección de los circuitos culturales de la ciudad de Medellín. Así, plantea como hipótesis que el desarrollo de los circuitos culturales opera como elemento clave para la integración y la dinámica entre las submarcas que conforman la marca ciudad. Entre sus objetivos plantea definir los conceptos de marca, identidad de marca, y marca ciudad, como una aproximación a las manifestaciones culturales en la ciudad antes mencionada. Señala que el relevamiento de actividades culturales durante el segundo semestre de 2006 y el primer semestre del 2007, comprendió un período en el que comenzó a desarrollarse un plan de mercadeo en la ciudad 2006 - 2016 auspiciado por la Alcaldía de Medellín. En ese sentido según afirma, debe destacarse el papel impulsor del estado municipal, los cambios en el desarrollo urbano registrados en la ciudad durante el año 2000, configurando el contexto en el cual el estado ha trabajado en el espacio público, como política de integración ciudadana y democratización del acceso y la participación en la vida cultural para los diversos sectores de la sociedad, en relación con el panorama de las actividades culturales, que actualmente se observan en Medellín. Su propuesta consiste en una serie de circuitos culturales para la ciudad, para hacer visible los lugares y establecer conexión entre ellos y principiar posibles recorridos a través de distintos medios: sistema de señalización, publicación de mapas y guías impresas, desarrollo y actualización permanente de su sitio web, resulta imprescindible una mirada analítica más amplia y contextual sobre la ciudad, en el espacio en el que se despliegan las actividades culturales. Señala que en su trabajo investigativo, su hipótesis hizo hincapié en el carácter interdisciplinario que implica la construcción de una imagen marcaria. Uno de sus objetivos contempló el diseño de los conceptos de marca, submarca y marca ciudad, presentó toda unaserie de consideraciones al concepto de marca y a la construcción de una marca ciudad y otros elementos que componen submarcas y circuitos culturales relacionando otros conceptos mencionados como consumo y política cultural. Consideró pertinente para el caso de Medellín la construcción de marcas alternas en la imagen marcaria de la ciudad que agrupen diferentes áreas de trabajo o de interés: educación, turismo, cultura, servicios sociales, salud y espacio público. En participación del sector público y privado, ya que por medio de las marcas alternas ayudan a estructurar y clasificar la oferta y servicios ofrecidos por ambos sectores. Por su parte, Miguel Badillo (2010), realizó una investigación de City-marketing en ciudades intermedias: caso Palmira - Colombia. Su estudio plantea que se basa específicamente en su etapa de diseño, ya que su proyecto surgió de la necesidad de generar acciones diná- micas y metodológicas, a fin de implementar un mecanismo que permita el diseño de un instrumento de gestión y promoción de la ciudad. La población de su estudio se integró con habitantes de la ciudad, visitantes y dirigentes de diversos sectores del Valle del Cauca en Colombia. La metodología empleada se basó en un estudio documental y el uso de instrumentos, cualitativos y se apoyó en cartografías urbanas, estudio de imaginarios y mediciones cualitativas de comunicación publicitaria, por lo cual para su realización, el investigador estableció un eje conceptual para la implementación de un plan de city-marketing en Palmira y una segunda fase donde desarrolló la sensibilización, la caracterización de la ciudad, los lineamientos estratégicos y los parámetros para la construcción de la marca y el diseño del plan de comunicación. Su proyecto inició en el año 2003 donde a través del Centro Integrado para el Desarrollo de la Investigación (CIDI), conjuntó con un equipo de estudiantes liderados por un docente, quienes estructuraron el proyecto plataforma de posicionamiento Palmira hasta el 2006. Luego pasa al programa de publicidad y es continuado por un nuevo grupo de estudiantes dirigidos por una docente quienes estructuran la primera fase que es la auditoría de la imagen Palmira, para el desarrollo de un proyecto de citymarketing. Menciona que durante el año 2007 el grupo de investigación publicitaria retomó el tema y realizó una investigación documental, partiendo de los resultados que existían en la misma universidad de estudios anteriores, tomando en cuenta un tema de gran importancia para su caso, por lo cual el investigador indica que la primera fase fue la visualización del tema. En el año 2009 se avanzó en una segunda fase, que fue el proceso de oficialización, donde trabajó en una propuesta integrada como parte de las diversas acciones que el actual gobierno implementaría en el plan de desarrollo. En la Universidad de Palermo, Carlos Calle (2008), desarrolló un estudió basado en la marca ciudad de Cuenca como un elemento de participación social. Su estudió está basado en la ciudad de Cuenca que es la tercera ciudad más importante del Ecuador y para ello en su introducción se refiere al actual contexto de la globalización que propicia nuevos escenarios, para la comunicación, las exportaciones y el turismo, por lo cual en la ciudad antes mencionada a través de su alcalde se implementó una estrategia de marca ciudad, que comprende un elemento gráfico identificador y una campaña de posicionamiento como punto turístico enfocado en un diferenciador que posee ya que es patrimonio cultural de la humanidad, compuesto por elementos tangibles e intangibles. Para ello se enfoca en establecer un concepto más claro de marca ciudad, analizando a la misma desde el acoplamiento de la globalización y la mundialización para tomarla como herramienta para fomentar la participación social. Analiza la implementación y promoción de la marca estudiada y su contribución en el marco del turismo, ya que en su trabajo se ejecuta un estudio estructural de los principios que conforman la marca ciudad y su relación con el diseño, su importancia, su interacción con el desarrollo diario de la ciudad. Resalta la importancia de un sello marcario para la misma, dirigiéndose al municipio con miras a mejorar el uso y la actual promoción de la propuesta para reconocerla como un instrumento social que contribuya a la mejor calidad de vida. En su hipótesis plantea desarrollar una estrategia mucho mejor de lo que funcionaba hasta el 2005, donde no se cumplía lo que tenia que dar de una Marca Ciudad, para lo cual piensa posicionarla e instaurarla como herramienta comunicativa real; como elemento gráfico y no como símbolo. Para posicionar a la ciudad de Cuenca como un destino turístico debido a que en la ciudad el turismo representa un rubro muy importante, ya que según menciona existe un estudio que afirma que un 51,7% del ingreso económico proviene del turismo. A través de la investigación se trata no sólo de explotar la parte turística sino también la comercial y lograr la integración de la ciudadanía para el desarrollo de la marca ciudad. Como aporte se integra su estudio para mejorar la promoción de la propuesta para reconocer la marca ciudad como instrumento social. En España, Sánchez Moya (2010), efectuó una tesis sobre Barcelona y Estambul y la imagen de la ciudad como valor de cambio. Introduce el tema haciendo una introducción breve al concepto de marca ciudad y su importancia, para luego introducir al lector en la concepción de marca Barcelona. Afirma que los proyectos que se han llevado a cabo en la ciudad la han transformado en una marca. Como prueba de esa transformación aduce que la película de Woody Allen que se filmó en la ciudad de Condal, se presentó simplemente como "Vicky - Cristina Barcelona" entendiéndose la palabra Barcelona como un modelo de ciudad, como una marca. Mediante una construcción visual del territorio, Barcelona se presenta a través de distintas marcas, con la intención de atraer turistas y capital extranjero a la ciudad. En su estudio escogió tres de las marcas de Barcelona que estuvieron presentes durante las cuatro últimas décadas, desde principio de los años 1980 hasta el año 2010. Comienza por hacer el análisis de la marca Barcelona Mediterránea, explicando el concepto que da inicio al nombre para el desarrollo de la misma, como una ciudad mediterránea donde explica brevemente los proyectos que se llevaron a cabo en el litoral de Barcelona con el fin de abrir la ciudad al mar. Siguiendo con la marca Barcelona fue reinventada y trata de las transformaciones urbanas que se desarrollaron desde la democracia, con el fin de convertir a la ciudad en una metrópolis moderna, como un modelo Barcelona. En el mismo país, Paz Balibrea (2004), efectuó una investigación sobre el concepto de modelo de Barcelona. Indica que la idea es utilizada de forma dominante en los círculos internacionales de urbanistas, arquitectos, geógrafos, sociólogos, políticos municipales y expertos en políticas culturales, para definir lo que llama una estrategia de regeneración urbana redefinida. Considera que el modelo Barcelona es positivo y se considera como un gran éxito de las resoluciones urbanísticas adoptadas en diseño y arquitectura tenidas como de alta calidad formal y estética. Se propuso hacer un recorrido crítico por la historia del modelo hasta esos momentos, y muestra que el consenso entregado y/o apático que ha caracterizado la actitud de la mayoría de los ciudadanos ante su ciudad y especialistas ante su objeto de estudio manifiesta que existen signos de resquebrajamiento. Su aporte proviene de la historia y la crítica cultural por lo cual integró dos elementos de análisis en el debate crítico sobre la ciudad, aunque los presenta por separado, se necesitan mutuamente en la argumentación. Uno es la importancia del estudio de la cultura como eje transversal que recorre y da sentido a las transformaciones que constituyen el modelo de Barcelona, y el otro elemento a consideración es su hipótesis, que propone la utilidad crí- tica de distinguir los conceptos de modelo y marca, a la hora de definir la naturaleza de las transformaciones urbanísticas de la ciudad, a su entendimiento y uso desde la transición. La investigadora se basa en que para construir la imagen modelo de Barcelona, el cine hizo un gran aporte en el modelo de construcción de Barcelona. Por ello en la medida en que escogió seis películas de directores españoles, norteamericanos y europeos, el cine pertenece a las industrias culturales que en los últimos años han aportado al desarrollo de dicho modelo. Indica que Barcelona ha experimentado un crecimiento exponencial desde la segunda mitad de los años noventa. En la ciudad se incorporó un organismo institucional que da soporte a la idea de introducir, el poder de la difusión de la imagen en la ciudad, por medio de espectáculos gratuitos en salas de cines públicas. Lo que crea uno de los medios más eficaces de propaganda infundada en la ciudad y su gran difusión se convierte en un agente ideológico, capaz de contribuir eficazmente en la construcción de un modelo a seguir. Luego del análisis de las películas de varios directores, la investigadora hace énfasis en que no todas las muestras de cine pueden crear un modelo eficaz, he indica que los aspectos más progresistas en el origen del modelo Barcelona, que provenían de configuraciones socio-políticas catalanas y españolas heredadas del empuje del fin de la dictadura, no deben llevar a los ciudadanos ni a la negación, ni a la nostalgia de su existencia, ya que desde y gracias a aquella época, Barcelona tiene elementos urbanismo democratizante e integrador que siguen presentes en el espacio social y constituido de la ciudad. La ciudad se regeneró bajo la premisa de conectar la nueva urbanidad con una memoria colectiva arquitectónica muy parcial, de la gran burguesía catalana de la que muchos de los agentes del modelo Barcelona eran, en definitiva, herederos; por no hablar de cómo la agenda terciaria impuesta sobre la ciudad, desvirtúa y resignifica, pero no hace desaparecer lo más socialmente progresista del modelo, vaciándolo en marca. Es por ello que deduce que el modelo ha muerto ahogado por las imposiciones de la marca. Sin embargo, aduce que se recuperó el concepto de modelo como una particular forma de entender la relación con el espacio urbano que consiste en afirmar el derecho de todos los ciudadanos a la ciudad. Richard Eugenie (2008), expone un tema que no tiene que ver con la marca ciudad, pero aborda un punto que es significativo para el proyecto de investigación, con un tema titulado Álvaro Uribe: la comunicación por la imagen. Principios de marketing político. Menciona que en Colombia en cercanías de los procesos de elección presidencial en el año 2006, Álvaro Uribe Vélez, se lanzaba a la reelección. Los habitantes de Colombia tenían al candidato presidencial como un personaje de imagen política bien fuerte por la construcción sólida a través de los medios de comunicación, en la que se aplicó una campa- ña permanente haciendo uso de los medios de comunicación masivos a su alcance tanto tradicionales, audiovisuales y directos con una posición que lo privilegiada a pesar de las garantías que ofrece la Ley colombiana. Su campaña se dividió en dos etapas en la cual la primera fase, se recolectaron testimonios por parte de los colombianos en apoyo a Uribe haciendo notar en apoyo popular para luego ser utilizados con fines electorales, en su segunda fase se procede a crear la estrategia de comunicación visual para los afiches de campaña, a través del website www.adelantepresidente.com en la que los votantes podían elegir la imagen de campaña por medio de votación. La importancia en el uso de todos estos medios influyeron en la agenda mediática en los meses siguientes, el autor afirma que la construcción de todas estas estrategias construyeron un amplio dispositivo de persuasión a los futuros electores. Es por ello que Eugenie (2008), propone en su investigación un estudio semiológico de los afiches de campaña, para apreciar el alcance que tuvieron las herramientas de marketing político, para explicar el éxito obtenido por el actor político durante el 2002 y la facilidad con la que logró ser presidente en el 2006, examinando las imágenes de campaña en cinco etapas, para lo cual analizó la construcción del sentido de la imagen, las relaciones interpersonales, el relato, modalidades de acción y por último pero no menos importante las pasiones y sensaciones que producían los mensajes en la población. En su análisis de las imágenes reconoce todos los elementos gráficos contenidos en el afiche de campaña en el que destaca la construcción de la imagen en cuanto a simbologías y en la discursiva aplicada en el texto. En todas las etapas de su investigación de la imagen campaña presidencial de Uribe, el autor concluye con que todos los elementos gráficos no fueron puestos por casualidad, ya que la conformación de los mismos construye una realidad que resalta los valores del actor político. Por otro lado Leyvi Castro Martínez (2012), estudió el caso el caso del presidente Barack Obama, a través de las técnicas del marketing político utilizadas en los medios de comunicación directos, como son las redes sociales, website, mensajes de texto, correo electrónico, etc., con el fin de llegar a más adeptos logrando posicionar al candidato como un producto a partir de toda la constante mediatización, logrando consolidar el voto duro e incursionando en una nueva forma de hacer política. En el estado de la cuestión realizado se da cuenta de la ausencia de trabajos que aborden la problemática especifica de este proyecto, por tanto se cree que con el desarrollo de esta investigación se contribuirá, a la construcción de una marca ciudad que cumpla con los objetivos que se deben tener para crear una marca que aporte a la edificación de nuevas marcas. Con los interrogantes abiertos en este proyecto de investigación, sobre el tema específico de la marca ciudad de Buenos Aires con las siguientes preguntas ¿en qué punto la marca ciudad de Buenos Aires se unifica con la marca partidaria del "PRO"? y ¿qué efectos tiene la mediatización de un actor político en una marca pública? Si bien en los trabajos mencionados se abordan las estrategias para la construcción de una marca ciudad y el desarrollo que se ha venido proyectando, muy poco se tiene en consideración acerca del tipo de estrategia que usan los administradores o coordinadores políticos, para el tratamiento del sello marcario de la ciudad Autónoma de Buenos Aires. Línea temática Esta investigación se encuentra enmarcada en dos líneas temáticas: 1) Medios y estrategias de comunicación. 2) Diseño y producción de objetos, espacios e imágenes. Además está como objeto el estudio la marca de la Ciudad Autónoma de Buenos Aires entre el periodo (2007-2015) con el fin de evidenciar una estrategia de marketing político, en el concepto de una marca ciudad unificando la comunicación pública con la comunicación partidaria. Lo que Brindará soporte a nuevas investigaciones y tratamientos de futuras marcas, en las que la ideología política no intervenga en su totalidad para el desarrollo y creación de las mismas, así de esta forma pueden evolucionar durante cada período de gobierno y continúe siendo administrada por el siguiente gobierno que la dirija. Orden de trabajo y justificación Capítulo I: La Comunicación Política desde los medios de comunicación masivos. En este capítulo, se aborda el tema en referencia al papel que ejercen los medios de comunicación masivos en la comunicación política. Iniciando en la diferenciación entre lo público y lo partidario, para posteriormente dejar en claro la marca pública, la marca partidaria y la vinculación que estas tienen en la participación con los habitantes, como un comportamiento democrático por parte de las políticas públicas de los gobiernos pertinentes. A su vez en este capitulo se pone en contexto, acerca de la comunicación masiva y la persuasión que esta ejerce en el elector dando paso a la opinión pública y la transformación que sufre con los medios de comunicación masivos (llamada opinión publicada), la cual interviene en la agenda setting de los actores políticos y por medio de ésta se da la construcción de la imagen de la realidad social, que puede persuadir al elector de forma directa o indirecta sobre su entorno social. A modo de cierre, para este capítulo se presentan las campañas políticas en la Argentina y la participación de la prensa en los gobiernos democráticos, a comienzos del año 1983, como un proceso de vinculación de los medios de comunicación masivos con la política. Capítulo II: Estrategias de marketing político. En este capítulo se exponen las estrategias que se despliegan en el marketing político para la comunicación electoral, en el que se definen las nociones de esta disciplina, mencionando términos como construcción de la imagen política y como afecta ésta en la percepción del elector. Diferenciación entre marketing comercial y marketing político. Candidato y posicionamiento que definen el papel del candidato y la importancia del posicionamiento en el marketing político, el discurso en la disciplina mencionada y cómo funciona en las estrategias de campaña. A su vez se nombran las características de la publicidad política y las campañas electorales. Asimismo las herramientas del marketing político entre las que destacan las herramientas tradicionales, audiovisuales y de marketing directo, por último el elector y rol en el centro de todas estrategias que se mencionan. Capítulo III: Construyendo la marca en la ciudad. En este capítulo se define el concepto de marca e introduce al término de marca ciudad, qué es, y la importancia de sus públicos tanto interno como externo, el funcionamiento de las marcas de ciudad y por medio de quién se gestionan, la construcción de las marcas territoriales como un término que también se les da a estas estrategias de sello marcario, elcity-marketing y sus estrategias en la marca ciudad, estrategias de reconstrucción de marcas que apostaron por la reconstrucción desde lo social para posteriormente fortalecerse en su estrategia marcaria, casos que han transcendido como: Berlín, Barcelona, Curitiba y Medellín al mismo tiempo que se hacen referencia de dos casos de comunicación de sello marcario en Argentina, ya que el caso de estudio se sitúa en el país mencionado. Capítulo IV: Desarrollo Metodológico. En este capítulo se desarrollan las herramientas metodológicas del tema de investigación que es de tipo descriptivo y de carácter cualitativo, en el cual se desarrollarán entrevistas en profundidad y un análisis de contenido de los elementos de comunicación de la marca pública con la marca partidaria, con lo que se busca comprobar la hipótesis y los objetivos de la investigación.

 Draft Translation: Not for CitationWhat follows is another attempt at a translation of an important text by André Tosel on the Marx/Spinoza relation. It is not a finished, or polished translation, but a rough sketch put forward to help people get a sense of this overlooked articulation of the relation between Marx and Spinoza.For a Systematic Study of the Relation of Marx to Spinoza: Remarks and Hypotheses

André Tosel Published in 2008 in the book Spinoza au XIXe Siècle  The question of relation of the thought of Marx to that of Spinoza has up until now been the subject of more of a hermeneutic investigation than a philology. It is easier to construct a history of the different interpretations of Spinoza at the center of different Marxisms then to have determined the precise function of the reference to Spinoza in the work of Marx and to define the use Marx made of the spinozist problematic and the elaboration of his thought.  More or less the Marxists that were first developed a relation to Spinoza were an important milestone on the way to developing what could be called a historical and materialist dialectic. The relation begins in the midst of the Second International. The singularity of Spinoza's thought has often been reduced to a stepping stone on the way to "monist" immanentism, which is supposed to be its philosophical structure at least in the reception of two thinkers, as Plekhanov has asserted in some preliminary texts working from some notes of Engels in manuscripts published in the USSR under the title of the Dialectic of Nature. In the dogmatic frame of the struggle between idealism and materialism, Spinoza anticipates materialism by his thesis of the unity of nature and by his doctrine of the equal dignity of the attribute of extension in relation to the attribute of thought. The doctrine of mode and substance causality, coupled with the critique of final causality and the illusions of superstition, signifies at the same time an overcoming of mechanistic thinking and the first form of the dialectic. Rare were those who, like Antonio Labriola, were careful not to oppose two conceptions of the world head-on and maintained a certain distance with polemical opposition, preferring instead to indicate that Marx did for mode of production what Spinoza had done for the world of the passions—a geometry of their production. In the Soviet Union before the Stalinist freeze, this interpretive tension is reproduced: Spinoza becomes the terrain through which the clarification of the dialectic takes place opposing mechanists and anti-mechanists, and original articulation of the thesis of liberty as the comprehension of necessity. These problems have been clarified somewhat. (Zapata, 1983; Seidel, 1984; Tosel, 1995)One would have to wait for the deconstructive enterprise of Louis Althusser for this movement to be reversed. Spinoza is no longer a moment in the teleology which is integrated and surpassed on the way to Marxism-Leninism. His work is the means of theoretical production for reformulating the philosophical and scientific revolution of Marx without recourse to only the Hegelian dialectic. Spinoza is the first to have elaborated a model of structural causality that makes it possible to think the efficacy of the structure as an absent cause over its effects. The theory of knowledge is not one that authorizes absolute knowledge, but it announces this infinite exigency of a break with ideology without the hope of arriving at transparent knowledge. It obliges one to renounce any idea of communism as a state of a final reconciliation in social relations which would be deprived of any contradictions. "We have always been spinozists,' Althusser announces in the Elements of Self-Criticism, and then proceed to the Treatise on the Emendation of the Intellect from the Hegelian dialectic. It is then only an epistemological obstacle which prevents Marx from realizing the full power of his critique of political economy and to explore the continent of history that he discovered. Spinoza for clarifying Marx himself. Everything has been clarified. (Cotten 1992; Raymond, Moreau, 1997).  In terms of historical research, the spinozist studies that have been made after the end of the nineteen sixties in France and Italy have often been made by researchers who have rubbed shoulders with Marxism. We find the same oscillation between a tendency to read Spinoza according to a pre-marxist perspective, in the sense of a dialectic of emancipation, or liberation from a theological political complex and disalienation, even constituent power, and another tendency insisting on the infinity of the struggle against all illusions, even those of total liberation, affirming the unsurpassable dimension of the imagination in the constitution of the conatus and in the production of the power of the multitude. This oscillation is manifest often in the same commentators, often itself a function of the change of the historical conjuncture. However, up until now, there has never been an attempt to study from Marx's works themselves the structural function of the spinozist reference in the constitution of Marxist theory, one which would permit us to better understand the understanding that Marx made of Spinozist work. The interpretations have anyway have developed from a certain exteriority to the letter of Marxists texts.  Several years ago, a German researcher, Fred E. Schrader, in a short text dedicated to the thematic of "substance and concept" chez Marx (Substanz und Funktion: zur Marxsrezeption Spinoza's) drew attention to this situation (1984). He rightly noted that it was necessary to distinguish two moments in the research to avoid any merely external confrontation: a) first, obviously, document the explicit and implicit mentions of Spinoza in Marx's text; 1) then, reconstruct the position of the reference to Spinoza in the process of the constitution of the critique of political economy which is the central Marxist work, alongside of the references to "Hegel" which one knows were constitutive in the years of 1857-1858. Only this philological and philosophical work can permit us to renew the state of the question.
Schrader's study must be considered. We propose to develop it and comment on it because up until now it has not received the attention that it merits. Before everything else, it is necessary to be precise. The work envisioned must be considerable, it includes taking into account the texts published by Marx, those published posthumously by Engels and by Kautsky, and all of those—collections of notes and thematic notebooks—which make up the incomplete nature of Capital, including Marx's correspondence. The MEGA 2, Marx-Engels Gesamtausgabe, still incomplete, has not finished being scrutinized. This work could begin from the hypothesis that we can conceptualize two periods in Marx's work from which it is possible to reassemble occurrences that conceptualize the reference to Spinoza in order to determine their structural function. The first period corresponds to the years of his formation and the interlinking of the critique of politics and the early critique of political economy, it begins with the concept of history underlying the German Ideology and culminates in the Poverty of Philosophy and the Communist Manifesto. The second period begins with the research operating under the title of the critique of political economy beginning in 1857, interrupted provisionally in January of 1859 and beginning again in 1861. The reference to Spinoza is more explicit in the first period where it is a matter of an specifically political practice, articulating a materialism of practice. It is less explicit in the second period, it functions nonetheless as a fundamental operator in the essential theory of the substance of value in capital. The Philosophical Intensifier of Spinoza of the Tractatus Theologico-Politicus. Destruction of the Theologico-Political Complex and Democratic Radicalism.  Marx encounters Spinoza in the beginning of his theoretical and political journey. In 1841 we know from the preface by Alexandre Matheron (Cahiers Spinoza), Marx, after his doctorate, reproduced the extracts he copied from the Tractatus Theologico-Politicus (MEGA 2 VI/I Berlin, 1977). He is curiously presented as the author of these texts and moreover they are reorganized in their own order which is not that of the Tractatus itself. The chapters containing the critique of the supernatural, of the miracle, and all of all forms of superstition are brought forward as essential and open on the properly political chapters dedicated to the freedom of thought (XX) and the foundation of the republic (XVI). The Ethics is not ignored but it is not reproduced, Letter XII takes the place of a speculative text and is accompanied with Letter LXXVI to Burgh. Everything takes place as if Marx considered as the most important question to be that of theological politics and is concentrated on the question of human freedom in its radical ethico-political dimension. What is important is that the revolutionary democratic state is realized according to this concept.  One could also consider that Spinoza is utilized here as one of the figures that a Doctorate of Philosophy considers along with Aristotle, Kant, Fichte, and Hegel as provocations, of that which puts knowledge in the service of a life liberated from the fear of authorities, which reappropriates humanity's power of thinking and acting confiscated in the service of gods and fetishes. In a certain manner Epicurus is the paradoxically the first of the thinkers who claims that "it is a misfortune to live in necessity, but it is not necessary to live under necessity." This truth finds a new application, after the French Revolution, in the age of a new ethics, where free individuals recognize themselves in a free state.  2. The explicit reference to Spinoza is displaced in the texts of the years 1841-1843—the Kreuznach manuscript dedicated to the Critique of Hegel's Philosophy of Right, followed by the introduction and the Jewish Question. These constitute the Feuerbachian moment of Marx, at the heart of his theory of the alienation of the human essence. One must not make this critique of politics a simple transition towards the discovery of the alienation of social powers, nor understand it as an end of a politics understood as primarily statist. It is the ethico-political liberation which requires a transformation of social relations and which is a transvaluation or emancipation of social powers. Spinoza is not named, but certain passages from the TTP are repeated almost to the letter: Spinoza figures as the index of a new task , that is lacking in Hegel which is that of thinking beyond the dualism of civil society and the state. The name of this passage is democracy or true democracy. Marx returns to the letter of the Spinozist thesis according to which democracy is not only the name of a constituted political regime, but the essence of politics, the most natural regime, constituting the power of the people. The intensive force of Spinoza is that of democracy not as a mystical act or utopian ecstasy, but as a process of constitution that replaces actual void of the Hegelian state where the people lack themselves, in which the state becomes something separate, still theologico-political. Democracy is the active process by which the people is refigured as the negative instance of any separate political form and gives a political form to its social power. "Democracy is the truth of monarchy, monarchy is not the truth of democracy. Monarchy is necessarily democracy in contradiction with itself, whereas the monarchial moment is no contradiction within democracy. Monarchy cannot, while democracy can be understood in terms of itself In democracy none of the moments obtains a significance other than what befits it. Each is really only a moment of the whole Demos. In monarchy one part determines the character of the whole; the entire constitution must be modified according to the immutable head. Democracy is the generic constitution; monarchy is a species, and indeed a poor one. Democracy is content and form; monarchy should be only form, but it adulterates the content.
In monarchy the whole, the people, is subsumed under one of its modes of existence,. the political constitution; in democracy the constitution itself appears only as one determination, and indeed as the self-determination of the people. In monarchy we have the people of the constitution, in democracy the constitution of the people. Democracy is the resolved mystery of all constitutions. Here the constitution not only in itself, according to essence, but according to existence and actuality is returned to its real ground, actual man, the actual people, and established as its own work. The constitution appears as what it is, the free product of men." It is possible to remark that this constituent power of the demos tends to be presented as a sort of causa sui in the order of world of social relations. The naturalist dimension thematized in the Ethics is not posited here with the insistence of humanity as part of nature, with the thematization of the relations between internal and external causality. Necessity seems to have disappeared for an instant. It is notable that this in the same moment that Feuerbach defends Spinoza's naturalism against Hegelian idealism and makes the author of the Ethics the Moses of modern thought who has destroyed theology by his pantheism, while reproaching him, for not having arrived at a radical humanist affirmation, since he maintained an equivocal equivalence between the naturalization of god and the divinization of nature. The Marxist reference is primarily to the ethico-political Spinoza, one of the "intellectual heroes of morality" as he says in a text contemporary with it, "Comments on the Latest Russian Censorship—" along with Kant and Fichte he is one of the heroes that found and defend the principal of moral autonomy. Spinoza makes it possible to undertake a philosophical political of Hegel, the people would be the only ontological instance that constitutes the political constitution, which is to say democracy, of civil society. Spinoza makes it possible to introduce a new dialectic within the incomplete dialectic of The Principles of the Philosophy of Right. This dialectic is simultaneously a critique. The object of this critical dialectic is the self-constitution of political activity in the struggle to overcome the domination of abstract entities erected into speculative abstractions defining the latest avatars of the theological-political complex.  Schrader does not say more in the exposition of the reference to Spinoza in this first period. We could take a step beyond his analysis. A unpublished path seems to be presented. We could in fact explore it as Yovel has done (Spinoza and Other Heretics); also the first book of Matheron, Individu et communauté chez Spinoza (1968) examines the double relation of the human conatus to other conatuses and objects that suit them or do not suit them the rudiments of a theory of objectification of the human essence that Marx elaborates in the texts of 1844 where he analyzes the people under the figure of the proletariat subject and object of alienated labor. The reading can shed light on Spinoza, but Marx has for his interlocuters Hegel, Adam Smith, and Feuerbach. Spinoza does not intervene here explicitly. It is preferable to follow the letter of his texts.  3. The text which follows, The Holy Family of 1845, indicates an unexamined reversal of perspective. Far from finding in Spinoza a radical thinker of liberty through the radicalization of the democratic process and developing Feuerbach's theses of the virtues of Spinoza's naturalization, far from continuing the anti-idealist elements of Spinoza, Marx for the first time distances himself from Spinoza placing him on the side of Descartes, of Malebranche, of Leibniz, of abstract rationalist metaphysics, in a paragraph before celebrating the materialists in which he inscribes himself. These are the materialists of the French Enlightenment, La Mettrie, Holbach, Helvétius, which are lauded for having operated outside of metaphysics. These are the authors that Plekhanov reinscribes as a defenders of monistic materialism in the thought of nature and in the theory of history. Certainly as Olivier Bloch in an important contribution has demonstrated ("Materialism, genesis of Marxism, 1981, reprinted in Matières à penser, Vrin, 1997), this chapter of the history of philosophy is a plagiarism by Marx who literally takes it from the Manuel d'histoire de la philosophie moderne by Charles Renouvier (1844). The soviet Diamat has been founded by a French critic… But the fact remains that Marx endorses this reconstruction which prefers Bacon, Hobbes and Locke to Spinoza, lauding them for the empiricism and nominalism: the English thinkers critique metaphysic speculation and open directly the way to materialism. Pierre Bayler in France can be considered the only fellow traveler of British empiricism by his scepticism he dissolves the metaphysics of Spinoza and Leibniz (The Holy Family, 171).  The Spinoza criticized here is that of the Ethics understood as a dogmatic treatise of metaphysics which has a "profane content" but it has lost its historical condition. This is no longer the antitheological political Spinoza but the speculative philosopher. Is it necessary to conclude that this is a contradiction on the part of Marx and to forget his previous theses? It is a surprising oversight because that which Marx and Renouvier give credit to Bacon, Hobbes, and Locke can be imputed to Spinoza as well. Everything takes place as if Marx, put off by the metaphysics of the Ethics forgets what he had found in the TTP—and this seems to be a permanent transformation. In fact the contradiction is not only apparent, or, more to the point, it concerns Spinoza himself. Marx does not have as his object an analysis of Spinozism. He uses the latter by breaking it down according to the needs of his task which is at this moment is to study the activity of real man and the possibility of his transformation by bringing together the theoretical humanism of Feuerbach, the French communism and socialism, and the English thinkers who represent this humanism in the domain of practice. "[Metaphysics] will be defeated for forever by materialism which has now been perfected by the work of speculation itself and coincides with humanism. As Feuerbach represented materialism in the theoretical domain, French and English socialism and communism represent materialism in the practical field which now coincides with humanism." (The Holy Family, pg. 168) One can detect in this passage the presence of a schematic of the history of modern philosophy which has echoes of Moses Hess and Ludwig Feuerbach, the two have confronted the problem of the critical comprehension of Hegel and have begun to present a reinterpretation of the grand moments of the history of philosophy after their master.  Marx deviates from the interpretation of Hess given in a text which had a particular impact: The Sacred History of Mankind by a Young Disciple of Spinoza (1838). Hess appropriates Spinoza's theory of knowledge and exploits his theory of the imagination to develop a positive sense of social utopia, and overall makes Spinoza the true alternative to Hegel's Christian philosophy. Far from being an acosmism, the theory of substance is the perfect incarnation of the Hebraic idea of the unconditional unity of all. It is paradoxical, the other part, of the interpretation by Renouvier followed by Marx recovers and conceals that of Feuerbach that one can find in the same period in Preliminary Theses for the Reform of Philosophy (1842) and Principles of the Philosophy of the Future (1843). Marx brushes up against these theses of Feuerbach on Spinoza without reproducing them in their entirety. They make Spinoza an important moment in modern philosophy: at the heart of this movement they make this philosophy an important realization of the humanization of God, Spinoza remains still a speculative philosopher who is at once produces the realization and negation of God. Speculative metaphysics realizes with him its ultimate phase which is determined contradictorily as theism and atheism in the form of pantheism. "Spinoza is the originator of speculative philosophy, Schelling its restorer, Hegel its perfecter."(Thesis 102) Pantheism becomes the only consequential theology in that it anticipates the end of theology in atheism. The Spinozist substance transforms all independent beings into predicates, into attributes of a unique and independent being. God is no longer only a thing thought, it is equally an extended thing (Thesis 3). Spinoza does not make the self-activity of self-consciousness the attribute that unifies and transforms substance into subject. This was Hegel's tour de force but he paid for it with an absolute idealism of spirit since once again spirit prevails over extension and concrete man is subject to abstraction separated from reality of self-consciousness.
This inscription of Spinoza in metaphysics is all the more paradoxical because Marx finds in empiricism and British materialism the theses that Feuerbach attributes to Spinoza, and Marx accepts a definition in which materialism coincides with communism. As can be seen in this passage from Principles of the Philosophy of the Future  Pantheism is theological atheism or theological materialism; it is the negation of theology while itself confined to the standpoint of theology, for it turns matter, the negation of God, into a predicate or an attribute of the Divine Being. But he who turns matter into an attribute of God, declares matter to be a divine being. The realisation of God must in principle presuppose godliness, that is, the truth and essentiality of the real. The deification of the real, of that which exists materially – materialism, empiricism, realism, and humanism – or the negation of theology, is the essence of the modern era. Pantheism is therefore nothing more than the essence of the modern era elevated into the divine essence, into a religio-philosophical principle. Empiricism or realism – meaning thereby the so-called sciences of the real, but in particular the natural science – negates theology, albeit not theoretically but only practically, namely, through the actual deed in so far as the realist makes the negation of God, or at least that which is not God, into the essential business of his life and the essential object of his activity. However, he who devotes his mind and heart exclusively to that which is material and sensuous actually denies the trans-sensuous its reality; for only that which constitutes an object of the real and concrete activity is real, at least for man. "What I don't know doesn't affect me." To say that it is not possible to know anything of the supersensuous is only an excuse. One ceases to know anything about God and divine things only when one does not want to know anything about them. How much did one know about God, about the devils or angels as long as these supersensuous beings were still objects of a real faith? To be interested in something is to have the talent for it. The medieval mystics and scholastics had no talent and aptitude for natural science only because they had no interest in nature. Where the sense for something is not lacking, there also the senses and organs do not lack. If the heart is open to something, the mind will not be closed to it. Thus, the reason why mankind in the modern era lost the organs for the supersensuous world and its secrets is because it also lost the sense for them together with the belief in them; because its essential tendency was anti-Christian and anti-theological; that is, anthropological, cosmic, realistic, and materialistic. [In the context of the present work, the differences between materialism, empiricism, realism, and humanism are, of course, irrelevant.] Spinoza hit the nail on the head with his paradoxical proposition: God is an extended, that is, material being. He found, at least for his time, the true philosophical expression for the materialistic tendency of the modern era; he legitimated and sanctioned it: God himself is a materialist. Spinoza's philosophy was religion; he himself was an amazing man. Unlike so many others, Spinoza's materialism did not stand in contradiction to the notion of a non-material and anti-materialistic God who also quite consistently imposes on man the duty to give himself up only to anti-materialistic, heavenly tendencies and concerns, for God is nothing other than the archetypal and ideal image of man; what God is and how he is, is what man ought to be or wants to be, or at least hopes to be in the future. But only where theory does not belie practice, and practice theory, is there character, truth, and religion. Spinoza is the Moses of modern free-thinkers and materialists. 4. The anti-metaphysical fury of Marx, the blind submission to Renouvier, limits him in developing an interpretation of the Ethics more nuanced and sensitive to the historical contradictions. This situation is even more strange because it is in The Holy Family that Marx interprets materialist philosophers such that they are a Feuerbachian Spinoza. On can find then three theses that Marx distributes to different representatives of materialism and that can also be imputed to Spinoza. --Thesis 1. Nature is a primary reality, it can be explained by itself without recourse to the principle of a creator. Nothing comes from nothing. One can then have recourse to Bacon for who "the primitive forms of matter are essentially living forms, individuals, and it is they that produce specific differences." He follows, as does Hobbes, in adding that "one cannot separate thought from the matter which thinks." Thought cannot be separated from matter capable of thought.  --Thesis 2. The human order is inscribed in a specific manner in nature. This specificity does not specify anything extra-worldly of human activity. Hobbes has demonstrated the sensible nature of activity. "Man is subordinate to the same laws that nature. Power and liberty are identical." The Holy Family) This order is known to promote the art of forming ideas, the human species is fundamentally educatable. ---Thesis 3. What is important is to think the constitution of this human order according to radical possibilities of the ways of transforming these necessary conditions of experience of liberty-power. "If man is unfree in the materialist sense, i.e., is free not through the negative power to avoid this or that, but through the positive power to assert his true individuality,
crime must not be punished in the individual, but the anti-social source of crime must be destroyed, and each man must be given social scope for the vital manifestation of his being. If man is shaped by his surroundings, his surroundings must be made human. If man is social by
nature, he will develop his true nature only in society, and the power of his nature must be measured not by the power of separate individuals but by the power of society." (The Holy Family 176).  It is not necessary to give the history of philosophy presented in The Holy Family a structural importance. It acts as a provisionally constructed polemical text where Marx has given the means for his own philosophical conception in broad strokes in order to better understand the intersection of humanism, materialism, and communism. The incongruence of the treatment of Spinoza, reinterpreted to be behind Feuerbach's position, was not overlooked by Marx's comrades in combat since H. Krieg (himself denounces by Marx in a virulent circular as a confused partisan of religious socialism), he wrote in a letter of June 6, 1845 in order to restore Spinoza's battle against metaphysics overlooked by Marx, "you're probably right about what it says in the English Hobbes and Locke [i.e. that they vacillate contradictorily between materialism and theism], the same for Voltaire and his direct partisans; but Holbach is practically Spinozist, and it is with and Diderot that the Enlightenment reaches its summit and becomes revolutionary." (cited by Maximilien Rubel and his edition of the philosophical texts of Marx titled Philosophie) 5. The instrumental and fluctuating character of the reference to Spinoza as a metaphysician is confirmed precisely by The German Ideology. Marx returns in passing to the place of Spinoza in modern philosophy. Spinoza has developed the principle of substantial immanence but he has not integrated the principle with self-consciousness. Hegel would be the unity of Spinoza and Fichte (The German Ideology, 107). But for Marx this representation consigns him to a partial aspect of the Hegelian synthesis. Self-consciousness is at once a hypostasis of the real activity of human beings in the process of their self-production and the "the real consciousness of the social relations in which they appear to exists and to which they appear to be autonomous." In a similar manner substance is "an ideal hypostatized expression of the world as it exists" that is take as the foundation of the world "existing for itself." Marx returns to Feuerbach for clarification of substance and it anthropological resolution. We do not know much more, but the text seems to distinguish the Hegelian critique of substance and its possible materialist significance as "the existing world." We would have expected considerations on the immanence of modes in natura naturans and of their dynamic interdetermination.
In any case, Marx refuses the young Hegelain opposition between self-consciousness and substance, and proposes to maintain the category of substance as an inseparable unity of the existing mode and the beings which constitute the world in the play of their relations. Marx's criticism has as its target the mystification of self-consciousness and its anti-substantial phobia. Everything takes place as if the ontological categories of Spinoza up until now rejected as conservative metaphysics have an intensive force irreducible to the critique of the young Hegelians. However, it remains that in this complex itinerary the use value of the reference to Spinoza is concentrated in the theological political constellation and the political constitution of the political force of social force. This reference becomes the presupposition of the materialist conception of history, but it does not intervene in the texture of these concepts.  The Spinoza Reference in the Critique of Political Economy, Substance and Concept Returning to Schrader and his propositions for the study of the second moment of the reference to Spinoza, that of the Marxist use of Spinozist concepts from the Ethics in the development of the critique of political economy in the development of Capital. Schrader pays particular attention to the reappearance in the margins of the reference to Spinoza in the period of the creation and exposition of the critique of political economy which is developed from 1851 to 1863. An important letter from Marx to Lassale from May 31, 1858 which was published in an obscure book on Heraclitus, gives to Spinoza's metaphysics the same status that he gave to Hegel in a famous letter to Engels a few months before.  Even among philosophers who give a systematic form to the works, as for example Spinoza, the true inner structure of the system is quite unlike the form in which it was consciously presented. The true system is only present in itself. (Marx MEW, 29, Berlin, 1963, 561).

What was of great use to me as regards method of treatment was Hegel's Logic at which I had taken another look by mere accident... If ever the time comes when such work is again possible, I should very much like to write 2 or 3 sheets making accessible to the common reader the rational aspect of the method which Hegel not only discovered but also mystified. (Correspondence Marx-Engels)  Marx makes it clear that the elaboration of the critique passes through the utilization of elements of philosophical works which others appear to have completely bypassed. The presence of Hegel is the center of the interpretation of Capital. It would appear certain to this period that Marx no longer takes inspiration from the Feuerbachian critique of abstract speculation. In this case, the Idea separated from its contents generates the latter in a mystified way by legitimizing the crudest aspects, losing the benefit of seizing the real as a contradictory process, as is explained in The Holy Family or The Poverty of Philosophy. Hegel is from now on solicited for his dialectical discoveries: he elaborates the dialectic as an immanent process of thought and his discoveries serve Marx in developing his proper critique. The presence of Hegel in the period up to the publication of the first volume of Capital in 1867, in passing through diverse manuscripts of 1857-1858 (The Grundrisse) and the manuscripts from 1861-1863, has been attested to and demonstrated by works, either to reaffirm the heretical Hegelianism of Marx, (Rosdolsky, Reichelt, Zelenyi, all dedicated to research the logic of Capital, all following one of the most famous injunctions of all times, Lenin in the Notes on Dialectics) or to combat it in order to argue that Marx was Hegelian or anti-Hegelian (Althusser, and Bidet in his famous study, The Making of Marx's Capital).
This usage of Hegel consists essentially in using the categories of logic to expose the theoretical structure of the passages which operate from the commodity to value, from money as the measure of value to money as the means of exchange and as the universal means of payment, from money to capital. Schrader proposes the following recovery of the Marxist exposition of Hegelian categories: --Exchange value and the form of value correspond to the pure quantity of Hegel: this value and its measure is realized as money. The Marxist measure of value adopts the Hegelian determinations of the quantitative relations and their measure. --The circulation of commodities and money is described by the concepts of an infinite qualitative and quantitative process.  --Finally the passage from money to capital transposes the passage from being to essence. Marx has thus read and reused these conceptual determinations for the diverse functions of commodity, value, money and circulation.  And what about Spinoza? According to Schrader, he intervenes to resolve a logical problem that is at this point unresolved, that of the determination of the concept of capital supposed to integrate the logically preceding determinations. In good Hegelianism, Marx has made the movement of capital that of the essence of the concept. When Marx maintains that exchange value is realized in the circulation of other substances, in an indefinite totality, without losing the determination of its form, always remaining money and commodities, he makes capital the totality of substances. However, it thus impossible to maintain the internal connection between capital and labor, and more precisely abstract labor. Spinoza intervenes to make possible another use of the category of substance: that would not have its function to subsume the plurality of all substances, but to determine the quality of the fluent quantity that defines abstract labor.  One can see this in the text of Volume One of Capital, revised by Marx in 1873 for the French translation of J. Roy. The category of substance is introduce in the passage from the commodity to its determination as the contradictory unity of use value and exchange value. The exchange of commodities is only possible if the their values are "expressed in terms of something common to them all, of which thing they represent a greater or less quantities." This something is a substance specific to all commodities. "This common "something" cannot be either a geometrical, a chemical, or any other natural property of commodities…[] it is evident that one makes an abstraction from use value when one exchanges, and that the relation of exchange is characterized by this abstraction (Capital). Exchange and the production process which supports it operate this real abstraction from the useful qualities of the objects to be exchanged. This utility, although necessary, does not render possible the exchange of objects of value insofar as they products of labor. Exchange concerns the objects considered as products of labor.  If then we leave out of consideration the use value of commodities, they have only one common property left, that of being products of labour. But even the product of labour itself has undergone a change in our hands. If we make abstraction from its use value, we make abstraction at the same time from the material elements and shapes that make the product a use value; we see in it no longer a table, a house, yarn, or any other useful thing. Its existence as a material thing is put out of sight. Neither can it any longer be regarded as the product of the labour of the joiner, the mason, the spinner, or of any other definite kind of productive labour. Along with the useful qualities of the products themselves, we put out of sight both the useful character of the various kinds of labour embodied in them, and the concrete forms of that labour; there is nothing left but what is common to them all; all are reduced to one and the same sort of labour, human labour in the abstract.  Capitalism cannot be grasped as a subject enveloping the totality of the process of the development. It is no longer a simple quantity in indefinite expansion. It is thought as the "social substance of as exchange values." This substance can be determined as capital, but it goes beyond this process of determination by constituting a remainder, a "residue" that constantly reappears. "Let us now consider the residue of each of these products; it consists of the same unsubstantial reality in each, a mere congelation of homogeneous human labour, of labour power expended without regard to the mode of its expenditure. All that these things now tell us is, that human labour power has been expended in their production, that human labour is embodied in them. When looked at as crystals of this social substance, common to them all, they are – Values." The concept of Capital is not that of the concept of substance becoming subject., it returns to the concept of social substance defined as abstract labor creator of value, substance of value, and substance which increases value: purely progressive quantity reduced to its infinity which is a true infinity irreducible to the logic of bad infinity, that of capital which nonetheless subsumes it.  However it is said that this reconstruction does not rest on an explicit reference to Spinoza. The objection is well founded. Schrader responds that it is Marx who reread Hegel and saw that the formal system of Spinoza could be used against Hegel critique of the concept of substance in the Logic. It is a matter of the problem of determination. Omnis determination negatio, Marx keeps reminding everyone of this. If it is Hegel who validates Spinoza's judgement by demonstrating its insufficiency which for Marx transforms into a sufficient truth to permit him to avoid identifying capital with the Hegelian concept. Capital can increase its reality only by determining this social substance of abstract labor, by negating it. The tendency of capital, its ideal, is the absolute negation of this substance. Marx makes the insufficiency of Spinoza's substance according to Hegel into a virtue.  In the Logic the principle according to which determination is negation is recognized as essential. But Spinoza, according to Hegel, remains with determination as limit which is founded on an other being. The mode is in another from which it derives its being but this other is in itself. It is the integral concept of all realities. But its immanence is only apparent. Each mode negates each other, determination of each is the result of the determined negation of all of the others. Far from determining itself in these negations, substance is negated in its absolute indifference. It does not reflect itself in these negations no more than they reflect it. The Spinozist principle does not arrive at absolute negation that it anticipates contradictorily. The substance is posed by an external reflection which compromises the otherwise affirmed subsistence of the determinations which become an effervescent moment (attributes and modes). This can be read in the texts from The Science of Logic dedicated to Spinoza.  "Of this proposition that determinateness is negation, the unity of Spinoza's substance — or that there is only one substance — is the necessary consequence. Thought and being or extension, the two attributes, namely, which Spinoza had before him, he had of necessity to posit as one in this unity; for as determinate realities they are negations whose infinity is their unity. According to Spinoza's definition, of which we say more more subsequently, the infinity of anything is its affirmation. He grasped them therefore as attributes, that is, as not having a separate existence, a self-subsistent being of their own, but only as sublated, as moments; or rather, since substance in its own self lacks any determination whatever, they are for him not even moments, and the attributes like the modes are distinctions made by an external intellect. Similarly, the substantiality of individuals cannot persist in the face of that proposition."Hegel, Science of Logic  "Since absolute indifference may seem to be the fundamental determination of Spinoza's substance, we may add that this is indeed the case in so far as in both every determination of being, like every further concrete differentiation of thought and extension and so forth, is posited as vanished. If we stop short at the abstraction [of substance] then it is a matter of complete indifference what something looked like in reality before it was swallowed up in this abyss. But when substance is conceived as indifference, it is tied up with the need for determining it and for taking this determination into consideration; it is not to remain Spinoza's substance, the sole determination of which is the negative one that everything is absorbed in it. With Spinoza, the moment of difference — attributes, thought and extension, then the modes too, the affections, and every other determination — is introduced empirically; it is intellect, itself a mode, which is the source of the differentiation." Hegel, Science of Logic  3. It is capital which fails to realize its ideal determinations of essence and which falls back into the residue of the social substance, of the abstract labor which it masks. Capital as a mode of production is ruled by the real abstractions of exchange value which are not comprehended by social agents. Value is a social abstraction that is produced from the base of multiple dispersed evaluations, that the understanding of the economist produces only after the fact, but can be known as a real abstraction operated by society and which is determined as a social substance of abstract time. The determination of the common substance as abstract labor makes it possible to dissipate the mystification produced by the appearance of capital as the self moving essence of value. All of the people, who are modes of this substance, cannot immediately represent to themselves the internal determinations of this substance in which they appear other than as representation of theological-political complex, the same as the agents of capital who cannot represent to themselves the determinations of capital (commodity-value-money-forms of capital) without fetishizing them as autonomous movements of the value form. Theoretical knowledge, the Wissenschaft, does not dissolve this fetishism because the mechanisms of its social reproduction are founded on the constitution of these forms of representation and their real efficacy. Capital cannot arrive at self-identity in terms of an absolute reflection. The determination that Hegel imputes to Spinoza negatively of substance as exterior reflection can better convey the determinations of moments of its critique. This places within the development of initial economic forms this sort of equivalent of the attribute of extension that is human labor, this common social substance comprising the forms of modal representations which capture it, that is to say that the forms of consciousness and their functional relations in the material process of reproduction. It is therefore the relationship between the substances of abstract human labor and mystified or adequate forms of social representations of this substance that Marx finds in in the hidden Spinozian system and that he utilizes in order to escape the limits of Hegel's categories, which tend to sublimate substance into the concept and therefore annul the contradictions of capital in the passage from substance to the essence and the concept. From this point of view, Hegel and Spinoza would both be utilized without reservations by Marx as the complimentary and constitutive means of production of the critique of political economy. Spinoza would thus be primarily critical to the extent that the process of the development of the determination of capital cannot be ruled by the teleological order of being-essence-concept. The theory of the substance of abstract labor interrupts the movement of the idealization of capital from the mimesis of the Hegelian order that has been opposed. Spinoza is a moment of the emendation of the intellect internal to the Marxist critique, not an external instance that would be opposed in the confrontation with exteriority.  On an Incomplete Analysis  1. Schrader goes no further. The outline of his work remains open. In particular this analysis
Postulates as evidence a substantial theory of abstract labor, one that has come under criticism from multiple non-marxist thinkers (Croce, Pareto, Menger) and also, more recently, by Marxists (Althusser and Bidet). In this case the relation to Spinoza would lose its fecundity. But if one leaves to the side the labor theory of value and its supposed foundational role, on the internal level the analysis still remains allusive, because it would have been necessary to exceed the level of Volume One of Capital in order to demonstrate the decisive character of Spinoza's conceptuality in the Marxist conception.  Despite these uncertainties, the perspective opened by Schrader is stimulating in that can necessitate a more rigorous study, tempering the contradictory interpretations by the rigors of philology.  2. Schrader's final remarks seem to us be more provocative. Starting from the idea that
Spinoza and Marx begin from two different historical moments—that of manufacturing capital limited by the desire of hoarding and that of capitalism fully developed—the logical and ethico-political thesis of the submission of needs to absolute monetary enrichment, and that therefore the refusal of money as an end in itself, he begins to construct a shocking analogy between the third type of knowledge in Spinoza and the knowledge of the capitalist which exposes its money to circulation in order to multiply it. The determination of particular things sub specie aeternitas, as deepening the knowledge of their essence would symbolize with the effort of capitalists to insert money to measure things in their circulation sub specie capitalis. The reference to Marx attests to the irony of Marx: if the movement of true knowledge is infinite, this infinity cannot be confused with that of monetary accumulation which becomes a bad infinity because the means of accumulation are reversed and perverted to be posited as an end in itself.  3. It is more correct, as Schrader makes apparent, to find a space more effective for the
forma mentis common to Marx and Spinoza: the two both diagnosis the pathology of the understanding and that of a form of life proper to a given historical world. Both understand the irreversible character of modern passions and set to understand and eventually cure these pathologies.
Spinoza, son of a merchant enriched by international trade and a merchant himself in his youth, does not have contempt for money and the new wealth of nations promoted by capitalist economy. He does not dream of a return to oikos of finite needs in a household setting, he is not an aristoltean who condemns bad infinity of the circulation of merchandise which has as its object money and not the use value of merchandise. He registers the emergence of exchange value, he sees, as Aristotle did, that it is the subordination of true value.
Remember the famous text from Ethics IV Appendix, consecrated to the function of money.  XXVIII. Now to achieve these things the powers of each man would hardly be sufficient if men did not help one another. But money has provided a convenient instrument for acquiring all these aids. That is why its image usually occupies the mind of the multitude more than anything else. For they can imagine hardly any species of joy without the accompanying idea of money as its cause.  XXlX. But this is a vice only in those who seek money neither from need nor on account of necessities, but because they have learned the art of making money and pride themselves on it very much. As for the body, they feed it according to custom, but sparingly, because they believe they lose as much of their goods as they devote to the preservation
of their body. Those, however, who know the true use of money, and set
bounds to their wealth according to need, live contentedly with little. The realization of money as a concept, the accumulation of money for accumulation, is unrealized. Marx adds that this goal is inaccessible because the character of use value of commodities contradicts the universal sociality of value. The common social substance in so far as it is measured in abstract labor time is measured according to quantitatively determined portions. Money is supposed to represent value in its infinite becoming of an end in itself, but it can only effectively represent a determined part. This contradiction is resolved in the deplacement that money makes in becoming capital, exchange value multiplied in profit. Spinoza's therapeutic of desire also concern the intellect of calculation: the latter is not condemned, it is superior to the intellect of avarice which theorizes by avarita and does not develop the capacity to act and think. This understanding, however, is called upon to better understand the monetary economy by subordinating it to immanent true utility, that which is inscribed in the republic of free citizens. It is only in this sense that the accumulation of wealth under the monetary form can enter into the correct perspective of knowledge of the third kind. Marx in his own way wants to understand the action of human beings without deploring or flattering them. Capital cannot be understood going from substance to the essence of the concept, but it has its basis in substance, the social substance of abstract labor, and can be rethought and regrouped in the forms of economic understanding. Capital also has as its goal a particular therapeutic manner, the health and well-being of a social body that cannot be subsumed under capital but must encompass the increase of the capacities of acting and thinking that capital subordinates to itself.  4. This anti-teleological function of the concept of substance/abstract labor is not
maintained by Marx for long in his dialectic. Certainly the function of the subject cannot be attributed to capital, but it is displaced and given a different support, not that of abstract labor with its internal multiplicity and impersonality, but its bearer, that of the working class, the proletariat, the people of the people. The substance of abstract labor becomes subject in the determination that Marx always uses with the English term general intellect. One could thus see a final return of Hegel which interrupts Marx's return to Spinoza. The communism developed by the general intellect is the practical substitute of the Hegelian concept and imposes an anthropological version and anthropocentric teleology that Spinoza would not accept. What does the general intellect represent? It represents the capacity of the proletariat to organize the ensemble of forces defining the collective worker and the cooperation associated with it, under the direction of formation of the factory in the constitution of the unqualified worker, all representing the advance front of the progressive socialization of the social productive forces. Communism is not something that is imposed as a simple moral ideal, it is a product of the real historical process.  However, Marx does not escape here the teleologism that he shares with majority of
German idealism. The socialization of productive forces—that for Marx leads the process of the self-production of humanity realizing its immanent end and to which he attributes the function of the concept—is not realized at the level of society. It cannot in any way constitute itself as a causa sui. The human world remains a world of world of modal relations and interactions: if the effects of liberation can realize themselves at the level of the individual (by the knowledge of singular things) or at the level of collectivity ( by the democratic constitution of the multitude), these effects would not be made from a mode as a complete cause of itself under all points of view. The capacity of a mode to act and think, human individual or society, can be more or less adequate, but this adequation does not annul the difference that separates the mode which is produced by and in another which it requires to subsist and which is produced in and by itself and becomes a cause of itself. The identity of natura naturata and natura naturans cannot grant a mode the capacity to be cause of itself under all points of view: it permits it to do so under certain points of view and certain conditions which are sufficient for an ethical realization. Communism to the extent that Marx thinks in terms of the becoming concept of the collective worker exceeds the conditions and possibilities of action predicated on modes.  To this structural impossibility we can add the consideration of an analytical one: modern society is not immense and singular enterprise under the order of the collective worker, it is, to say the least, a network of antagonistic enterprises in which on the contrary the process of work is fragmented to the point where it loses all material and ideal unity, a fragmentation that has been imposed by the imperative of capitalist society. Exploitation is not only maintained but it is generalized, it is only in compensation that the recomposition of labor process itself as something collective, cooperative, and associated that Marx believes leads the dialectic of the process of capitalist production. Spinozist realism is here irreducible. It does not limited us in taking the measure of the problem posed generally by Marx, it excludes, however, the solution envisioned from speculative teleology and it compels us to attempt to comprehend the modal form in which exploitation is reproduced. How can we form a new theory of the capacity for insurrection of the multitude subordinated to capital while they also resist it. What effects of liberation can still be manifested by producing new subjectivities which are embedded in real productive activities, not prisoners of unproductive ghettos ravaged by self-destructive violence, nor recluse themselves in the powerless rumination of a moral salvation? How can we escape forms of historical impotence? How can we avoid being reduced to the status of spectators of this impotence? Such are the questions posed by Marx and which are posed again today along with Spinoza and his critique of the teleological illusions of the general intellect, questions which have not arrived at the end of their road. But it is historically vain to ask Marx these questions: they are ours and it is up to us to answer them.

Issue 29.5 of the Review for Religious, 1970. ; EDITOR R. F. Smith, S.J. ASSOCIATE EDITOR Everett A. Diederich, S.J. ASSISTANT EDITOR John L. Treloar, S.J. QUESTIONS AND ANSWERS EDITOR Joseph F. Gailen, S.J. Correspondence with the editor, the associate editors, and the assistant editor, as well as books for review, should be sent to R~vxEw FOR l~mcxous; 6t2 Humboldt Building; 539 North Grand Boulevard; Saint Louis, Missouri 63to3. Questions for amwering should be sent to Joseph F. Gallen, S.J.; St. Joseph's Church; 32i Willings Alley; Philadelphia, Pennsylvania tgx06. + + + REVIEW FOR RELIGIOUS Edited with ecclesiastical approval by faculty members of the School of Divinity of Saint Louis University, the editorial offices being located at 612 Humboldt Building; 539 North Grand Boulevard; Saint Louis, Missouri 63103. Owned by the Missouri Province Edu-cational Institute. Published bimonthly and copyright ~) 1970 by REVIEW FOR R~LlCIOU. at 428 East Preston Street; Baltimore, MaC/- land 21202. Printed in U.S.A. Second class postage paid at Baltimore, Maryland and at addiuonal mailing offices. Single copies: $1.00. Subscription U.S.A. and Canada: $5.00 a year, $9.00 for two yeats; other countries: $5.50 a year, $10.00 for two years. Orders should indicate whether they are for new or renewal subscriptions and should be ¯ accompanied by check or money order paya-ble tO RZVXEW FOR RELIGIOUS in U.S.A. currency only. Pay no money to persons claiming to represent REVIEW FOR RELIGIOUS. Change of address requests should include former address. Renewals and new subscriptions, where ex¢ora. partied by a remittance, should be sent to R£vI~w FOR RELIGIOUS; P. O. ~OX 671; Baltimore, Maryland 21203. Changes of address, busine~ correspondence, and orders not a¢¢ompanid by a remittance should be sent to REvll~W l~Ol~ RELIGIOUS ; 428 East Preston Street; Baltimort, Maryland 21202. Manuscripts, editorial cor-respondence, and books for review should be sent to REVIEW ~OR RF.LIOIOUS; 612 Humboldt Building ; 539 North Grand Boulevard: Saint Louis, Missouri 63103. Questions for answering should be sent to the address of the Questions and Answers editor. SEPTEMBER 1970 VOLUME 29 NUMBER 5 ,!111; JOHN W. O'MALLEY, S.J. History, the Reformation, and Religious Renewal: Pluralistic Present and New Past Even the most cautious historian would probably be willing to subscribe to the sweeping generalization that Roman Catholicism has changed more radically in the past four years than it had in the previous four hundred. A sense of uprooting and upheaval is inevitable under such circumstances, and we should not be surprised that the resulting tension has been felt most acutely in religious communities. These communities presumably" are the places of keenest religious sensibilities and, at least until recently, the places where the traditions of the past were professedly cultivated. But the changes have often shattered these traditions and have inter-rupted the sense of continuity with the 'past. The conse-quent confusion has forced religious to turn, sometimes somewhat desperately, to any quarter which promises rescue. Somewhat paradoxically, religious even turn to history, in the hope that the long narrative of the Church's pilgrimage will throw light on the present crisis. Often the specific focus of their interest is that other era of history well known .for its religious tension and tt~rmoil, the age of the Reformation. This focus is at least in part due also to the !fact that the theology and spirituality of the Reformation era had been protracted in the Church to the very eve of Vatican II. In studying the sixteenth century many religious were to some extent ~tudying themselves. The present author, as a practicing historian of the Reformation, has frequently been asked by religious in 4- ¯ Fr. John W. O'Malley, S.J., is as-sociate professor in the department of history; University of Detroit; Detroit, Michigan 48221; . VOLUME 29, ~.970 ÷ ÷ ÷ 1. W. O'Malley, $.J. REVIEW FOR RELIGIOUS 636 the past several years to answer the following question: Is not the present upheaval in the Church very similar to .the upheaval of the Reformation era? The following pages will attempt to answer that question and to use it as a focus to explore the unprecedented nature of the aggiornamento we are experiencing today. It is to be hoped that such an exploration will be helpful to reli-gious in trying to understand their present situation in history and in describing to them the drastic creativity which is required of them in the renewal of their own communities. "Is not the present upheaval in the Church very simi-lar ~o the upheaval of the Reformation era?" The ques-tion begs for an affarmative answer, and such an answer is indeed suggested by many obvious similarities between the sixteenth century and the twentieth century. Both centuries,, for example, experienced a challenge to papal authority; both centuries tried to revise the forms of religious life, saw large numbers of men and women leaving religious life, and so forth. However, in spite of the many similarities and in spite of the measure of consolation which an affirmative answer might bestow, the fundamental reply to the question has to be a re-sounding negative. The present upheaval is radically different from the upheaval of the sixteenth century. It is important for us to see just how it is radically different, for only then can we cope with the practical repercus-sions which such a difference has on our own lives. In order to explore this topic we must first expose two assumptions which are the basis of the discussion which is to follow. These assumptions are simple and familiar to us all, but they bear repetition because they are so fundamental. First of all, behind every action there is an idea. Ideas are power. They are dynamic in character and even the most abstract of them tends eventually to issue in action and to influence conduct. Therefore, to study an idea is to study the energetics of social change. Secondly, behind every idea there is a culture, a fabric of thought and feeling of which any given idea is a partial expression and reflection. The idea may even have been created by the culture in question, for ideas are not eternal. They are born at some particular time and in some particular place. Or if the idea was merely inherited fxom an older culture, it is modified and changed by the new culture as the new culture accepts it as its own. In the study of the history of ideas, sensitivity to the total cultural context is an absolute prerequisite for discerning an idea's birth, de-velopment, and even total transformation, in the course of its history. The idea towards which we shall direct our attention is the idea of Christian reform :or renewal. As an idea it has its own history, which is a reflection and expression of the various cultures where it was and is a vital force. This history until recently was not much investigated by historians, but it is now receiving more adequate atten-tion. We shall try to trace this history very briefly, with special emphasis on the Reformation era, in the con-viction that such an endeavor will be enlightening and helpful for us in our present crisis. In particular, we shall contrast the cultural framework which undergirded the idea of reform in the age ,of the Reformation with that which undergirds aggiornamento today. Recent studies on the origin and early development of the idea of reform in Scripture and the fathers of the Church have shown that in those early'centuTies reform meant the transformation of the individual Christian into God's image and likeness. It had not as yet occurred to Christians in any very c6herent fashion that the Church as an institution--or rather that institutions in the Church--might be subject to reform and revision. The idea of institutional reform surfaced for the first time during the so-called Gregorian Reform or Investi-ture Controversy of the eleventh century. During this period the functions and allegiances of the episcopacy were at the center of the bitter contest between pope and emperor, and it was the papacy which wanted to change the status quo by returning to what it felt was an older and sounder tradition before bishops had become sub-servient instruments of royal and imperial policy. With the Gregorian Reform the idea was inserted into the Western ecclesiastical tradition that the Church it-self was subject to reform. The impact of this idea upon later history is incalculable. From the eleventh century forward the idea would never again be absent from the story of the Church; and at some times, as in the early sixteenth and the mid-twentieth centuries, it would come to dominate and profoundly disturb that story. By the early years of the sixteentll century we can honestly say that a reform hysteria had set in. Reform had become the common preoccupation, almost obsession, of the age. What is to be said about [ireform in the sixteenth century? Perhaps the first thihg which strikes our at-tention is the almost limitles~ variety of reform ideas and reform programs. We see stretched before us a chaotic panorama in which it is hard to find order, progression, or consistency. The figure of Luther, of course, dominates the scene, and he to some degree influenced, at least by way of reaction, all reforms in the century: But we are really hard pressed to find a very obvious intellectual affinity between him and a refbrmer like Michael Servetus, who denied the Trinity and ÷ ÷ VOLUME: 29,' 1970 6:~7 I. w. O,M,a~y, S.I. REVIEW FOR RELIGIOUS 638 who taught that the corruption of Christ's doctrine, which began with the Apostles and which was furthered by the fathers and scholastics, was brought to inglorious constimmation by contemporary ~eformers like Luther. And what direct relationship was there between an Anabaptist quietist like Conrad Grebel and an Ana-baptist visionary like John of Leyden, who made polyg-amy obligatory at Mfinster and maintained himself there in voluptuous, polygamous opulence? Even within Catholicism a great gap separates Gasparo Contarini, the conciliatory Venetian nobleman and friend of St. Ignatius, from the fierce and rigid Gian Pietro Carafa, at .whose election to the papal throne even Ignatius blanched. The more we learn about the sixteenth cen-tury the more clearly we see how complex and variegated it was. Generalization seems impossible. And the at-tempt to compare it with the twentieth century seems even more impossible, for we are all keenly aware of the variety and even contradiction which characterizes contemporary ideas of reform and aggiornamento. We have set ourselves an impossible task. ¯ On the other hand, if what we said earlier about cul-tural patterns is true, all of these reform phenomena should be able to be studied as manifestations of a common culture. There should be somewhere, if we dig deeply enough, elements manifestative of a common intellectual and emotional experience. These elements, though distinguishable from one another, also com-penetrate one another, so that in speaking of one of them we to some extent are also speaking of the others, since all are facets of the same cultural reality. We are justified, therefore, in our undertaking, especially if we keep clearly in mind how precarious it is and how subject to exception is almost every generalization. In our comparison of the sixteenth with the twentieth century we shall concentrate on two elements or phe-nomena which are particularly significant for out topic and particularly revelatory of the character of the two cultures. The first of these phenomena we shall designate as the cultural parochialism of the sixteenth century and the cultural pluralism of the twentieth. The cul-ture of the sixteenth century was a parochial culture. The great controversies of that century were carried on within what we now see to be the narrow confines of the Western intellectual tradition. One reason why the sixteenth century was an exciting century in which to live was that it initiated through its voyages of dis-covery the new age of world consciodsness which we experience today. But only the faintest glimmers of. this world consciousness had penetrated to Europe by 1517. It is true. that in the Italian Renaissance, which to some extent was contemporaneous with the Reforma-tion, there was a greater awareness of cultural diversity. Moreover, there was an attempt to come to terms with it. Both Nicholas of Cusa and Marsilio Ficino speak of the splendor which comes to religion from the diversity of rite and ritual which God permits throughout the world. But such tolerance and breadth of vision was not characteristic of the European intellectual scene as a whole. Indeed, even where these virtues were. operative they eventually tended to be snuffed out by the harsh polemics of the religious controversies. The very dictum "Scripture alone," which we associate with the Protes-tant reformers, is symptomatic of what was happen-ing. No matter what is to be said of this dictum as an expression of theological principle, from the cultural point of view it suggests narrowness and constriction of vision. The Catholic formula, "Scripture and tradi-tion," is broader and suggests an urbane and mature consciousness of complexity, but it, too, implies more restriction than the ideas of Cusa and Ficino. The re-formers--- Protestant and Catholic--railed against what they felt were the paganizing tendencies' of the Renais-sance, and we often echo their judgments even today. But much of this so-called paganizing can be more be-nignly and more accurately .interpreted as a serious at-tempt to broaden the cultural base of Christianity. The cultural parochialism of which we have been speaking was made possible and even fostered by the slow and inadequate means of communication which the sixteenth century had at its disposal. More im-portant, these slow and inadequate means made it possible for sects to develop and for governments to impose a particular and rigid religious style on whole populations. In other words, it was still possible to ex-clude those factors which would tend to develop re-ligious and cultural pluralism or to operate for a more broadly based unity. German Lutheranism, Dutch Calvinism, Spanish Catholicism could continue to perdure as distinct and seemingly relentless cultural .phenomena only because they were protected from fac-ing the challenge of cultural and religious diversity. We today have no such protection, and we cannot construct barriers to keep out what we find offensive and disturbing. In the modern world pluralism is the very air we breathe, and it is one of the most signifi-cant factors influencing us and marking us off from all men who have ever preceded us on this globe. Modern means of communication have introduced the otherwise-minded into our very homes, and we have no instrument to muffle them. We must come to terms with diversity. ÷ :÷ VOLUME 29, 1970 639 4. I. w. o'Mo~, s.1. REVIEW FOR RELIGIOUS 640 Our: Christianity, therefore, and our style of renewal must come to terms with it. Ecumenism, for instance, is not simply an accidental adoi:nment to our religious and intellectual style. It is not simply a good idea that we concocted and then tried to thrust down the throat of an unwilling Church. We perhaps cannot describe it as inevitable, but we cer-tainly can describe it as symptomatic of the culture in which we live and urgently required by it if we genuinely believe in truth and honesty. Our experience of pluralism has forced us all to admit the possibility of different, complementary, con-trasting, and at times almost contradictory insights into the same data. It has forced us to realize that each of these, insights may have some validity and that no set of categories can capture any reality in all its splendor and multiplicity. This realization, has not made us gkeptics, but it has made us cautious in our judgments and aware of how relative our insights might be. Our experience of pluralism has thrust upon us a new epistemology. In the sixtbenth century the assumption which under-lay religious discussion was that truth was one and that orthodoxy was clear--clear either from Scripture or from the teaching of the Church. Cultural parochialism fostered this assumption. It allowed beliefs to perdure untested by confrontation with different beliefs. The epistemology of the sixteenth century, parochial and rigid with the academic rigidity of the scholastic de-bates, made little allowance for the possibility of plural-ism of insight. It insisted upon the exclusive validity of a single insight, with a consequent insistence upon the exclusive validity of particular categories and concepts. Truth in such a system is not multifaceted and ever some-what beyond our grasp, but monolithic and subject to our despotic contro!. It is de jure intolerant. Its particular formulations are so many weapons for use in battle ¯ against other equally parochial formulations. Polemic, therefore, is its appropriate literary style. The theology of the sixteenth century is quite cor-rectly described as polemical and controversialist theol-ogy. We perhaps fail to realize how appropriate such a style of theology was to the cultural experience and epistemological presuppositions of that century. To an intolerant truth corresponds an intolerant literary form. No other form would be honest. The only possible explanation for a person's refusal to accept the true and orthodox insight must be moral perversity. Hence, orthodoxy and virtue, heterodoxy and vice were the two sets of inseparable twins. Significantly enough, the characteristic literary form of the Italian Renaissance was the dialogue, the form which implies an awareness of diversity and a willing-ness to live with it. It was an awareness too delicate to be able to contain the religous resentments which ex-ploded in 1517. But it is not too delicate today. Dialogue is the literary form required by our epistemology, which has been conditioned by our experience of cultural pluralism. Dialogue and rapprochement are not arbi-trary creations of the ecumenist. They are necessary corollaries to being intellectually honest in the latter half of the twentieth century. Our style of renewal, therefore, cannot be apodictic, autocratic, intolerant, or suffused with old-time single-minded zeal. Our culture--that is to say, WE, as prod-ucts and creators of that culture--require something else. Our style is radically different. It is groping and tentative. It is experimental and participati~ve. It is even somewhat double-minded, for it realizes that even re-ligious reform must keep an eye on secular realities precisely as potential for religious values. The second phenomenon manifestative of the cul-tural divergence of the sixteenth century from the twentieth century is perhaps more important: the sense of history operative in the two centuries. Here, es-pecially, we must beware of giving the impression that each individual in the sixteenth or twentieth century thinks about his past in precisely the same way. In the sixteenth century, in fact, historical thought ranged from the subtle understandings of persons like Fran-cesco Guicciardini and Desiderius Erasmus to the crudest forms of apocalyptic. However, we can say that, by and large, sixteenth-century thinkers discerned some consistent and coherent pattern in the historical process, and they saw this process as directly under the divine influence. They usually arrived at their formulations of such a pattern by a very arbitrary fusion of historical fact with metahistorical speculation which they drew from Antiquity and the Middle Ages. The result was often a hodge-podge of myth, metaphysics, and unsub-stantiated historical data. From this was constructed a pattern of expansion or decline or cycle or cataclysm or culmination which was presented to the reader as God's design. Thus the author was able to rise above history's mystery and to protect himself from history's terror. There was one very important consequence of this approach to history: it tended in some fashion to absolutize the past. The religious thinkers of the six-teenth century all tended to see past events, especially religious events, as issuing from God's hand and as under His direct influence. They were not particularly Renewa/ VOLUME 29, 1970 641 ~. W. O'Mall~, S.~. REVIEW FOR RELIGIOUS 642 concerned with the singular, contingent, concrete hu-man causes which produced particular phenomena. They were concerned rather to see them as products of di-vine providence, as r~eflections of the divinity, as neces-sary elements in a predetermined pattern. They thus tended to endow them with an absolute value which defied reconciliation with the contingent historical cir-cumstances under which they had come into being. The contrast of this style of historical thinking with our own is dramatic. We all have acquired to a greater or lesser degree some measure of historical conscious-ness ~s defined in terms of modern historical method and hermeneutics. What this means is that we approach the past as a human phenomenon which is to be under-stood in terms of human thought and feeling. Each person, event, doctrine, and document of the past is the product of contingent causes and subject to modification by the culture in which it exists. Everything in the human past is culturally conditioned, which is just another way of saying that it is culturally limited. Such awareness of cultural conditioning distinguishes modern historical consciousness from that which pre-ceded it, and it is an awareness which has been growing ever more acute since the nineteenth century. The text of Luke's Gospel could have been produced only by first-century Judaic-Hellenistic Christianity. Fifteenth-century humanism would have created a completely different text, different in concept as well as in language. Awareness of such cultural differentiation helps make Scripture scholars today much more keenly conscious of how Scripture is the word of man than they are of how it is the word of God. Until quite recently the very opposite was the case. What modern historical consciousness enables us to understand more clearly than it was eve~ understood before, therefore, is that every person, event, doctrine, and document of the past is the product of very specific and unrepeatable contingencies. By refusing to consider them as products of providence or as inevitable links in an ineluctable chain, it deprives them of all absolute character. It demythologizes them. It "de-providential-izes" them. It relativizes them. The importance of such relativization is clear when we consider the alternative. If a reality of the past is not culturally relative, it is culturally absolute. It is sacred and humanly unconditioned. There is no possibility of a critical review of it which would release the present from its authoritative grasp. For one reason or another an individual might.reject a particular institution or set of values as not representing the authentic tradition of the past. But. there is no way to reject the past as such. There is no way to get rid of history. The two styles of historical thinking which we have just been describing radically condition the idea of re-form. If we were to describe in a word the funda-mental assumption which underlay the idea of reform in the sixteenth century, it would be that reform was to be effected by a return to the more authentic religion of a bygone era. Somewhere in the past there was a Golden Age untarnished by the smutty hand of man, an age when doctrine was pure, morals were upright, and institutions were holy. It was this doctrine, these morals, and these institutions which reform was to restore or continue. According to this style of thinking Christ somehow or other became the sanctifier and sanctioner of some existing or pre-existing order, and that order was thus imbued with transcendent and inviolable validity. For centuries many Christians thought that such an order was the Roman Empire, and that is why the myth of the Empire's providential mission and its duration to the end of the world perdured many centuries after the Empire ceased to be an effective reality. According to this style of thinking all the presumptions favor obedi-ence and conformity. Protest and dissent can only rarely, if ever, be justified. There is no way to see Christ as contradicting the present and rejecting the past. Such a style of thinking is foreign to our own. Even though as Christians we attribute a transcendent mean-ing to the person of Jesus and therefore attribute a special primacy to those documents which resulted from the most immediate contact with him, we cannot see the first Christian generation as a Golden Age. Scoiologi-cally speaking, it was the charismatic generation. His-torically speaking, it was a generation like all others-- human, contingent, imperfect, relative. The formula-tions of Christian doctrine in the great early councils must be subjected to the same radical criticism. We do not easily find in them a harvest of eternal and immu-table truth. Intellectually, therefore, we repudiate the sixteenth-century's historical style. Emotionally, however, we find a certain satisfaction in it of which it is difficult to divest ourselves. What satisfies us in this style is its fufidamental premise that somewhere in the past there is an answer to our questions and a solution to our prob-lems. If we could only get back to the ':true mind" of somebody or other, how easy it then would be to im-plement our reform. How easy it then would be to save ourselves from the risk of having to answer our own VOL:UME" 29, 1970 643 ~. W. O'Mallt'y, REVIEW FOR RELIGIOUS ¯ 6,t4 questions and solve our own problems. This is the emotional consolation which such a style of historical thinking provides. We neatly fit ourselves, for instance, into a preconceived pattern of homogeneous develop-ment, and then we dip into the Golden Past to discover how to behave as the pattern unfolds itself. We are secure. We have been saved from history's terror. No such salvation, however, is open to us of the twentieth century. Modern historical consciousness has relativized and demythologized the past, thus liberat-ing us from it. But we are liberated only to find our-selves on our own. The past has no answers for us, and we face the future without a ready-made master-plan. It is this fact which makes our style of renewal radically different from every reform which has ever preceded it. We are painfully conscious that if we are to have a master-plan we must create it ourselves. In spite of certain superficial similarities, therefore, the problems of the sixteenth-century Reformation are not those of twentieth-century aggiornamento. Underly-ing these two reforms are two radically different cul-. tural experiences, which have radically transformed the idea of reform. Our twentieth-century idea of reform has been conditioned by our experience of religious and intellectual pluralism, and this has transformed it from pronouncement to conversation. Our idea of reform has also been conditioned by our modern historical consciousness, and this has divested us of the consola-tion of a past which answers our questions and tells us what to do. The implications of the foregoing reflections for re-newal within religious communities should be obvious. First of all, our problems will not be solved from on high by some sort of autocratic decree. Before any reasonable decision is reached on any major question a certain amount of open discussion and communal dis-cernment is an absolute prerequisite. The exercise of "obedience" is thus so drastically changed that we can well wonder if the word, with all its connotations, is really an adequate expression of what we now mean. In any case, participation and tolerance of diversity of viewpoint are now such pervasive realities of the cul-ture in which we live that there will be no viable + solutions to any problems without taking them into ac- + ¯ count. ÷ Secondly, although we do want to get back to the "true mind" of our founders, we must realize that we are in a very different cultural context than the founders were. We have to be bold in interpreting their "mind," and we must realize that even they do not answer our questions in our terms. Keligious renewal today, for the first time in the history o[ the Church, is more con-scious o~ its break with the authentic past than it is of its continuity with it. This may not be a very consoling realization, but it is one which we must constantly be aware o~ as we try to face the ~uture. Indeed, we face a new future because to a large extent we have created ~or ourselves a new past. j. DOUGLAS McCONNELL Good Stewardship Is Management and Planning J. Douglas Mc- Connell is a mem-ber of the Stanford Research Imfitute; Menlo Park, Cali-fornia 94025. REVIEW FOR RELIGIOUS Thank God for the courage and wisdom of the fathers of the Second Vatican Councill Their decree, Perfectae caritatis, charging all institutions and orders to under-take renewal, may have provided a means that will en-able the talents of both men and women religious to be developed more fully and utilized more effectively in serving the People of God. It may also be the means by which some (not all) orders will survive in the years ahead. There is no need here to discuss the declining numbers of[ novices, the increasing numbers not taking final vows or opting for exclaustration, the growing costs of retirement, and the trend in age distributions. These are symptoms, not causes, and their disappearance rests entirely on how the orders adapt themselves to this, the latter third of the twentieth century. Historically, the least practiced parable within the Catholic Church has to have been the parable of the talents, and this is particularly true insofar as orders of religious women have been concerned. They have truly been hand-maidens of the Church; they have occupied subservient roles and have been encouraged to remain in secondary roles--interpreting kindly the motives and action of others, shunning criticism, and avoiding evaluation of another's fitness for her work or position--yet they possess tremendous capabilities. For the better part of a decade Stanford Research In-stitute (SRI) has undertaken research projects in the area of corporate planning, and for many more years in the field of management. In that time, working with members of the Fortune 500 and numbers of relatively small businesses, SRI has developed a philosophy or a set of principles that underlies the physical tasks in the planning process and exercise of management functions. In the last three years we have been privileged to work with the following orders in assessing their present and future status: Sisters of the Holy Cross, Notre Dame, Indiana; the Sisters of Charity of Mount St. Joseph, Cincinati; and the Sisters of Charity of Mount St. Vincent, New York. The 'philosophy of corporate planning has proved to be as effective for religious orders as for corporations. We do not have "the answer," and we are the first to admit that our approach evolves a little with every study and improves; but we do have a system that is logical, comprehensive, participative, timely, and oriented toward results. The system SRI follows is outlined here because we believe it offers sound means of planning for. the future, of implementing change without chaos, and of exercising true collegiality and subsidiarity. A number of sisters have even called it "the key to survival." What Is Planning? All of us plan to some extent whenever we think ahead to select a course of action. But this is a weak way of defining planning. SRI prefers to define effective planning as a network of decisions that direct the intent, guide the preparation for change, and program action designed to produce specific results. Note that the emphasis is on goal-directed action. Ob-jectives can be determined and achieved if properly planned for. The network of decisions recognizes the in-terrelationships between internal and external factors and that earlier decisions may greatly influence later ones. On more than one occasion I have heard of a diocese "giving" a high school to an order. The deci-sion to accept, in at least two instances, has meant a considerable drain on the human and financial re-sources of the orders concerned and effectively com-mitted them to that apostolate for many years, irrespec-tive of the priorities of the sisters in the congregations. Throughout our private and corporate lives we make decisions under conditions of uncertainty; and we trust, with varying degrees of probability, that the outcomes will be as anticipated. The formal process of planning described briefly here does not guarantee success, how-ever that may be defined, but it considerably enhances the probability. SRI does not talk about short and long range planning as separate functions. Planning is the function that ex-tends into the future as far as is considered desirable. If a college operated by an order requires 50 percent of its faculty to be religious (so it can provide Christian wit- 4. 4- + Stewardship VOLUME 2% 1970 647 ]. D~ .McConnell REVIEW FOR RELIGIOUS '648 ness and remain economically viable), the retirement pattern for the next six or seven years determines what type of graduate fellowships should be offered for both the coming academic year and the several that. follow. The awarding of fellowships in its turn requires that other decisions be made.This year's budget and deci-sions should be determined on the basis of their con-tribution to the long range objectives of the institution or order, and not be de facto determiners of the direc-tion the organization takes. The Genius Founder Our research studies and project work concerned with the nature of organizations, corporate development, and successful management have indicated that, in almost every case, successful organizations of all kinds have been the brainchild of a single person or, in rare instances, of two in partnership. Names such as Vincent de Paul, St. Ignatius Loyola, Elizabeth Seton, Catherine McAuley, St. Francis Xavier Cabrini, Baden Powell, General Booth, Henry Ford, Alfred Sloan-Charles Kettering, Gen-eral Wood, Hewlett-Packard, the Pilkinton Brothers, Andrew Carnegie, and H. J. Heinz come readily to mind. By analyzing the attributes and state of mind of the "genius founder" of the business enterprise, SRI devel-oped a framework of tasks designed to re-create the mental processes of the genius entrepreneur within the management team of the corporation. Let me explain further. As we see it, the success of the "genius founder" is in large measure caused by his un-swerving dedication to setting high goals and .to reach-ing for them. He has vision on which he bases his own objectives and sets his own goals. And he does this not simply on the basis of last year's results plus some growth factor or what has always been done, but on the basis of his own perception of his own capabilities and the drive to satisfy his own needs. These attributes of vision and ~ommitment in goal setting are most impor-tant. Other distinguishing attributes of our "genius founders" appear to us to be: oA willingness to assume risk oA sense of inquisitiveness or unceasing curiosity ~Insight into relationships between concepts, objec-tives, needs, and needs satisfaction; the ability to see implications or utility ~Ability to make sound value judgments as to what is central and peripheral to attaining his objectives ~Creativity, be it in the area of product, technology, or a new marketing approach oFeasibility judgment based on foresight, experience, and a problem-solving ability oAbility to marshall the resources needed to accom-plish his objectives and goals oAdministrative ability to organize the resources to accomplish his goals and satisfy his inner needs. Organized Entrepreneurship To translate the "genius founder" or "genius entre-preneur" concept to the complex organization, SRI de-veloped a methodological framework that we call "or-ganized entrepreneurship." This framework provides a process of planning that meets the criteria of compre-hensiveness, logic (including provision for retraceable logic), participation by the corporate membership, time-liness, generation of rapid understanding based on a common frame of reference, and an orientation toward results, that is, the decisions reached can be acted on and managed. Through a series of tasks it also repro-duces corporately the distinguishing attributes of the entrepreneur. Let us now briefly go through the planning steps with their various tasks to show you how they fit together in a logical pattern. Step 1: Determination of Corporate Objectives Many institutes and orders have approached the question of who they are and what they want to achieve in overly simplistic terms. Too often purpose is expressed only in broad conceptual statements such as "the glorification of the Lord," "mercy," and "charity" and in terms such as "care for the homeless, the sick, and the aged," and "Christian education." Motherhood statements of a broad nature serve a unifying purpose but tend to let the members of a congregation under-take any work whether it really fits the primary purposes of the order or not. What a congregation is and what it is about are com-plex issues, and definitional statements formulated must take into account the expectations of the several stake-holder groups, the corporate skills and resources, and environmental change. One implication of this is that objectives have to be reviewed periodically. The end result is a family of objectives or, as people like Grangerx and Boyd and Levy2 have termed it, a hierarchy of objectives. a Charles H. Granger, "The Hierarchy of Objectives," Harvard Business Review, May-June 1964, pp. 63-74. ~ Harper W. Boyd and Sidney J. Levy, "What Kind o£ Corporate Objectives?" Journal o] Marketing, October 1966, pp. 53-8. Stewaraship VOLUME 29, 1970 64:9 ÷ ÷ ÷ ]. D. McConnell REVIEW FOR'RELIGIOUS 650 When defining the broad purpose of an organization, one has to recognize the sometimes conflicting interests of the stakeholders, that is, the members, the diocese(s),. the suppliers, and the customers (parishes, students, pa-tients, and the like) and yet resolve the conflict. Be-neath this broad umbrella a hierarchy of objectives is formulated for each stakeholder group, apostolate area, and the generalate of the congregation. As one goes through the hierarchy, the objectives become more specific in their direction, their distance, and the rate at which they can be achieved. The specification of objec-tives also facilitates the development of key criteria for evaluating performance and, sociologically, it recognizes the reality of the situation. The refusal of many clergy to accept Pope Paul's ruling on birth control was really a move to realign those matters considered to be within the realm of individual conscience, those .considered to be within the realm of the clergy, and those considered to obe essential to the faith and therefore within the realm of the Holy See. The present thrust to clean up the environment is an expression of the expectations of the-community stakeholders whose objectives have not been accorded rightful emphasis in the past by a society that has acceded too often to the claims of industry. To develop this hierarchy of objectives it is necessary to undertake a series of analyses. Stakeholder .4 nalysis The typical stakeholders in a congregation of religious are the members, .the diocese(s), functional or apostolate groups, customers, suppliers, financial institutions, and the community within which it operates. For each stakeholder group the governing board at-tempts to answer the following broad questions: oWhat does this group want from the congregation? oWhat expectations does this group have for the con-gregation? ~To what extent are these expectations being met? ~To what extent can the congregation meet them, recognizing .that it is impossible to do everything? Expectations will relate to such items as number and quality of services provided, fees charged, availability, citizqnship, jobs provided, behavior, ethics, and morality. The analyses should take into account the present balance and reconciliation of stakeholder interests, rec-ognizing conflicting interest and expectations as well as attempting to assess what is changing that will affect future expectations. A realistic stakeholder analysis within most dioceses would reveal the extent to which the expectations of local parish priests are being met at the expense of sacrificing the interests of the other stakeholders--the students, the parents, and lthe teachers (lay and religious) staffing the schools. An~ interesting commercial example is the Unilever Company in Africa, which made realistxc stakeholder analyses and surwved the nationalistic fervor of transition fromI colonies to countries by becoming a manufacturer rather than a trader, an economic developer of local resources rather than an extractor, and a partner rather tha~n an oppo-nent. Today, Unilever has a stronger position than ever in African markets. Special studies are almost mandatory because the senior corporate managementI group can hardly be expected to know the basic underlying factors determlmng expectations and perceptions of the stake-holder groups. The provisional stakeholder analysis for ~any commu-nity would include such factors as the percentage of families directly employed by the ~nstxtut,e; the con-gregation's contribution to and percentage of local taxes, if any; the number of members in religiohs teaching, social, civic, and political jobs (full and pa~t time); the annual contributions by the congregation Ito area or-ganizations; sponsorship of local groups; pol~itical action (lobbying, testifying regardxng leg~slatxon) at all levels; and local community attitudes toward the institutions of the congregation. In overseas operations it should also include studies of such factors as ~he political climate, stability of government, acceptan~ce, cultural variables, and attitudes toward overseas-based congrega-tions. Customer analysis will vary by type of apostolate. An orphanage would have different criteria froth those of a college or a retreat center, for example. Nevertheless, all analyses should include estimates for each class of serv-ice, the total potential "customers," the actual numbers served, the "market" share by value and volume, and an evaluation of quality of service as perceivec.lI by custom-ers. As is readily apparent, data on stakeholtler expecta-tions have to be gathered from a wide variety of sources: internally within the congregation, from independent appraisers, and from those actually served. Determining Corporate Potential The final component of this first task of ~tetermining corporate objectives is the establishment of a level of ~ . aspiration in the form of the corporate potentxal. Henry Ford estimated his potential as prowd~ng e~,ery Ameri-can family with an automobile. William Hesketh Lever wanted to make cleanliness commonplace in an era when Queen Victoria took a bath "once a week, whether she ÷ ÷ ÷ VOLUME 29, 1970 651 4. 4. 4. ~. D. McConnell REVIEW FOR RELIGIOUS needed it or not." Our genius entrepreneurs have al-ways reached high, and this has been true of religious like Saint Vincent de Paul or Martin Luther King. The SRI approach is to treat potential as an expres-sion of the governing board's attitude to the congrega-tion's future. Potential can be expressed both in Ford's and Lever's conceptual terminology and also in more pragmatic terms such as the amount of patient care pro-vided, number of students educated, social work case loads, financial soundness, professional hours contrib-uted, and average Sunday morning attendance at Mass. Corporate potential is based on all key-planning issues derived from studying the social and economic outlook, the apostolate areas in which the company is interested, the opportunities for more effective resource utilization, the likely effects of important stakeholder expectations, and a congregation's own conclusions about its level of ambition and strength of commitment. As we see it, the determination of potential stimu-late~, motivates, and enables speculation about its attain-ability. Projected results are not predictions in the com-monly accepted sense but are simply estimates of what could happen when the assumptions made turn out to be valid. The concept aims at stimulating the setting of ambitious congregational and apostolic goals. The result of this phase of the planning process is the setting of a hierarchy of corporate objectives, including a set of ambitious yet realistic human resources and financial objectives. For an order of women religious today to expect to maintain a membership of 1,500 highly qualified professionals by recruiting 50 to 60 novices a year is totally unrealistic. Sound corporate ob-jectiv. es, together with a clear concept of what religious life is all about, should enable a congregation, however, to arrest and then reverse the currently familiar down-ward trend. Step 2: The Assembling o[ In[ormation The assembling of information consists of four main tasks: An in-depth evaluation of what is being done now, an analysis of the skills and resources of the con-gregation, an evaluation of environmental change, and an appraisal of planning issues. The goals and objectives of the congregation and its apostolate areas are explicated to obtain sets of criteria for the evaluations that have to .be undertaken. Once the criteria are established, it is relatively simple (1) to de-ten- nine what information is needed and the data sources necessary for an objective in-depth analysis and evaluation, (2) to develop instruments to collect data not already in existence, and (3) to put all these to-gether. Analysis of the skills and resources of the organization requires three studies: one of government, one of human resources, and one of financial resources. SKI suggests the development of a computerized personnel inventory. This enables detailed analysis and projections to be un-dertaken, as well as aiding in matching skills and in-terests to apostolic needs. Studies of environmental change can and should be obtained from a number of sources. They may be as broad as Kahn and Wiener's ,Economics to the Year 2018/' .~ or as specialized as a local city planning com-mission's forecasts of school population. Most congrega-tions are largely unaware of the amount of information on environmental change that is available just for the asking. In planning the future staffing for elementary schools in a diocese, one order learned that a school would disappear completely within fi~e years because the city planned a freeway through the area, which would mean the razing of almost all homes in the parish. The trends in the age distxibution of an area may indicate the development of different needs in future health care (less obstetric and more geriatric and cardiac care, for instance) and types of social services offered. Undertaking environmental analysis is one thing; ensuring its acceptance and use by management is an-other. One large sophisticated American company un-dertook a test market study in Japan to see if a market existed for a type of convenience snack food. The cor-porate management were ethnocentric about this prod-uct to the point that they refused to believe unfavora-ble test market results the first and second times around and insisted the study be replicated a third time. Busi-ness has no monopoly on this form of myopia, and much of the Church's attitudes toward parochial education appears analogous. The final task in the assembling of information, the appraisal of planning issues, is undertaken by the planning group. Following house or apostolate briefings, planning issues are solicited from those judged to have "management perspective"; to contact all members of the congregation has been our rule to date. Each mem-ber submits as many issues as he desires on a standard-ized form. In the first planning cycle the issues tend to be highly oriented to the present, but experience shows that in subsequent cycles the time horizon expands con-siderably. Typically, the submitted issues identify the 8 Herman Kahn and Arthur J. Wiener, Economics to the Fear 2018 (New York: Macmillan. 1967). 4- 4- St~ardship VOLUME 29, 1970 1. D. Mc~onne// REVIEW FOR RELIGIOUS 654 ~functionM point of impact on the institution or con-gregation, the nature of the impact, whatever supporting evidence exists, and suggested ranges of possible action. Issues are then grouped into families of issues that have common causes, that yield to a common solution, or that can be assigned to a single responsible person. You may ask: "Why solicit planning issues from mem-bers as a major basic input to the planning process?" The underlying assumptions are that people will do only what they see is of interest and importance to them and that each individual's perception is his reality. Members of a congregation cannot be expected to devote time and energy to matters they do not consider relevant to them as religious. The system also provides government with an excel-lent upwards channel of communication and, by per-mitting every member to participate and contribute ac-tively, enhances the probabilities of acceptance of the plan and a commitment to achieve it. This participative philosophy is touched on again later in this article. Step 3: Development of Planning Actions The major superior and the members of the governing board then read through each family of planning issues, screening out those where action has already been taken or is imminent, or where incorrect perception is in-volved. In these cases executive action is indicated. Each family of issues is then reviewed in the light of the corporate objectives, special studies' highlights, the analysis of resources, and the "real" message indicated by the issues. The members of the governing group then take each family of issues and identify the kind of action it suggests, what is at stake in terms of costs and benefits, the costs (both out of pocket and opportunity) of taking action, the degree of urgency, the first and second order implications of the kind of action sug-gested, and the management personnel who should at-tend to it. These individual efforts in translating issues to responses are then reviewed by the whole of the ex-ecutive group whose discussions strive to combine re-lated actions into broader, more fundamental actions and to identify important actions still missing. Use of a task force to assist in this process may be helpful. Suggested actions emerging from this review should then be tested by whatever means deemed appropriate. Feasible actions are then grouped by three or more levels of priority. Step 4: Preparation of the Provisional Plan In this s~ep of the planning process the proposals for action are translated into specific action assignments that, when completed in detail, provide the goals, action, and controls portion of the provisional plan. This provi-sional plan corresponds with the marshaling ability of our "genius entrepreneur." We suggest the use of a specific form that, when ap-proved by the assignment group and accepted by the action assignee, represents an authorization to proceed and a cohtract to perform the specified action in the terms stated. One important set of Form 3s, as we call them, relate to the continuance of present operations and thus ensure that all aspects of the congregation's activities form part of the plan. Before final approval the Form 3s flows through the finance and planning offices, where calculations of total costs and benefits are made for each priority level and are compared with total resources available. This pro-vides the governing board with a means to decide how many and which tasks can be undertaken within the planning period. The actions, tasks, or projects selected are then built into estimates of benefits and costs to see the effects on congregational performance and where the plan will posit the congregation with respect to its current per-formance, intermediate goals, and movement toward at-tainment of the longer range objectives. At this point the planning group updates the special studies' highlights; assembles the draft statements on corporate objectives and key assumptions; and produces summaries of the action programs in terms of timing, pro forma financial statements (operating statement, balance sheet, cash flow), and resource requirements (manpower, equipment, facilities, and capital)--broken down by organizational units, priorities, and whether they are current or developmental operations. The natural advocate of each action proposed then describes it and leads discussion within the governing board to double-check the plan in terms of the realism of goals, schedules, and cost/benefit estimates, of agreed-on performance standards (that is, the rules of the game), of interdependence among organizational units, of effects of unrealistic goals on the rest of the congregation, and of whether each action proposed is justified in terms of the congregation's objectives. This may sound like a detailed process that takes a lot of central government's time, and it does. But it ensures that: oThe government group understands all aspects of the proposed plan. oWithin the context of the emerging corporate pur-pose and strategy there is a review of program con-÷ ÷ ÷ VOLUME 29, 1970 655 ÷ ÷ ÷ ]. D. M~mme~ REVIEW FOR RELIGIOUS 656 tent, a rank ordering of programs, and anallocation of resources in accordance with priorities. oAn appraisal of various program combinations oc-curs, highlighting the relative emphasis on continu-ing present activities and developing new ones, the magnitude of effort required to reach each poten-tial, and the timing and sequence of interrelated programs. oAfter final decisions and allocations are made, the provisional plan is put in final form and presented by the major superior to the board for approval, and then approved programs are channeled to ac-tion assignees. The first year o£ the plan is the congregation's budget. The congregation is now at the point of managing by plan, which parallels the "genius entrepreneur" charac-teristic of administrative ability. It has succeeded in rep-licating the characteristics of the "genius entrepreneur" in a corporate framework. In subsequent periods the congregation recycles through the planning process, and the family of plans is updated and reissued. The first year of the plan as up-dated becomes the operating budget and the final year of the plan is extended. Here perhaps a word of warning is in order. Remember that lead time is an absolute necessity. It takes three to five years before major moves have a real impact on a corporation, and SRI believes that the same will hold true for congregations of religious. Maior in-depth evaluations are probably required only about every five years. In the interim period the special studies, updating of stakeholder analyses, and solicitation of planning issues from members are all that is likely to be required. Conclusion Our experience has been that the organized entre-preneurship model works. In the five years (this is the sixth) that SRI has been conducting executive seminars in business planning, more than 600 executives from over 300 companies representing every continent of the globe have participated. Many corporations, such as Coca-Cola, Owens-Corning Fiberglas, Lockheed, Merck, and Cyanamid, have been using one or more variations of the model with considerable success. The model de-scribed here is the adaptation that has been developed for congregations of religious despite the difficulties of measuring benefits and some kinds of costs when non-financial criteria are applicable. It is too early to say to what degree the orders SRI has assisted with planning have benefited, but there is every reason to believe that they are adapting with the times and will continue to be dynamic forces in the Church and wider society in the years ahead. Highly idealistic, yet realistic, spiritual and temporal goals and objectives have been determined. Honest objective evaluations have been undertaken, recommendations have been made, plans for their implementation have been drawn up, and these are being put into effect. Government has been democratized and strengthened. Management sys-tems have been introduced. And all of this has been done by directly involving some 250 members of each order in task forces and less directly involving all mem-bers through solicitation of information, opinions, at-titudes, and issues important to them. The final plan is theirs and they are committed to it. This motivation alone enhances the probabilities of success. In addition, the management skills of these congregations have been added to greatly. The sense of community has been en-hanced by the reaffirmation of congregational goals and objectives, the open realization of the pluralism inherent in any large group of people, and the translation from concept to action of both subsidiarity and collegiality. Another vital factor that enhances the probabilities of the orders strengthening themselves as a result of the introduction of modern management techniques and planning as part of their renewal is the quality of .their leadership. It takes strong, forward-looking leaders to see the benefits from and to commit their members to a major planning project such as this and then see that it reaches fruition. Good management is good stewardship of resources to attain goals and objectives and to provide the greatest benefits for all stakeholders with the resources available. One essential component of good management is plan-ning. ÷ ÷ ÷ S~ardshi~ VOLUME 29, 1970 657 LOUIS G. MILLER, C.Ss.R. The Social Responsibility of Religious Louis G. Miller, (~,Ss.R., is on the staff of Liguori Publication in Li-guori, Mo. 65057. REVIEW FOR RELIGIOUS 658 It is in the temper of our times that religious who take the vow of poverty are under close scrutiny. The youthful generation has a sharp eye for phoniness, and they are quick to draw attention to the gap that seems to exist between professing a vow of poverty and the actual living of a poor life. The matter concerns the individual religious and it also concerns the religious order or congregation as a whole. The following reflections have to do with one aspect of the problem which, in my opinion, religious communities have, generally speaking, neglected in the past. I mean the responsibility of devoting some part of the community funds to investment in projects designed to help relieve the most pressing social problem of our time: the widening gulf between the haves and the have nots in our society. Before developing my theme, let me state that I am well aware of the self-sacrificing work being done by religious in their parishes and in teaching and nursing programs for the poor and deprived. When a parish staffed by members of a religious order goes through the inevitable cycle and changes from middle-class to low-income parishioners, the people stationed there pitch in, ordinarily, and try to adapt to the new situation that is thrust upon them with energetic zeal. What we are concerned with in this article is social consciousness on the provincial level. In the ordinary course of development, a province will accumulate funds, and it will seek ways to invest these funds. The interest from these investments goes to the support of educational institutions and missionary projects. There are two ways of doing this. A religious community can invest its funds under the single motivating principle that the investments be safe and that they bring the highest possible return. This is the course followed by many a conscientious bursar or procurator, and in the past, few questioned it. Another way of going about .the matter of investing funds would be to look for ways and means of applying them to the alleviation of the pressing social crisis of our time. No one can be unaware that such a crisis exists. It finds expression in the widening gulf between rich and poor, the increasing bitterness in the racial confrontation, and the alienation between generations that seems to result from the other factors. In Vatican II's Decree on the Appropriate Renewal of Religious Life there is a very apt expression of community responsibility in this regard. After noting that "poverty voluntarily embraced in imitation of Christ provides a witness which is highly esteemed, especially today," the Decree goes on to say: Depending on the circumstances of their location, communi-ties as such should aim at giving a kind of corporate witness to their own poverty. Let them willingly contribute something from their own resources to the other needs otr the Church, and to the support of the poor, whom religious should love with the tenderness of Christ (Number 13). As we well know, the young appear to find it.difficult to put their faith and trust in any kind of "establish-ment" today. They only too readily suppose that an institution of its very nature is so hamstrung by long-standing traditions that it cannot move in the direction of new and imaginative ventures. Over and above the tremendous work being done by religious in, for example, inner city projects; over and above occasional cash donations to worthy causes, I believe we need something in the nature of a symbolic gesture on the level of capital fund investment. I believe this would serve as a large factor in winning the confidence of young people that we are indeed willing to back up our words with our deeds, and that as an institution we can take a forward step. The heart of the social crisis today, most authorities agree, is the housing problem. The United States Commission on Civil Rights calls this the "most ubiquitous and deeply rooted civil rights problem in America." The Koerner Report agrees and makes it clear that its dimensions are so great that if a solution is not found within a few years, the resultant pressures could produce riots far more terrible than those our country experienced two or three years ago. The plain fact of the matter is that while each year 1.5 million new family homes are built in the United States, nearly all of them are on a de facto segregated basis. Since World War II the FHA and VA have financed $120,000,000 in new housing. According to a ÷ ÷ Social l~sponsibitity VOL~bl~ 2% k970 .I. + L. G. MC.iSllse.Rr,. REVIEW FOR RELIGIOUS 6~0 survey made two years ago by the American Friends' Service Commission, less than two percent of this housing has been available, kealistically available, to non-whites. Each year we get larger white belts in our suburbs and more compressed black cores in our cities. The black core is continually compressed inward upon itself. Recently in St. Louis representatives of the president's Commission on Civil Rights, under the chairmanship of Father Theodore Hesburgh, after long hearings on the situation there, issued a depressing report that, although legally integrated housing is in force, de facto segregation in the great majority of suburbs is still very much the order of the day. He was quoted as saying: "Everybody we interviewed admitted that we have a grave problem; but nobody knows what to do about it." I propose that we direct some of our provincial invest-ments, perhaps a tithe of 10 percent, to the alleviation of this de facto discrimination in housing. In doing so, we would not of course be pioneers among church groups. There are available for study a number of interesting examples of what can be done and has been done. In Akron, Ohio, there is a nonprofit interfaith organization, organized in 1964, called INPOST, spon-sored by local Episcopal, Lutheran, Methodist, and Presbyterian churches. INPOST has directed several million dollars of investment into a complex of 108 units of low-cost housing, 72 units of high-rise housing, and 28 town houses. It is hoped that this complex will become a model for similar developments across the country. The diocese of Peoria for the next three years will advance $35,000 annually toward urban renewal and poverty programs in their area, with special emphasis on housing projects. We have noticed in the news recently that the Chicago Jesuit province recently made available $100,000 to be used as bond money to try to keep black families from being evicted from their homes. These are families with no equity in their homes even years after purchase at inflated prices, and legally able to be evicted on missing one payment. The Franciscan Sisters of Wheaton, Illinois, have announced an $8,000,000 plan to build and operate as nonprofit sponsors a residential complex for senior citizens and middle-income families in that area. The diocese of Detroit has been a leader in approving at least one $74,000 loan as seed money for testing the feasibility of having houses prefabricated by the hard-core unem-ployed for erection in the inner city. There is a national organization,, with headquarters in Washington, D. C., called SOHI, or "Sponsors of Open House Investment." Congressman Donald M. Frazer is its chairman, and numbered in its long list of sponsors is a host of distinguished Americans of all creeds and a variety of professional competences. It seeks to promote investment by individuals or by non-profit institutions of about 10 percent of their available investment capital in housing that is open to all. The organization does not itself invest. But it alerts indi-viduals and nonprofit groups to investment opportuni-ties in equal housing. It seeks to bring together investors of good will and housing professionals who are com-mitted to open occupancy. It operates on the principle that if a person cannot do anything himself to help solve the housing problem, his funds, if he has money to invest, can be an eloquent voice to help in the terrible silence of the decent in facing up to the housing problem that exists in our Country today. Under the slogan "National Neighbors" it seeks to build bridges of understanding between people, whatever their race or color. The Headquarters of SOHI is located at 1914 Connecticut Ave., N. W., Washington, D. C. 20009. Objection to these proposals can be made, of course, on the grounds that there is a smaller interest rate on such investments, and they are not as safe as blue chip stocks. Also, the objector might continue, the religious community needs all the money it can scrape together in these difficult times to support the various projects already in operation. But I submit that this does not absolve us from our social responsibility. If things are tough for us, they are much tougher for a great many people in the have-not group. They are a lot tougher even for people who have the money, but who can't buy a home in a decent neighborhood because their skin is black. If the social problem in our country is not met and dealt with, the most gilt edged investments will not be of much use or solace in the turmoil and violence that may follow. ÷ ÷ ÷ so~d VOLUME 29, 1970 661 SISTER M. RITA FLAHERTY, R.S.M. Psychological Needs of CeBbates and Others ÷ ÷ ÷ Sister Rita is chairman of the Department of Psy-chology; C~rlow College; Pittsburgh, Pennsylvania REVIEW FOR RELIGIOUS 662 Today when the value of celibacy--to which so many thousands of priests and religious are committed--is being questioned, it seems important that every facet of the problem be examined. The questioning seems to be the result of: (1) Vatican II's emphasis on the true value of marriage as a way of life that can lead to the highest sanctity and spiritual fulfillment, (9) the research of Biblical schoIars which raises questions about the time, place, circumstances, and even authenticity of those words of Christ which were formerly quoted in defense of celibacy, (3) the difficulty of practicing celi-bacy in a culture that places a high premium on sexual pleasure, and (4) the emotional difficulties that can arise as a result of deprivation of this important physical and psychological need. While all aspects of this problem deserve close study, it is with the last aspect that this paper will be concerned. In spite of all these problems and new discoveries, there are many religious and priests who cannot ignore what they believe is the prompting of the Spirit to live a celibate life. These people who choose to live in the unmarried state are entitled, it would seem, to have this freedom and also to have any help from psychologists or others who can aid them in solving some of the problems that may arise as a result of that choice. Although this study is directed toward the needs of celibates, actually much of the material is applicable to both married and unmarried alike. Basic psychological needs are to a great extent universal, differing only in emphasis and means of satisfaction from one cultural group to another. In studying the behavior of humans, psychologists in general would conclude that all behavior is motivated, that is, it arises from some need within man. Behavior, as defined by psychologists, is an attempt to provide satisfaction for a need. What is a need? What happens when a need is experienced? A need is a state o[ tension or disequilib-rium that results from some lack within the person. When this need is felt, it causes the person to become tense and restless; it activates him to perform some action in order to relieve the need--to get rid of the tension and to achieve a state of ~atisfaction or equilib-rium. A man who is watching a television 'show may not be conscious of his need for food, but he does become restless while watching and jumps up at the commercial and goes to the refrigerator to find something to eat. This behavior is directed towards a goal that will relieve the tension from hunger. Hunger is classified as a physical need, along with thirst, need for sleep, for oxygen, for elimination, for sex, and for many other activities that help to maintain a state of physical satisfaction. Each of these physical needs is tied in with a biological system within the body which in most cases depends on satisfaction of the physical need for survival. One cannot imagine a man being deprived of oxygen for more than eight minutes or deprived of water for more than a week or of food for much more than a month, without dying. Therefore when the person becomes aware of the lack of oxygen, water, or food he becomes agitated and rest-less and gradually filled with tension until he finds a suitable object to satisfy his need. And so it is with all the other physical needs, .including sex, except that the need for sex seems to be the only one which is not necessary for the individual's preservation of life--it is, however, very important in the preservation of the race. For this reason celibates need not worry about endangering their lives, but they must expect a certain amount of frustration and tension resulting from the deprivation of this basic physiological drive which in man is also part of his whole personality. However, physical needs comprise only one of three categories that may be termed human needs. One must also consider psychological and spiritual needs in studying human behavior. Although many psychologists discuss a large variety of psychological needs the five most com-monly mentioned include: affection, security, achieve-ment, independence, and status. Since these needs are more subtle and do not usually lead to loss of life, people are often unaware of the tension created by them. Yet the tension can become very strong and even lead in some individuals to a complete disorganization of personality which could be termed a kind of psy-chological "death." ÷ ÷ Sister Rita REVIEW FOR RELIGIOUS TiLe need for affection implies the need to give and receive love. This is very important throughout life, but seems most important during infancy and early childhood, in studies done by Ribble, Spitz and others young infants deprived of mothering, that is, fondling, petting, and other signs of affection have in some cases gradually wasted away in a disease called maras-mus. Older children and adults may not die from lack of affection but they may develop some severe person-ality deviations. The second psychological need mentioned is that of security which Karen Homey defines as the need to feel safe from the dangers of a hostile and threatening world. Physical security is not the important element here as was demonstrated by the children who ex-perienced the terrors of the London bombings during the Second World War. It was found after the war that those who were separated from their parents and sent to places of safety in the country showed more psychological disturbance and insecurity than those who lived through the raids in the city of London while staying with their parents. Evidently the presence of people who love you makes one feel more secure than any amount of physical safety in the presence of strangers. As adults, we experience insecurity when we fear that no one loves us or that those people who are present in a situation we perceive as threatening do not really know us or understand us. The next psychological need is achievement or the feeling that one has accomplished something worthwhile. The individual must be convinced himself of his achievement. Another person telling him that his work is good is not sufficient if he himself is dissatisfied with the outcome. Therefore when one reaches a personal goal, a feeling of real achievement can be experienced-- but often p~ople who are deprived of affection or feel insecure cannot feel a satisfying experience of achieve-ment. The anxiety that is generated by deprivation of these other psychological needs may either paralyze their efforts so they cannot achieve, or if they do achieve, the results are rendered personally unsatis-fying. Once a person can achieve, however, he usually wants to become independent. The need for independ-ence involves the ability to make decisions and take responsibility for one's own actions. During adolescence this need gets very strong and continues throughout life. One can never be considered a mature adult until he has achieved an independence of "though.t, decision, and action. Finally the need for status or a feeling of self-worth must be considered as probably the most improtant psychological need found in humans. The need for status includes the desire to be a worthwhile person-- to be a good person. Everyone has this very basic need to see himself as a person who is worthwhile. Anyone who views himself as bad, inferior, or inadequ.ate does not satisfy his need for status. More Americans are visiting clinical psychologists today because they "hate" themselves, than for any other reason. If this need for self-worth is not fulfilled the person cannot be really happy. A final category of human needs is not usually men-tioned in psychology books but should be noted here, that is, spiritual needs. These include a need to believe, love, and worship an absolute Being--someone outside of man who is infinitely good and powerful. Spiritual needs also include the need to "live for others," to go out to others, to have a meaning for one's life. Depriva-tion of needs in the spiritual area are less perceptible, that is, many people can seemingly go for years without showing tension over these needs. However, because these needs are most subtle does not mean they do not exist or that they are less important. Since psychology is a relatively new science it is understandable that very little investigation has been conducted in this intimate but obscure area of man's personality. Victor Frankl and other psychotherapists are writing more often these days about existential neurosis, which is a frustration and anxiety caused by a lack of purpose in one's life. Those individuals who see no purpose in life or reason for living may very often be suffering from a deprivation of spiritual needs. Now in considering the problems brought on by these needs one must remember that they can be operating on a conscious or an unconscious level. A man may be aware that he is hungry and go in search of food, or sometimes he may be unaware that the frus-tration, tension, and even depression he experiences could be eased by eating a good meal and perhaps getting a good night's sleep. So, while most physical needs are consciously felt, sometimes needs for food, sex, sleep, and so forth may be causing tension for which we cannot account. The psychological needs are much more likely to operate on an unconscious level, perhaps because many people would be loathe to admit their needs for affection, approval, status, and so forth. It is possible for a person to be aware that he needs to be loved or esteemed by others, but it is more likely that he would repress this, thereby causing the need to operate on the unconscious level. Finally, spiritual needs are most likely to be 4- 4- 4- Need~ o] Celibates VOLUME 29, 1970 665 Sister Rita REVIEW FOR RELIGIOUS 666 repressed and many people go through life not realizing that they have a human need for God--a need to depend on an all-powerful Being for love and help. One might ask how a discussion of these needs js involved in the problems of celibates. It is the thesis of this paper that many celibates can stand the frustration involved in a deprivation of the sex need if other needs are adequately met. For religious it is likely that the physical and spiritual needs are satisfied more often than the psychological ones. Because of faulty training in the areas of friendship, detachment, and obedience a number of celibates ex-perience extreme frustration in areas of at~ection, security, and independence. Because of a fear of engendering pride or a false concept of humility many religious practices have also deprived individuals of a feeling of self-worth. Rarely in the past was praise given for work well-done, and it is the unusual person who can satisfy his need for self-esteem unless he sees others regarding him as a good person. In the past some celibates ma~ have been able to maintain some feeling of worth and goodness based solely on the assumption that celibacy was a "higher" form of life than marriage. Now, postconcilar writers are emphasizing that all states of life can lead to sanctity and that all Christians are called to lead a life of perfection. By thus equalizing the various states, the only prop that some celibates had for a feeling of self-worth (admittedly it was a poor onel) has been pulled away from them. Also in the past the People of God tended to look to those leading a celibate life as somehow being better than non-celibate Christians. Now there is a tendency in Catholic books, articles, and newspapers to question the value of celibacy. This questioning accompanied some-times with a kind of ridicule and cynicism may even-tually cause some celibates to become skeptical about the celibate commitment they have made. Those religious and priests who are abandoning the state of celibacy and seeking dispensations to marry are not necessarily suffering primarily from the deprivation of the sex need. It may be that a person who feels lonely, unloved, and unappreciated may seek in the marriage state the companionship, love, and appreciation that could legitimately have been given him in a loving Christian community. On the other hand, it must be admitted that some celibates may feel it necessary to invest their love in one person of the opposite sex, and thus realize that marriage is the only solution for them. In a recent study cited in the International Herald Tribune (March 10, 1970) the results of a Harvard study conducted by James Gill, S.J., showed that in the case of the 2500 priests leaving the United States priest-hood each year, celibacy does not seem to be the major causal factor. Father Gill indicates that he finds that the priests who are leaving and marrying are very often depressed. The priest dropout was most often a man who found himself taken for granted in a crowded system that sometimes denies the human need for approval. This discovery has caused some of the Church's most dedicated and talented priests to become sad, lonely, disillusioned, and resentful. As one examines these findings of Gill, one is reminded of a similar syndrome that psychiatrists have found in many young business executives--men who find themselves caught up in a structure filled with activity but which leaves the individual disillusioned with a system that deperson-alizes him. It is likely, then, that the American culture is a big factor in the working structui~e of the Church in the United States and that the same conditions that operate in the society to dehumanize the individual are also operating in the Church structure. In a personality analysis, Gill found that many of the priest dropouts were task-oriented men, who were raised by their parents in such a way that the achieve-ment of goals, particularly difficult ones, appealed strongly to them. They tended to go about their work in a compulsive, perfectionistic way, not seeking or enjoying pleasure from it, but aiming unconsciously at the recognition and approval they would gain from those they served. Father Gill goes on to show that when this recognition and approval are not experienced, the priest is in deep emotional trouble. It takes between five and fifteen years for a priest like this to experience the disillusion-ment that will eventually lead to some kind of a crisis. The priest then begins to feel that he is being taken for granted, that nobody seems to care how hard he has worked. Usually priests like this have so consistently performed in a better than average manner that bishops and religious superiors simply expect that they will do a good job. Since applause and approval come less frequently with the passing years the priest gradually feels more and more dissatisfied with himself, with his role in the church, and with his requirement of celibacy, At this point in his life, he becomes an easy prey to emotional involvement with the first sensitive woman who comes into his life. It is evident from Gill's study and those of others that celibacy or deprivation of the sex need is not necessarily the principal problem. Many priests and VOLUME 29, '1970 religious who leave to marry are probably seeking satis-faction for basic psychological needs that could legiti-mately and rightly have been satisfied in a celibate community, or a group of Christians Who practice charity by looking out for the needs of their fellow-man. Celibates must be capable of interacting on a deep personal level with at least a few people. Through. these friendships they will be able to love and appreciate themselves, which in turn enables them to love others. ~In the past, authority figures were looked to for approval and recognition which would lead to some psychological satisfaction and a feeling of self-worth in the celibate. In the light of the findings cited above, it would seem advisable to educate all members of the celibate community (and eventually all the People of God) to a clear understanding of these emotional needs. Only in this way will it be possible for the celibate to receive from some of his peers th~ affection, approval, and sense of self-worth which is so necessary if he is to sustain the frustrations of living in a celibate en-vironment. New ideas about love, friendship, and obedience must be given to all sectors of the community, young and old alike, if the celibate is to survive psychologically. Also the value of the celibate life must be rediscovered, not as a "higher" kind of life, but as a life that can lead to a rich, happy existence as one spends it living for others and thereby living for God. ÷ ÷ ÷ Sister Rita REVIEW FOR" REI;IGIOUS 668 THOMAS A. KROSNICKI, S.V.DI The Early.Practice of Communion in the Hand Travel in the United States and Europe has reen-forced my impression that the practice of Communion reception in the hand has already become quite com-mon. Understandably, the reaction that it causes is quite varied. On the one hand, it is labeled another liberal innovation; on the other, it is seen as the. result of an honest endeavor to make the reception of the Eucharist an authentic sign. In any case, and this is the purpose of the present article, we should realize that this practice, now officially permitted in. Belgium, France, Germany, and Switzerland, is not an. unprec-edented development in the liturgy of the Church.1 Synoptic Considerations The Synoptic accounts record the institution narra-tive as taking place in the setting of a meal which was almost certainly the Passover meal.~ The bread that Jesus used at the Lord's Supper would have been the unleavened bread (matzoth) of the Jewish Passover rite. It is interesting to note, however, that by the time the evangelists set about to record the institution event, they simply used the Greek word "artos," or leavened bread. This is understandable since it is generally accepted by Scripture scholars that the words of institution in the Gospels present the tradition concerning the Lord's Sup-per as preserved in the very celebration of the Eucharist in the early Christian communities. It seems, therefore, that when the Eucharist was celebrated outside the Thomas A. Kros-nicld is a member of Collegio del Verbo Divino; Ca-sella ~.Postale" 5080; Rome, Italy. VOLUME 2% 1970 See "Taking Communion," Worship, v. 43 (1969), p. ~440. Mt 26:26; Mk 14:22-3; Lk 22:19. 669 ÷ T. A. Kromicki, $.V.D. REVIEW FOR RELIGIOUS Passover week, leavened bread was commonly used by the early Church) We should also note in this context the word used to describe the distribution of the eucharistized bread. Jesus simply gave it to those who were present. "Take and eat," Jesus said to his apostles. The verb used is the Greek Xa~/3~vo~ which is a generic verb indicating the simple act of taking (with the hand) as is seen from the use of the same verb in Luke 22:19 where Jesus "took the leavened bread." (K~d Xo~v &prov). Frbm these considerations, though no direct proof is established, two points can be asserted. In the Apostolic Church the Eucharist was leavened bread and was dis-tributed in the ordinary manner of giving. A few selected texts ~om the writings of the Church fathers will clearly demonstrate that hand reception of the Eucharist was practiced in the first centuries. Tertullian to Cyril of Jerusalem We would not expect to find in the writings of the fathers an exact account of the mode of Communion reception that was common at their time. There was no reason for them to explain such practices. The most that one can find in searching through their works are oc-casional references to the practice. These indications point to hand reception. The oldest witness we have that the faithful received the Eucharist outside of the solemn liturgy and, in fact, in their homes, is Tertullian (d. 220). At the same time he is an implicit witness for the early practice of hand communion: A whole day the zeal of faith will direct its pleading to this quarter: bewailing that a Christian should come .from idols into the Church; should come from an adversary workshop into the house of God; should raise to God the Father hands which are the mothers of idols; should pray to God with the hands which, out of doors, are prayed to in opposition to God; should apply to the Lord's body those hands which confer bodies on demons. Nor is this sufficient. Grant that it be a small matter, if from other hands they received what they contaminate; but even those very hands deliver to others what they have con-taminated. Idol-artificers are chosen even into the ecclesiastical order. Oh wickednessl Once did the Jews lay hands on Christ; these mangle His body daily. Oh hands to be cut offl Now let the saying, 'If thy hand make thee to do evil, amputate it,' (Mt. 18.8) see to it whether it were uttered by way of similitude (merely). What hands more to be amputated than those in which scandal is done to the Lord's body? * ~ Encyclopedic Dictionary of the Bible (New York: 1963), pp. 697- 702; Joseph M. Powers, Eucharistic Theology (London: 1968), pp. 60-1. ~ Tertullian, On Idolatry (PL, v. 1, col. 744C-745A; trans.: Ante- Nicene Fathers, v. 11 [Edinburgh: 1869], p. 149). In Tertullian's To His Wife which discusses the dangers incurred by a Christian wife even with a "tolerant" pagan husband, we read: Do you think to escape notice when you make the Sign of the Cross on your bed or on your body? Or when you blow away, with a puff of your breath, some unclean thing? Or when you get up, as you do even at night, to say your prayers? In all this will it not seem that you observe some magical ritual? Will not your husband know what it is you take in secret before eating any other food? If he recognizes it as bread, will he not believe it to be what it is rumored to be? Even if he has not heard these rumors, will he be so ingenuous as to accept the explana-tion which you give, without protest, without wondering whether it is really bread and not some magic charm?" The Apostolic Tradition of Hippolytus of Rome (d. 235) goes into even more detail when giving prudential advice about home (and understandably hand) reception of the Eucharist: Every believer, before tasting other food, is to take care to receive the Eucharist. For if he receives it with faith, even if afterwards he is given something poisonous, it will not be able to do him harm. Everyone is to take care that no unbeliever, no mouse or other animal eats of the Eucharist, and that no particle of the Eucharist falls on the ground or is lost. For it is the Body of the Lord that the faithful eat and it is not to be treated care-lessly. o Cyprian's (d. 258) exhortation to the martyrs en-courages them to arm their right hands with the sword of the Spirit because it is the hand which "receives the Body of the Lord": And let us arm with the sword of the Spirit the right hand that it may bravely reject the deadly sacrifices that the hand which, mindful of the Eucharist, receives the Body of the Lord, may embrace Him afterwards to receive from the Lord the reward of the heavenly crown.~ When the same author speaks of the lapsed Christians, he says: On his back and wounded, he threatens those who stand and are sound, and because he does not immediately receive the Lord's Body in his sullied hands or drink of the Lord's blood with a polluted mouth, he rages sacrilegiously against the priests? ~ Tertullian, To His Wife (PL, v. 1, col. 1408AB; trans.: Ancient Christian Writers, v. 13 [Westminster: 1951], p. 30). ' 6 Hippolytus, Apostolic Tradition, cc. 36-7 (Bernard Botte, ed., La Tradition apostolique de saint Hippolyte [Miinster: 1963], pp. 82-5; trans.: Lucien Deiss, Early Sources o] the Liturgy [Staten Island: 1967], p. 68). ~ Cyprian, Letter 56 (PL, v. 4, col. 367AB; trans.: The Fathers o] the Church [hereafter = FC], v. 51 [Washington: 1964], p. 170 where the letter appears as Letter 58). 8 Cyprian, The Lapsed (PL, v. 4, col. 498B; trans.: FC, v. 36 [1958], pp. 76-7). ÷ ÷ ÷ 2". A. KrosM¢~, $.V~D. REVIEW FOR RELI@IOUS Moreover, Cyprian gives us two accounts of persons who were not worthy to receive the Eucharist in their hands. He writes: And when a certain woman tried with unclean hands to open her box in which was the holy Body of the Lord, there-upon she was deterred by rising fire from daring to touch it. And another man who, himself defiled, after celebration of the sacrifice dared to take a part with the rest, was unable to eat or handle the holy Body of the Lord, and found when he opened his hands that he was carrying a cinder.D Hand Communion reception was certainly practiced in the time of persecution as we know from Cyprian, but Basil (d. 379) is our best witness to this fact: Now, to receive the Communion daily, thus to partake of the holy Body of Christ, is an excellent and advantageous practice; for Christ Himself says clearly: 'He who eats my flesh and drinks my blood has life everlasting.' Who doubts that to share continually in the life is nothing else than to have a manifold life? We ourselves, of course, receive Communion four times a week, on Sundays, Wednesdays, Fridays,. and Saturdays; also on other days, if there is a commemoration of some saint. As to the question concerning a person being compelled to receive Communion by his own hand in times of persecution, when there is no priest or minister present, it is superfluous to show that the act is in no way offensive, since long-continued custom has confirmed this practice because of circumstances themselves. In fact, all the monks in the solitudes, where there is no priest, preserve Communion in their house and receive it .from their own hands. In Alexandria and in Egypt, each person, even of those belonging to the laity, has Communion in his own home, and, when he wishes, he receives with his own hands. For, when the priest has once and for all com-pleted the sacrifice and has given Communion, he who has once received it as a whole, when he partakes of it daily, ought reasonably to believe that he is partaking and receiving from him who has given it. Even in the Church the priest gives the particle, and the recipient holds it completely in his power and so brings it into his mouth with his own hand. Accordingly, it is virtually the same whether he receives one particle from the priest or many particles at one time?° There is reference here to more than hand commun-ion. Since no priest or deacon was present, in this case the persons communicated themselves. This was not, however, limited to times of persecution, as Basil points out. Cyril of Jerusalem (d. 386) gives us the clearest ac-count of the manner of hand communion common at his time. In his Mystagogic Catecheses addressed to his D Cyprian, The Lapsed (PL, v. 4, col. 500B-501A; trans.: FC, v. 36 [1958], pp. 79-80). Cyprian notes the practice of taking the Eucharist home and the reception of communion outside of the liturgical celebration. The Eucharist was in this ease reserved in some sort of a box. ~ Basil, Letter 93 (PG, v. 32, col. 484B-485B; trans.: FC, v. 13 [1951], pp. 208--9). catechumens we read: When you approach, do not go stretching out your open hands or having your fingers spread out, but make the left hand into a throne for the right which shall receive the King, and then cup your open hand and take the Body of Christ, reciting the Amen. Then sanctify with all care your eyes by touching the Sacred Body, and receive It. But be careful that no particles fall, for what you lose would be to you as if you had lost some of your members. Tell me, if anybody had given you gold dust, would you not hold fast to it with all care, and watch lest some of it fall /and be lost to you? Must you not then' be even more careful with that which is more precious than gold or diamonds, so that no particles are lost? u Augustine and the Early Middle Ages As we see from the above excerpts, the method of Communion reception up to the time o[ Augustine at least, indicates the practice of hand reception. With Augustine (d. 430) two innovations become apparent for the first time. The men are told to wash their hands; the women are instructed to receive the Eucharist on a white cloth, commonly called the "dominicale]" laid over their hands.1~ In Sermon 229 he writes: All the men, when intending to approach the alt~r, wash their hands, and all the women bring with them clean linen cloths upon which to receive, the body of Christ, thus they should have a clean body and pure heart so that they may re-ceive the sacrament of Christ with a good conscience.~ The same practice is mentioned in the Sermons of Caesarius of Arles.14 The first witness that this author was able to find, giving an explicit example of mouth reception of the Eucharist, was Gregory the Great (d. 604). The case in question is the reception of the Eucharist by an invalid from the hand of Pope Agapitus (535-536): While he [Agapitus] was passing through Greece, an invalid who could neither speak nor stand up was brought to him to be cured. While the weeping relatives set him down before the man of God he asked them with great concern whether they truly believed it possible for the man to be cured. They an-swered that their confident hope in his cure was based on the ~a Cyril of Jerusalem, Mystagogic Catecheses (PG, v. 33, col. l124B- 1125A; trans.: Joseph A. Jungmann, The Mass o[ the Roman Rite [London: 1959], pp. 508-9). ~ In 578 the Council of Auxerre stated the same in Canons 36 and 42 (Mansi, v. 9, p. 915). Canon ~6: "A woman is not to receive com-munion on the bare hand." Canon 42: "That every woman when communicating should have her 'dominicale.' If she does not have it, she should not communicate until the following Sunday." ~Augustine, Sermon 229 (PL, v. 39, col. 2168A). The sermon is probably by St. Maximus of Turin (Sth century). x~ Caesarius of Aries, Sermon 227 (Corpus Christianorum, v. 14, pp. 899-900; trans.: Andr~ Hamman, The Mass: Ancient Liturgies and Patristic Texts [Staten Island: 1967], pp. 242-3). ÷ ÷ ÷ Communion VOLUME 29~ 1970 673 4. 4. T. A. Krosnicki, $.V.D. REVIEW FOR ~ELIGIOUS power of God and the authority of Peter. Agapitus turned im-mediately to prayer, and so began the celebration of Mass, offering the holy Sacrifice to almighty God. As he left the altar after the Mass, he took the lame man by the hand and, in the presence of a large crowd of onlookers, raised him from the ground till he stood erect. When he placed the Lord's Body in his mouth, the tongue which had so long been speechless was loosed.= It would be difficult to conclude from this one example that this was the common practice of the time, for it is known that on occasion the Eucharist was applied to parts of the body as a form of sanctification of the senses or as a cure.an Agapitus might have preferred in this incident to place the Eucharist on the tongue of the invalid since, as Gregory relates, the man Was mute. Gregory also notes: "When he placed the Lord's Body in his mouth, the tongue which had for so long been speechless was loosed." In the eighth century writings of Bede (d. 735) we come across another example of hand reception of communion. Describing the death of a brother, he writes in his Ecclesiastical History: When they had lain down there, and had been conversing happily and pleasantly for some time with those that were in the house before, and it was now past midnight, he asked them, whether they had the Eucharist within? They answered, 'What need of the Eucharist? For you are not yet appointed to die, since you talk so merrily with us, as if you were in good health.' 'Nevertheless,' said he, 'bring me the Eucharist.' Having re-ceived It into his hand, he asked whether they were all in charity with him, and had no complaint against him, nor any quarrel or grudge. They answered, that they were all in perfect charity with him, and free from all anger; and in their turn they asked him to be of the same mind towards them?' Periods'of Transition The transition from the reception of the Eucharist in the hand to that of the mouth as we know it today, seems to have begun at the end of the, eighth century and is allied to the change from leavened to unleavened bread. Alcuin of York (d. 804), the learned friend and counselor of Charles the Great, seems to have been the first to indicate the use of unleavened bread,is But even then, it is unclear whether he intended to state that the bread should be unleavened or merely indicates its usage. He does, however, clearly show that unleavened ~ Gregory the Great, Dialogue 3 (PL, v. 77, col. 224B; trans.: FC, v. 39, pp. 116-117. la Plus PARSCn, The Liturgy o[ the Mass (London: 1957), p. 23. 1T Bede, Ecclesiastical History of England IV, 24 (PL, v. 95, col. 214C-215A; trans.: A. M. Sellar, Bede's Ecclesiastical History o[ England [London: 1912], pp. 280-1). ~ R. Woolley, The Bread o/the Eucharist (London: 1913), p. 18. bread was used. Along with this change to unleavened bread came the introduction of the small round wafers which no longer required breaking or chewing.19 It seems that this fact influenced the change to mouth reception of the Eucharist as well. The use of the un-leavened bread with its capability of being more easily preserved became a matter of greater convenience. The Councils of Toledo and Chelsea show that there must have been some common irreverefices on the part of the clergy when using ordinary bread for the Eucharist. The best way to obviate such disrespect was to require a special bread, other than the everyday domestic type, for the celebration of the Eucharist3° Another reason for the change to unleavened bread was to forestall any confusion between the Eucharist and the common bread of the household. The change to mouth reception became a matter not only of practicality but also as the result of the misun-derstanding of the sacrality of the individual Christian. Due to the thinking of the times, the Christian was no longer considered worthy to touch the Body of the Lord with his hands.~1 With exaggerated sentiments of humility and unworthiness, the faithful received the Eucharist on their tongues. The eucharistic practice had also been influenced by the overemphasis on the divinity of Christ to the almost exclusion of his humanity. The mortal, sinful man dare not touch with his hands the all-holy, powerful God. All of this led to the point where by the ninth century hand Communion was no longer the practice. The Council of Rouen (878) explicitly condemns hand Communion reception on the part of the lalty.~ The tenth Ordo romanus, dating from the ninth century, describes mouth reception of communion not only for the laity but even for the subdeacon. Priests and deacons, after kissing the bishop, should receive the body of Christ from him in their hands, and communicate themselves at the left side of the altar. Subdeacons, however, after kissing the hand of the bishop, receive the body of Christ from him in the mouth.~ The eighth and the ninth centuries were then the 19James Megivern, Concomitance and Communion (Fribourg: 1963), p. 29. ~0 WOOLt.EY, The Bread, p. 21. ~a See K. Bihlmeyer and H. Tiichle, Kirchengeschichte, v. 2 (Pader-born: 1958), p. 120: "In this period [the Middle Ages] in order to avoid irreverences as much as possible, in place of bread to be broken, small wafers ('hostia,' 'oblata') were introduced. For the same reason the holy food was no longer placed in the hand of the faithful but directly into the mouth." m Council of Rouen (Mansi, v. 10, pp. 1199-1200). ~Andrieu, Les Ordines romani du Haut M~yen Age, v. 2 (Lou-vain: 1948) p. 361. ÷ ÷ ÷ Communion VOLUME 2% 1970 675 periods of transition from the hand to the mouth recep-tion of the Eucharist. For a time both methods must have been in use. Once again, we find ourselves in a similar period of transition. The mouth form of recep-tion is still the more common practice but no one can deny that the practice of hand reception is becoming even more common especially among smaller groups and at Masses celebrated for special occasions. From this brief and admittedly sketchy glance at his-tory, it can be readily seen that hand Communion is not really an innovation for .it seems to have been the ordinary manner of reception of the Eucharist for al-most eight hundred years. + ÷ ÷ T. A. Krosnlcki, S.V.D. REVIEW FOR RELIGIOUS EDWARD J. FARRELL Penance: Return of the Heart The theological literature on penance has been en-riched by writers of the stature of Karl Rahner, Bernard H~iring, and Charles Curran; and we have, as a result, an enlarged understanding of its significance for our own day. I do not propose to speak so much of theology as of experiences and to invite you to reflect with me and to think into the mystery of penance. I speak to you as an expert to my fellow experts, as an authority among fellow authorities, because each one of us is an authority on penance. We have long lived it and we cannot have lived so long and celebrated the mystery so frequently without in some way becoming experts, authorities, or at least persons with much experience. Living itself is an experience of penance. One thing is certain; penance is alive, and anything alive changes. One of our deepest hopes is that we cim change, be-cause penance is concerned with change--not the kind of change which we sometimes call spontaneous, which we can so easily speak of in words, but a change in a much deeper level of being and action. The sacrament of penance, or penance itself which we are experiencing today, has an aura of Spring about it. There are certain seasons, certain times, certain patterns to the Christian life even as there were in Christ's life; and we follow those patterns. Christ was buried. He arose. And the truths of Christ will not be unlike Himself. There are forgotten truths in our faith, in our life experiences which have been laid aside and buried. We can become so familiar with particular realities that we forget the language. Even our relationship with Christ can be diminished. But there is always a resur-rection, always a rising. They are like bulbs which lie bur.led and forgotten in winter's chill grip, but still are there, waiting, until, mysteriously, Spring comes and we discover them. There is an expectancy about Spring. ÷ ÷ ÷ i~.dwa~d J. Fartell is a stuff membe~ o~ 8a~ed ~ea~ 8emi-n~ y; 2701 Chicago Boulevard; Detroit; Mi~igan 48206. VOLUME 29, 1970 ÷ 4. l~. ]. Farrel~ REVIEW FOR RELIGIOUS 678 There is an expectancy about penance. It is a new dis-covery for each of us, something which we have not wholly experienced before and it is important that we understand the why of thii. Penance is ancient, yet ever new. There is a "today" even though we have had a "yesterday." There is in us always a newness and an aliveness. When we were young, when we were very small, we saw things in a particular way. Then we grew, grew up, de.veloped in many areas. There is, however, a certain stabilization that takes place; and if our growth did not in some way level out, we would be sixty, eighty, perhaps one hundred feet tall. Imagine the problems of the environment thenl In our early years we thought that when our physical growth had leveled off and stabilized that our growth was finished. Yet it had only begun. When we grew to a certain size perhaps we returned to the school where we once attended kindergarten and the first primary grades. The old neighborhood looked almost quaint. It looked so small because we had grown so large. This physical growth is a true growth; yet it is after we have achieved it that the real growth takes place, the growth of mind and heart and soul, by which we are led into and beyond the senses, into the arts, literature, history, philosophy, and faith. Even in our day of specialization, as one follows ever more deeply his specialization it becomes in some strange, little un-derstood way, narrower and narrower until at a mys-terious moment it opens into a wholly new horizon. At such a moment one is made aware that this universe is too vast for the mind to grasp. It is, then, in this experience that man slowly and painfully becomes little. It is then that he begins to acquire real knowledge, real humility, that he moves toward maturity. I think that we are on the edge of this kind of growth. No longer do we need the pride and arrogance of adolescence. This humility, or perhaps humiliation, has touched all of us. We become aware of an unsureness, the unsureness of maturity; we begin at last to know that we do not know and perhaps will never know all that we so much desire to know. A pro-found transformation, a growth, an evolution now takes place in us. Now we begin to discover truths which we really had never known, yet were there awaiting our discovery, our awakening to their being. We never knew them at all, we never saw them; they were there but we did not see them. We have heard about these ideas, con-cepts, truths, perhaps even talked about them. Now, however, in this new experience we have no word, no thought, no concept, perhaps not even a theology. Now we become much more people of experienced awareness and all must be initialed with our initial and be ours in our unique w~y; otherwise, we belong to no one, nor do the truths belong to us. We begin to know ourselves in a new context of spiritual knowledge. I think this experience is true especially of the mysteries of Christ, the mystery of the Church-~which is essentially mystery--the mystery of penance, the mystery of celi-bacy; and the mystery of human action, the mystery of your act and of my act. When we do something, it is irreversible. We never can step back and undo it. .There is an act which we call a promise and that act nails down the future. It is an absurdity because who can speak for his future; and yet a promise is possible and is perhaps the most significant act a person makes; for we know, even as we make the act, that it is unpredictable; even beyond that, any act has an ano-nymity in its effect. We do not know what effect it will have, how long it will endure, what changes it will create. Humanly speaking, the past, the future, even the present are so much not in our grasp. Yet in all of our acts the mystery of Christ speaks to each one of these realities. He speaks to tile events of the past, reversing what we have done in the act of forgiveness and of penance, in the act of promise in the future which is involved in the penance, the metanoia, the change that we are seeking. The Gospel very simply summarizes Christ's begin-ning: "The time is fulfilled, the kingdom is at hand. Repent, believe in the gospel." How ancient those words are and how new; yet who has heard them? Who has heard them and put them to life? This says something about the mystery of Christ to us and the mystery of His Church which can never be separated from Him. To think of the Church without Christ is to miss the mystery of both. So we move in this deep awareness into the inwardness of Christian mystery, into a knowing, into, finally, a .meaning of penance. And penance, what is it? It is a hunger, a hunger for change; it is a hunger for newness, a hunger for life, for growth; it is a hunger for wholeness and holiness; it is a hunger for experience. Most of all, I think, it is a hunger for being with and to and for. It is a relation-ship that is being sought. It is a togetherness. It is profoundly significant that the command of Christ was: "Repent." Why did He not begin with Eucharist? Is the Eucharist not enough? Was it enough for Christ? He began with: "Repent"; He concluded with Eucha-rist. It is interesting to recall the briefly recorded con-versations of Christ with His Disciples. One day our ÷ ÷ ÷ VOLUME 29, 1970 6'79 ÷ ÷ ÷ ~. ]. Farrell REVIEW FOR RELIGIOUS 680 Lord asked them: "Who do you say I am?" They are always interesting, both the questions of Christ and the commands of Christ, because they are so personal, be-cause they are asked directly of us throughout the whole of our life, and because these are the call He gives to us. He asked: "Who do you say I am?" To answer for the whole group, one volunteered--Peter, and he called back who he was. At the end of our Lord's mission, after the resurrection, He spoke to Peter again but this time He spoke his name: "Simon Peter, do you love me?"--not once, not twice, but three times. By name, He called him out by namel "Simon Peter, do you love me?" and as a consequence of Peter's answer, He gave another command. He said: "Feed, feed my sheep"- strengthen your brethren. Long ago you all made profession and how many times have you made confession since? What is the re-lationship between profession--confession? You cannot find it in the dictionary, but I think there is a very necessary correlation between profession and confes-sion. Peter's profession of faith and Peter's confession of love--this is what penance is all about. Really, sin is a very secondary thing.'Sin is unimportant to Christ. Penance is about a change, a change in our capacity to love. You made your final profession in words and we are all moving toward our final confession. Each one of us has his own history of penance. Just imagine trying to go over your confessions the last year or five years or ten years; imagine forty years of confessions, and how many confessions have yet to be made? Confession: we know the confessions of Jeremiah in the Old Testament, about the mirabilia Dei, the wonder-ful things of God; the confessions of St. Augustine have disappointed many a reader who was looking for true confessions and there is so little there---eating a few pears, an illegitimate child. Really all he is talking about is the first extraordinary discovery and the ongoing discovery of the love of God for him and the power it effected in him. This is why we can speak of his con-fessions. Penance is first of all a confession, a song of praise to God. How unfortunate we are. We so often have said and perhaps still do say: "I cannot find any-thing to confess." Well, even if we did, it would be merely a partial confession because the first thing about penance is to find something, to find the love that one has received, to sing about it, to confess it. Penance is first of all an act of prayer and of worship, of thanks-giving, a recognition, a discovering of the wonderful love of God for us. But that is only part of it because it is only in the strength of this love that there can be sin. If one has not yet tasted or seen or felt something of the love of God, then he cannot sin because sin is cor-relative to love, and there cannot be any sin except in the context of love because sin does not exist except in the non-response to love. Penance is a discovery of what love is and what it is to love. A sister once commented: "In our community there are so many, almost everyone, who are ready to forgive. There is so much forgiveness but there is no one who can confess her need for forgiveness." It is so easy to forgive. Did anyone ever confront you with the words: "I forgive you"? Have you ever been forgiven by another person, a second or third or fourth or twentieth time. The words, "I forgive," do not make any difference. You can come to me and tell me you are sorry and I can say I am sorry, too--about the book you lost or about the car that got dented, but that does not change. You can tell me you are sorry about the way you got angry and what you called me, and I can say, "I forgive you," but what happens when we say that word? Can we forgive? When we say, "I forgive," we are not talking about the action of God, we are not talking about the grace of Christ or the word of the Church; we are saying: "I am trying not to respond to you as you deserve." That is what we ordinarily mean, and implicitly, there is a warning, "Do not let it happen again," because when it does happen again, we remind them: "How many times?" Forgiveness? There are not many of us who are capable of forgiveness. There is no one of us who is capable of forgiveness in the sense that God forgives and Christ forgives, because when Christ forgives, He is not saying He is not going to respond to us as we de-serve but He reaches into us, to the very roots of that which makes us the irascible persons we are. He does something if we let Him, if we are ready to be healed, to be touched, and to be cured. No person can forgive sin. We can empathize with people, we can say we are sorry that they are the miserable creatures they are, but we cannot change them unless we have the capacity to love them with the love of Christ. Otherwise they are untouched by our forgiveness and this is why there is a need and a hunger to be freed from our incapacity to love and not simply to be excused and accepted and remain unchanged. In the great mystery of Christ's death and resurrection it is the sacrament of penance that enables us in some way to get in touch with Him because without getting in touch with Him we cannot do His work. There is a strange misunderstanding in those who feel that the Eucharist is enough, that they can ignore our Lord's call to repent and forget our Lord's suffering and death. It is as if in some way I can forgive myself, can just ÷ ÷ ÷ VOLUME 29, 1970 681 4. 4. E. ]. Farreli REVIEW FOR RELIGIOUS 682 tell Him I am sorry or we can tell one another: "I forgive you, forget about it." In our non-response to love, our inability to love we experience the fact that we cannot heal, that we do not cnre. As someone said, it is not so much that the community or Church' has hurt them, but it has not healed them and that is why they can no longer suffer in this way. It is a partial truth, perhaps, but it is a truth. So often w~ cannot put this need for healing into words but we do expect, we do expect something. Some of our older brethren in Christ are not, I think, too far off in their intuition about the relationship between penance and Eucharist, pen-ance and community; and I think I would say that there is a correlation between the diminishment irl the cele-bration and experience of penance and the diminish-merit in community. The sacrament, the life of penance which is but the life of Christ lived out continually, is the most personal of all the sacraments, the most intense and, therefore, the most difficult. Perhaps it is the last sacrament we are ready for because it demands so much of us; it demands such maturity, it demands such a capacity to suffer, the most terrible kind of suffering, to really learn who we are, and we will do anything to escape that kind of suffering, that kind of anguish. Who of us is really ready to face the living God? There is so much we do in our life to prevent this happening. We talk a good faith, we even have many theologies, b~t who of us really wants to know himself as the Lord knows him? We do not have many temptations. It is the saints who are the primary witnesses to faith, not the theologians who are the primary witnesses--the saints, unlettered, undoctoral but primary witnesses to love. We do not get tempted too often to express our sorrow in the dramatic gesture perhaps of a Mary Magdalen. We do not to6 often weep over our sins, prostrate our-selves before the Eucharist or the Christian community and confess what we are. We have forgotten and per-haps at times we do not even have the capacity any longer because it has been so underexercised. Yet the life of Christ and the reality of man speak out, and we find an extraordinary emergence today from beyond those who are called to give public witness to the mystery of Christ. We find the phenomena of penance and confession and public confession in those "outside." We see it in Alcoholics Anonymous, we see it in Syna-non groups, in sensitivity groups, encounter groups, where the first thing persofis do is to repent, to bare their souls on the guts level and expose who they are. It is an extraordinary experience to experience our poverty and our honesty and in so many ways our nothingness and it gives a kind kind of game can ever give us. It who are or who have been in a there are no games left any more real. We see this, and perhaps l-IS. of freedom which no is something like those mental hospital where and all they can be is it say~ something to The Lord does not accuse us, the Lord does not call to mind our sins: we are the only ones that remember them. The Lord simply asks us again and again: "Do you love me?" Today one is often questioned on the frequency of confession. Should religious go every week to confession?. I think it is very important to see the sacrament of penance in terms of the totality of the Christian life; it is not something that can have its significance only in isolation and only in terms of sin. There was a valid aspect, I think, to the intuition and practice of the Church in encouraging and calling her priests and re-ligious to confession regularly and I am sure it was not so much in terms of their need for absolution from sin but more in terms of confession of the praise of God, and for a deeper understanding of how priests and religious in a special way are the most highly visible embodiment of the Body of Christ. There was an extraordinary article in Time maga-zine in February on environment and I would certainly commend it to your spiritual reading. In this article some experts say that we have so interfered with the ecological system of the world that it is irreversible and human life cannot continue on this planet beyond 200 years. This was just a small portion of the article but it drove home" the reality that the smallest atom has a history, has an effect that goes so far beyond itself that it is almost incalculable what any act of ours can do. I think it speaks so strongly, about the mystery of human community and how we affect one another not only for a moment but have an ongoing effect; and that nothing is really lost. It speaks so strongly to the awareness we must carry within ourselves of the responsibility Christ took upon Himself for the whole world and for the sin and inability and absence of love in so many. It speaks to the fact that to follow Christ's likeness we, too, must be totally concerned with the conversion and transformation of people and where there is not love, to put love. When religious or priests go to confession, they go first of all to recognize that they are sinners and no one of us gets beyond that basic fact--that we are sinners even though saved. The remarkable thing in the testimony and history of the saints is that the more one grows in his experience of the love of Christ, the more ÷ ÷ ÷ Penance VOLUME 29, 1970 ÷ ÷ E. ]. Farrell REVIEW FOR RELIGIOUS 684 he realizes how much this love is absent in himself and he is drawn to the sacrament of penance out of his life experience; not from some external "you ought to" or "you should," but because it becomes more and more a need. There is a hunger for it which cannot be satisfied by anything less except being plunged into this mystery of Christ. St. Catherine of Siena spoke so deeply of this mystery in words that sound strange and rather strong to us-- "Being washed in the blood of Christ." But at the same time, these are words that are deeply Scriptural--Isaian --the Suffering Servant--the mystery of the blood of Christ. We need to be. deeply penetrated with them. We need to be aware that when we go to confession, which is a profession of faith, a confession of love, and a deep experience of a need to be touched by Christ and to be transformed by Him, sgmething takes place even though there is no way of validating it in terms of a pragmatic principle. It does not make a difference. ~¥hy bother? We cannot measure it on the yday to day level just as life cannot be measured on that particular level. There are movements within ourselves that per-haps take a long time before they can make their mani-festation in our nervous system, on the tip of our fingers. When we go to confession we need to be aware that a whole community is involved, not just a par-ticular house but everyone who is in our lives. We can pick up the paper and read about the crime and the violence, especially to the young and the old, and the helpless, the war, and unemployment, and we can read it and so what? It does not seem to enter into the very life that we are living. We are called to be that Suffering Servant and to make up in ourselves what is lacking in others, to in some way experience what Paul experienced. When someone was tempted, he, himself, felt the fire o{ it; when someone was sick, he, himself, experienced it--that deep interpenetration of all these people involved in Christ. So, when one goes to the sacrament of penance, it is for one's own sins-- the incapacity, the inability to love, missing the mark so often, but it is also in terms of the sins of others. Christ's whole life was this life of penance. Religious living is and has to be a following in this life of penance, this ongoing change, this ongoing conversion. One of the problems of frequent confession is the confessor. I think we are all caught .in this together. Our theology is usually behind our experience, and there are many priests who have had great difficulty in finding confessors themselves. I do not think there is more than one in thirty priests who has a confessor, has a spiritual director; and there has been a great impoverishment because we have not recognized nor developed this charism. I do think there is a special apostolate that the Christian and especially the relig

Issue 21.2 of the Review for Religious, 1962. ; FRANCIS J. WEBER The Relics of Christ The spiritual value of a relic is directly proportional to the devotion it inspires in those who venerate it. Apart from this spiritual significance, the relic is merely a his-torical curiosity. It may or may not be of archaeological value to the museums of the world. The official attitude of the Church regarding individual relics is one of extreme reserve. In most cases, the Church prudently withholds definitive judgment on even the most demonstrably ancient relics. In fact, while reluctant to proclaim the authenticity of a particular reli.c, the Church has not infrequently withdrawn from public Veneration relics whose claims were found to be dubious or spurious. In recent memory, this has happened in the case of "St. Philomena," center of a devoted cult for more than a cen-tury, though she had never been formally canonized and nothing actually was known of her life. Despite the many miracles attributed to the relics of this supposed second century martyr, unearthed from a catacomb in 1802, mod-ern research shed doubt on the authenticity of the re-mains. It should be noted that the decree of the Sacred Congre-gation of Rites in 1961 dropping the feast of St. Philomena from the liturgical calendar did not touch on the validity of the miracles attributed to her intercession. They may well have been genuine miracles performed by God be-cause of the faith and devotion of those who prayed for them. The oldest and most cherished of Christian. relics nat-urally are those reputed to have been connected with the holy person of Jesus Christ Himself. Those few that are still extant, for the most part, have sufficient historical documentation to merit scholarly attention. It must be borne in mind that the honor and veneration given to these objects is directed primarily to Christ. Hence, in, some cases where documentation establishes only doubtful authenticity, the Church is certainly jus-tified in remaining silent, if it is understood that in so doing the Church is not giving positive approval and if 4, 4. Francis J. Weber, a dPiorcieesste o of ft hLeo As rAchn-- geles, is presently assigned to Catholic University, Wash-ington 17, D.C. VOLUME 21, 1962 79 4. 4. Francis ~. Weber REVIEW FOR RELIGIOUS 80 greater honor and glory are thereby rendered to Almighty God. Our approach to this obscure and sometimes contro-versial subject is that of the historian, who presents only the facts, leaving conclusions to the reader, The True Cross The Cross on which our Savior died has been tradi-tionally the most precious of all Christian relics. Tiny splinters of the True Cross have been so widely distributed that, in the words of St. Cyril, "the whole inhabited earth is full of relics from the wood of the Cross." St. Helena is credited with discovery of the True Cro:;s in 327 A.D.1 Early testimony of the fathers, among them Ambrose, Jerome, Sozomen, and Theodoret, recounts this marvelous event in copious detail. The Cross was found in an abandoned cistern near Mount Calvary. Identifica-tion as the True Cross, according to St. Ambrose, was easy enough since the titulus was still affixed. To commemo-rate this great occasion, St. Helena orderd a magnificent basilica to be erected over the H61y Sepulchre. She gave it the name of St. Constantius in honor of her son, the Roman emperor. When Helena returned to Rome, the relics were placed in the Sessorian Basilica, Santa Croce in Gerusalemme. A substantial segment, of the. Cross-was left in Jerusalem where it annually attracted thousands of devout pilgrims. It was captured in the seventh century by Khosru II, the Persian conqueror. When the holy relic was returned by Heraclius in 628, the feast of the Exaltation of the Holy Cross was instituted. The Jerusalem relic was divided many times. When certain of these fragments fell into the hands of the Mohammedans, the Crusades were inspired to restore them. An extensive and intensive study of the True Cross was made and published in 1870 by Rohault de Fleury. After examination of all extant fragments claimed to be from the True Cross, he drew up a minute catalogue of them, with precise weights and measurements. His findings proved that if all known pieces of the True Cross were put together, they would consitute less than one-third of the original Cross. This effectively silenced skeptics who had scoffed that the total of supposed fragments was bigger than the Cross itself. De Fleury's calculations2 were based on a cross of pine wood weighing an estimated 75 kilograms. The volume of 1 Louis de Combres, The Finding of the True Cross (London: Trubner, 1907). = Charles Rohault de Fleury, Mdraoire sur les instruments de la Passion (Paris: Lesort, 1870), pp. 97-179. this. cross would have been approximately 178 million cubic millimeters. Known volume of the existing relics does not exceed ,t0 million cubic millimeters. 0 Crux ave, spes unica! The Title of the Cross There are many fanciful legen~ls associated with the dis-covery of the True Cross by St. Helena. The manner of distinguishing the True Cross of Christ .from those of the two thieves is usually related with colorful if not his-torically accurate circumstances. However, St. Ambrose testifies there was no problem in identifying the True Cross as the titulus or title-piece was still intact. Other writers corroborate this account, notably Sts. Cyrils and Jerome. As has been the case with so many holy relics, the titulus was divided into seveial pieces. The Diary of Etheria lo-cates a piece of the titulus in Jerusalem in 380 A.D, Helena undoubtedly brought a part of the title back to Rome with her. Regrettably, there is no further documentation avail-able on the fate of the Jerusalem relic, For some reason, very likely to protect it from invaders, the Roman relic seems to.have been walled up in an arch of Santa Croce by Placidus Valentinian III in the fifth century. In the twelfth century it was accidentally un-earthed by Gherardo Caccianemici, titular cardinal and later Pope Lucius II. The future pontiff placed his seal on the reliquary and replaced it in its hiding place. In 1492 Cardinal Mendoza of Toledo rediscovered the relic which he immediately presented to the then Holy Father, Innocent VIII. A papal bull, Admirabile Sacra-mentum, was issued, after which the titulus was exposed for public veneration in Santa Croce. The title-piece is of wood, about nine by five inches in size, and comprises two-and-one-half lines of faded in-scription. Hebrew, Greek and Latin characters are dis-cernible, all of which axe printed in reverse, a practice common with the Romans of the time of Christ. The Shroud of Turin It is recorded in Chapter 27 of St. Matthew how Joseph. of Arimathea wrapped the body of Jesus in a "dean linen cloth." No further mention of this funeral shroud appears in Christian literature until the time of St. Nino4 (d. ~38), who relates how Peter removed the shroud from the tomb shortly after the Resurrection. The fourteenth century Byzantine historian, Nicephorus Callista, tells how this 8Philip Gonnet, De Sancti Cyrilli Hiersolymitani Catechismt~ (Paris: 1876). ¯ Edward Wuenschel, C.Ss.R.0 Sell-Portrait oI Christ (Esopus, New York: Holy Shroud Guild, 1954). ÷ ÷ ÷ Relics ot Christ VOLUME 21, 1962 81 4. Francis $. Weber REVIEW FOR RELIGIOUS Holy Shroud, soaked with the blood of Christ and bearing an image of His holy face, found its way to Constantino-. pie: "Pulcheria, Empress of the East, having built a basil-ica. at Blachernes in 436, piously deposited there the fu. neral linens of Our Savior, which had just been rediscov-. ered and which the Empress Eudoxia had sent to her." Eyewitnesses to the presence of the Holy Shroud at Con-stantinople are recorded in the Annals of 631, 640, 749, 1157 and 1171 A.D. During the Fourth Crusade, the Holy Shroud was sur. rendered in recompense to Otho de la Roche, Duke of Athens and Sparta. The Duke in 1204 sent the prized relic to his father in France. Soon after, it came into possession of the Bishop of Besan~on. A fire caused minor damage to the shroud in 1349. Later that same year, it was stolen from its case in Besan~on Cathedral and given to King Philip IV who in turn gave it to Geoffrey, Count of Char., ney and Lord of Lirey. There is documentary evidence ¯ that it was at Lirey in 1360. During the Hundred Years War, the Holy Shroud wa:; handed over by Geoffrey's granddaughter to the House of Savoy for safekeeping. In 1454, Pope Sixtus IV directed the Duke of Savoy, Louis I, to build a shrine for the shroud at his Chambery residence. During the troubled war years of the sixteenth century, the Holy Shroud was moved from town to town in France. It narrowly missed being destroyed a second time by fire in 1532, and in fact its corners were noticeably singed. At the request of the aged Charles Borromeo, the shroud in 1578 was brought to Turin where it has re-mained for the past four hundred years. It is presently preserved in the black marble chapel specially built for it behind the city's beautiful fifteenth century cathedral. Several pronouncements by the Holy See leave litth: doubt regarding the Church's official attitude toward the Turin Shroud. An Office and a Mass were formally ap-proved by Pope Julius II in the bull Romanus Ponti[ex issued in 1506. Sixtus IV had previously stated that in thbl Holy Shroud "men may look upon the true blood and portrait of Jesus Christ Himself." A remarkable discovery was made in .1898, when a pho-tograph of the Turin Shroud revealed the faint, blurred image on the ancient linen to be an actual "negative" produced by vapors from a human body covered witll spices. The negative of the modern photo~a negative of a negative, thus producing a positive--offered a far more pronounced picture of a human face than was previously recognizable. ChemiCally, this "vapograph" was caused by the am-moniacal emanations from the surface of the body after an unusually violent death. It has been proved experimen-tally that these vapors are capable of producing a deep reddish brown stain which would vary in intensity with the distance from a cloth soaked with oil and aloes. Hence the image of Christ's face on the shroud is a natural nega-tive. This modern evidence, together with the identification of human bloodstains, prompted Dr. Paul Vignon to read a brilliant paper before the Acaddmie des Sciences, in which he suggested that any explanation denying the authenticity of the Turin Shroud would be scientifically inaccurate. It might also be mentioned that, the impression on the shroud of the Grown of Thorns is in perfect conformity with the "helmet type" of crown displayed at Notre Dame Cathedral in Paris. Further, the nail wounds are not in the palms of the hands but in the wrists. It has been re-alized only in our own times that this was a physical neces-sity, for nails in the palms .of the hands would not have been able to sustain the weight of a human body. One of the major opponents and critics of the Turin Shroud was the anti-pope Clement VII, first of the Avig-non Pretenders. His opposition apparently stemmed from a vague charge made by the Bishop of Troyes that the shroud was the work of a local craftsman skilled in the subtle art of simulating antique handiwork. Other shrouds, thirty in all, each purporting to be the genuine article, have turned up through the centuries. Most notable are thosestill preserved at Besan~on, Ca-douin, and Champiegne. These shrouds likewise bear im-pressions alleged to be those of Christ's face and body. However, the preponderance of ,historical evidence seems to leave no doubt that among all the claimants, only the Shroud of Turin has a valid pretension to au-thenticity. The Pillar of the Scourging The column of the Praetorium to which Christ was bound during His scourging was discovered in the For-tress of Antonia in 373 A.D., according to a chronicle penned by St. Ephrem. St. Paulinus of Nola,5 writing after 409, refers to several relics of the Passion, among them "the pillar at which He was scourged." Philip of Brosserius saw the pillar in the Church of the Holy Se-pulchre in 1285. Some time before the end of the four-teenth century it was broken and one part was sent to Constantinople. An interesting Christian" tradition, dating back to .the See Letter 310f Paulinus. ÷ ÷ ÷ Relics o] Christ VOLUME 21, 1962 83 ÷ ÷ ÷ F~ancis $. Webe~ REVIEW I:OR REI.I~IOUS 84 fourth century, holds that Christ was actually scourged twice. St. John Chrysostom tells us this second flagellation took place at the house of Caiaphas after the mock trial. This tradition finds prominent mention in early chroni-cles. The pillar used for the second scourging was reserved in the Church of Mount Sion, the Cenacle, where St. Jerome reported he saw it. During the Persian invasion, it too seems to have been broken into several pieces. The portion left at the Cenacle was lost in 1537. The other part was returned to a church subsequently erected on the sit~ of the house of Caiaphas. Here it was venerated until the fourteenth century, when it completely disappeared. In 1222 A.D., Giovanni Cardinal Colonna, papal envoy to the Orient, returned to Rome with a fragment of the Pillar of the Scourging, apparently given him by the Sara-cens. He enshrined it in his titular church of St. Praxedes, where it may be seen today. The Roman pillar is of mar-ble, about two feet four inches high. It is.probably one of the parts of the Praetorian column. Its counterpart in Jerusalem is of a different material and may have formed the lower part of the pillar. The Holy Stairs Among the many treasures brought back from the Holy Land by St. Helena was the marble staircase from the palace of Pontius Pilate in Jerusalem. It is still extant,e The stone steps number twenty-eight and are said. to have been sanctified by the feet of Christ himself when He as-cended this stairway at the Praetorium. The stairway, reconstructed in Rome, originally formed part of the old Lateran Palace, leading into a chapel dedi-cated to St. Sylvester. When the Lateran Palace was torn down by Pope Sixtus V in 1589, the stairs were moved to their present location. Today the Scala Sancta constitutes the entranceway to the Holy of Holies~ an old private papal chapelY In its present site, the Scala Sancta is flanked by additional stair-wells on either side. Traditionally the Holy Stairs are ascended only on one's knees. The last pope to ascend the stairway in this fashion was Plus IX on the eve of his exile from Rome in 1870. Pope St. Pius X decreed a plenary indulgence for those who devoutly ascend the Scala Sancta on their knees as testimony of their love for Christ. Replicas of the Scala Sancta have been erected at Lourdes and other centers of pilgrimage. e Herbert Thursfon, The Holy Year o] Jubilee (Westminster: New-man, 1949). ~ Philippe Lauer, Le trdsor de Sancta Sanctorum (Paris: Leroux, t~o~). The Soldier's Lance Mention is made of the soldier's lance in Chapter 19 of St. John. In his account of the Savior's death, St. John re-lates that "one of the soldiers opened His side with a spear . " The first extra-Biblical.~mention of~,this relic seems to be by Anthony of P~efiZ~, who wrot~'~a~;he saw the Crown of Thorns and "the lance with which He was struck in the side," in the Basilica of Mount Sion.s A miniature of the renowned Syriac manuscript, illu-minated by Rabulas.in 586, assigns the name Longinus to the soldier whose lance pierced the crucified Christ. Gas-siodorus and Gregory of Tours speak of a spear venerated at Jerusalem, which was thought to be identical with that mentioned in Scripture. After the fall of Jerusalem in 615 A.D., several of the major relics of the Passion fell into the hands of the Per-sians. The Chronicon Paschale relates that a piece of the soldier's lance came into the possession of Nicetas, who enclosed it in an icon and presented it to Santa Sophia in Constantinople. In 1241 the Holy Lance was given to King St. Louis for Sainte Chapelle in Paris. No trace of this part of the lance has been found since it was lost during the French Revolu-tion, some time after its removal to the Bibliothkque Na-tionale. The second and larger part of the shaft of the soldier's iance was reported seen by Arculpus in the Church of the Holy Sepulchre at Jerusalem about 670 A.D. Later it was taken to Constantinople, where Sir John Mandeville writes about it. It was sent to Pope Innocent VIII in 1492 in return for favors shown to the captured Zizin, brother of Sultan Bajazet. At request of the French hierarchy, during the pontifi-cate of Benedict XIV an investigation was conducted to ascertain the .relation, if any, between the two relics, one at Paris, the other at Rome. A papal brief, issued after the inquiry, concluded that both relics were originally parts of the same shaft. Several other supposedly genuine Ho!y Lances are pre-served in various treasuries of Europe, but none of the others offers a valid claim to authenticity. Even the story told by William of Malmesbury about the Holy Lance given to King Athelstan of England is historically in-accurate. Since the tragic loss of ihe Paris relic, only the Roman lance remains. It is exposed each year for veneration dur-ing Holy Week by the Archpriest of St. Peter's Basilica. 8 Francois Martin, Reliques de la Passion (Paris: Lethielleux, 1897). 4- 4- 4- Relics of Christ VOLUME 21, 1962 85 + + + F~ancis ~. Webe~ REVIEW FOR RELIGIOUS 86 Veronica's Veil According to the historian Eusebius in his commentary on the Legend of Abgar and according to remarks con-tained in the apocryphal work Mors Pilati, several au-thentic portraits of Jesus Christ were made at various times during His lifetime. The oldest and most authenticated of these images has been known to Romans for centuries as the Vera Icon or Veil of Veronica. So highly has this image been held in Roman esteem, that a Mass celebrating it was composed and inserted into at least one of the early Augsburg Missals.9 There is no reference in Scripture to a woman offering her veil to Christ during His Sacred Passion. But it is highly plausible that there was such a compassionate soul among those who followed Christ on His way to Mount Calvary. The incident itself is undoubtedly worthy of some credibility, since it has found its expression since very early times in the Christian devotion of the Stations of the Cross. Apparently the holy woman in question, known in pious legend only as Veronica, found her way to Rome, where she presented her Vera Icon---True Picture--to Pope Clement I. The veil, ostensibly bearing the image of the suffering Jesus miraculously pressed into it, was vener-ated in several places until the pontificate of John VII who had it enclosed in an ornate reliquary. During the ensuing centuries, the Holy See has exhibited particular solicitude for this precious relic. It had been reserved to the Pope's own chapel, St. Peter's Basilica, where it is ex, posed briefly during Holy Week for veneration by the faithful. The Holy Grail A whole cycle of romantic legends has been woven about the theme of the Holy Grail,1° but the legendary quests, inspiring though they may be, add nothing to the few slim historical facts available. Of the two notable "pretenders" to genuine Grailship, one alone merits se-rious consideration. And while tl~e chalice displayed at Valencia is not generally accepted as genuine by histo-rians, its proponents present a tolerable case in its behalf. An account by Bishop Siuri of Cordoba relates that the chalice used by Christ at the Last Supper was brought to~ Rome by St. Peter soon after the death of Mary. It was used frequently at Papal Masses until the pontificate of Sixtus II. During the persecutions of Valerian, St. Lawrence sent the chalice to his native Huesca in the northern part of o Sainte Veronique, apostre de l'Aquitaine (Toulouse: 1877). a0 Nutt, Studies o[ the Holy Grail (London: 1888). the Spanish peninsula where the Holy Grail remained until 713 when it was removed to San Juan de la Pena for protective custody during the Moslem invasion. A deed of exchange, dated September 26, 1399, testifies that King Martin acquired the Holy Grail for his private chapel in the Palace of the Aljaferia. About 1424 .the chalice was moved to Valencia by King Alfonso V. The chalice has remained at Valencia since the fifteenth cen-tury except for a brief period during the Spanish Civil War when part of the cathedral was burned by the Com-munists. It was restored to its chapel in the Metropolitan Cathedral at Valencia by the Franco government in 1937. Artistically, the Holy Grail is Corinthian in styling,ix made of agate or Oriental carnelian. The handles on ei-ther side are common appurtenances for drinking vessels of its period. The costly pearls, rubies, and emeralds were added much later. The Crown of Thorns St. Paulinus of Nola, writing early in the fifth century, is the first of the chroniclers to mention specifically "the thorns with which Our Lord was crowned." Other early writers allude apparently to this relic of the Passion, but their comments are vague and inconclusive. Writing about 570, Cassiodorus speaks of "the thorny crown, which was set upon the head of our Redeemer in order that all the thorns of the world might be gathered together and broken." The pilgrimage of the monk Ber-nard establishes that the Crown Of Thorns was still at Mount Sion in 870. According to fairly recent studies, the whole crown was transferred to Byzantium about 1063, although many ot the thorns must have been removed at an earlier date. The Latin Emperor of Constantinople, Baldwin II, offered the Crown of Thorns to St. Louis in 1238. After lengthy ne-gotiations with the Venetians, the r(lic was taken to Paris and placed in the newly built Sainte Chapelle where it remained an object of national devotion until the French Revolution. For security, the crown was placed in the BibliothOque Nationale during the bloody days of the upheaval. In 1806, it was restored to Notre Dame Cathedral. It was en-shrined in its present rock crystal reliquary in 1896. All that is left to be seen today is the circlet of rushes, devoid of any thorns. What remained of the original sixty or seventy thorns were apparently removed by St. Louis and deposited in separate reliquaries. The king and his successors distributed the thorns until nothing remained at Paris but the circlet. The Holy Chalice o/the Last Supper (Valencia: 1958). 4. 4. + Relics o] Christ VOLUME 21, 1962 Francis J. Weber REVIEW FOR RELIGIOUS 88 Reportedly there are more than 700 "holy thorns" scat-tered around the world. But only those traceable to St. Louis, to one of the emperors, or to St. Helena are genu-ine. Such authentic thorns aCe at Cluny, St. Praxedes in Rome, Santa Croce, and at Aachen, to mention but a few. The Nails There seems to be little agreement among Biblical scholars on the number of nails used to fasten our Blessed Lord to His Cross. Religious art of the early Middle Ages almost unanimously depicts the crucified Savior with four nails~ In the thirteenth century, however, it became in-creasingly common to represent the feet of Christ as placed one over the other and pierced with a single nail. Either of these methods is compatible with the informa-tion we have about the punishment of crucifixion as practiced by the Romans. The earliest authors, among them St. Ambrose, speak only of two nails.12 And it is a point of interest that the two oldest known representations of the Crucifixion, the carved door of Santa Sabina in Rome and the Ivory Panel in the British Museum, show no signs of nails in the feet. The most commonly accepted opinion is that there were three nails that actually touched the body of Christ. This is borne out by the evidence of the Shroud of Turin. In addition, there were probably another three nails used for the titulus, the seat block, and the foot rest. St. Ambrose and St. Jerome speak of the discovery of the nails in Jerusalem by Constantine's mother, St. Hel-ena, in the third century. Sozomen notes in passing that St. Helena had no trouble identifying the nails. One of the nails was fashioned into an imperial diadem for the emperor. This Iron Crown of Lombardy is now at Manza. Another nail was made into a bit for the imperial horse. This relic is believed to be the same as the one at Carpentas. A third nail was venerated for many years in Jerusalem before being moved to Rome's Santa Croce by Pope Gregory the Great. Several European treasuries claim to possess one or more of the true nails, but their, authenticity is clouded with the passage of time. Most of the confusion regarding the thirty or more known spurious nails can be traced to the well-intentioned Charles Borromeo who had reproduc-tions made of the nails and gave them out as memorials of the Passion. Conclusion These, then, are the more commonly accepted relics as-sociated with the holy person of Jesus Christ, our Savior. u De Combres, op. cir. If they have served to increase devotion to Almighty God, they have fulfilled their noble purpose. A saintly priest was once heard to exclaim: "Our Savior's greatest bequest to His children was not a treasury filled with mere material relics, but a golden tabernacle in which He Himself resides to be our fo6d~f6r all ~tei'nit~.!: 4. Relics ot Christ VOLIJME 21, ~962 89 EDWARD J. STOKES, S.J. Examination of Conscience for Local Superiors ÷ Edward J. Stokes, S.J., is Professor o[ Canon Law at St. Mary of the Lake Seminary, Munde-lein, Illinois. REVIEW FOR RELIGIOUS 90 In the summer of 1961 Father Edward J. Stokes, s.J.0 was asked to conduct the annual retreat for a group of local superiors. One of the projects he asked them to do during the retreat was to compose on the basis of their own experience an examination of conscience to be used by local superiors at the time of the monthly recollection, the annual retreat, or at any other suitable time. The ques-tions submitted by this group of local superiors were syn-thethized by Father Stokes who then submitted them to the REvmw. The questions were further revised by Father John E. Becket, S.J., of the editorial staff of the REw~w; the final version of them is given in the following pages. Readers, whether superiors or subjects, who have ideas for the improvement of this examination of conscience either by way of addition, deletion, or emendation are urged to submit their views to the Rzwvw. If enough of such improvements are received, a newly revised version of the examination of conscience for local superiors will be published in a later issue of the R~viEw. Personal Religious Li[e 1. Do I strive to come closer to Christ by leading the life of union and interior peace with Him? Do I do everything in, with, and for Christ? 2. Am I afraid of sanctity because of the demands that it will make on me? 3. Have I forgotten that if I live better, I will pray bet-ter, and that if I pray better, I will live better? 4. Am I firmly convinced of our Lord's words: If you love me, my Father will love you and we will come to you and make our abode with you? 5. Am I convinced that this office of superior, when ful-filled to the best of my ability, is a source of sanctification for me? 6. To be a superior means to carry a cross. How often do I thank our Lord for the privilege of suffering with Him? 7. Am I a superior truly aware of my ownnothingness? 8. When I suffer discouragement, is it because I have not succeeded in doing God's will or because I have not succeeded in pleasing men? ~-,, . ~ °~' ~ 9. Am I deeply convinced that if I have done my best to fulfill God's will, I have succeeded? 10. Do I accept as personal any recognition, privilege, or service accorded me by reason of my office as superior? 11. How often do I make a Holy Hour in petition for the solution of a problem or to obtain a special grace for my fellow religious or myself? Ever a Holy Hour of thanks-giving? 12. Do I make the Sacred Heart of Jesus the King and Center of our religious house and Mary its Queen? 13. Do I take St. Joseph as the advocate and the pro-tector of the interior life of each one dwelling in our house? Personal Recollection and Prayer 14. Am I convinced that recollection is an absolute ne-cessity for any progress in the life of prayer? 15. Is my spirit of recollection such that it provides an atmosphere conducive to prayer? 16. How do I prepare the points of meditation in the evening? 17. What special meditation has drawn me closer to Christ?_ 18. Do I sometimes excuse myself from my prayers by telling myself that this or that duty must take first place? 19. Have I given full time. to my prayers or have I hur-ried through them in order to get to my other work? 20. Does the demand for great activity cause distractions in my prayers or perhaps lead me to neglect prayer; or does it rather make me realize my dependence on God? 21. Have I said common vocal prayers reverently and not annoyed others by my haste? 22. Am I observant of recollection immediately after breakfast? 23. Do I make a special effort to keep recollected on the days when it seems especially impossible? 24. Do I ever revert to God's presence in me throughout the day, to adore Him, thank Him, love Him, speak to Him about the needs of soul and body, my own, and those of my fellow religious? Confession 25. Do I make it a point to confess my added responsi-bility by reason of my office when I confess criticism of su-periors or priests? ÷ ÷ ÷ local Superiors VOLUME 21, 1962 91 4, 4, E. ]. Stokes, $.1. REVIEW FOR RELIGIOUS 92 26. Do I make it a point to confess my added respons.i-bility as a superior when I confess failure to exercise ju:~- tice or charity in dealing with my.fell0w religioug? 27. Do I take advantage of my weekly confessions to re-ceive spiritdal direction? 28. Have my confessions been hurried due to an in-efficient planning of my time? Particular Examen 29. Is my particular examen specific? 30. Do I make a tie-in of retreat resolutions, the particu-lar examen, and weekly confession? 31. Do I make a daily examination of the motives that govern my external life? 32. Do I make my particular examen a vital part of my day as a religious? Mortification 33. Do I realize that my chief mortification is to tie found in the justice and the charity of my dealings with others? 34. Am I willing to perform one interior and one exte-rior act of mortification each day in order to obtain the blessing of our Lord on my community? Charity 35. Is love for others the outstanding virtue in my life? 36. Have I deliberately practised acting towards Christ in each person I meet? 37. Do I appreciate the importance of my personal charity to this community as a cell of the Mystical Body? Faith 38. Are the mysteries of Christianity the basis of my re-ligious life? 39. Have I made the connection between these mys-teries and the Rule, or have I let concern with the Rule obscure my reliance on broader Christian principles? Hope 40. Am I aware of the need for Christ's help in sanctify-ing myself by governing others? 41. Do I realize that Christ is able to utilize my faults in sanctifying others? Principles of Government 42. Do I realize that the most exalted duty of a su-perior is care for the spiritual life of his subjects? 43. Do I seek to serve God by serving my fellow re-ligious always and everywhere? 44. Do I pray regularly for the spiritual well-being and growth of those in my house? 45. Do I try to help each religious to develop a deep inferior life by my words and by my example? 46. Do I give my fellow religious an example of the love of regularity? . 47. Do I try to help my fellow religious develop a ready and loving acceptance of God's holy will by the example of my own acceptance of it in all my difficulties, trials, and failures as well as in my joys and success? 48. Do I realize and am I firmly convinced that seeing, accepting, and willing all that God wills for me in every circumstance of my life is the essence of sanctity; and do I teach my fellow religious this? 49. Am I trying to establish in my fellow 'religious a sense of the Mystical Body so that they are able to com-municate spiritually one with another? 50. Do I look for Christ in the problem religious? in the impudent child in the classroom? Do I see Him looking at me through the eyes of all my charges, seeking my love and devotion? 51. How often have I passed a fellow religious in the hall without noticing and greeting him? 52. In making use of the aspiration, "Praise be to Jesus Christ" during the periods of recollection, do I really try to see Christ present in that person?' 53. Did I personally visit at least one sick person of the parish or community, or delegate a religious to do so? 54. Have I in any way, by actions or words, shown a mere toleration for lay persons associated with our work? Or have I accepted them as allies in our work? Community Exercises 55. Do I faithfully observe the daily order? 56. Do I realize that as superior I set the tone and the spirit of the house, in recollection, cheerfulness, peace, hospitality? 57. Do I let human respect interfere with the duty I have as superior to insist on charity and the observance of the rules in my community? 58. Do I miss or am I late for spiritual exercises unless for a grave reason? 59. What community exercises have I missed in the past month? My reasons? Did I make them up at another time, or did I let them go through neglect or carelessness? 60. What can be done to make the chapter of faults more effective? 61. Do I create a family spirit? 62. Is my recreation self-centered? Do I do what I want and not talk or .do too much of the talking? Local Superiors VOLUME 21, 1962 95 ]. Stokes, FOR R~:LIGIOUS 94 63. Do I endeavor to make community recreation an exercise of wholesome family spirit? 64. Is my house truly a religious house or does it have the impersonality of a modern railroad station? Personal Qualities 65. Am I even-tempered? 66. Do I show true joy in my work? 67. Have I betrayed immaturity and lack of courage by disproportionate manifestations of disappointment and discouragement? 68. Do I allow my feelings to regulate my actions? 69. Do I have a good sense of humor? 70. How much self-pity does my countenance mirror when things go wrong? 71. Am I approachable? 72. Do I try, as far as possible, to treat all my fellow re-ligious in the same way--not showing any partiality or favoritism? Have I excluded any or passed them over iu the sharing of responsibility or favors? Are the same few always near me? 73. Do I treat as sacred anything that a fellow religious tells me in confidence? 74. How many times in the past month have I been im-patient with my fellow religious? 75. How do I act or react when I know that one of my fellow religious has offended me? Do I~take it in a Christ:- like way or do I hold-a grudge? Do I consider violations of rule as offenses against me? 76. Do I as superior always show exterior peace, calm, and happiness? I must do this if I am going to be the un-derstanding, religious superior that I should be. 77. In the presence of outsiders do I always show great loyalty to each and every member of my community? 78, Am I as reserved as I should be while visiting in the parlor? 79. Am I kind to all lay people, regardless of how much they can, orhave helped financially or otherwise--look-ing to the good of their souls first and foremost? Government 80. Do I run a disorganized house so that my subjects tend to say: "We never know what we are going to do next"? 81. Do I get all the facts before I make a decision? 82. Do I hesitate in making the decisions that I must as superior? Do I harm my fellow religious by my habit of procrastination? 83. Am I under someone's influence in the decisions that I make, an older religious or a former superior? 84. Do I contradict my orders, thus making it difficult to know what is my will? 85. Am I available to my fellow religious? 86. Am I open to suggestions? 87. Do I delegate responsibility and do I trust those to whom I have delegated it? If a duty is not being done as I would, do I give it to someone else or take over myself rather than try to help? Do I show interest without in-terfering? 88. Do I give authority as well as responsibility to re-ligious when I give them a job? 89. Am I a politician in dealing with my fellow religious instead of a Christlike superior? 90. Am I unnecessarily secretive in trivial matters, keep-ing the community guessing? Do I not see that this will cause bad feelings? 91. Do I talk uncharitably or show displeasure to one of my subjects about another subject in the house? 92. Should I not close my eyes to many insignificant petty things? Should I not use tact and by my example bring it about that these failings and imperfections will vanish--al'though perhaps not totally? 93. How have I controlled the conversation at table? Was I alert always to see to it that it never became un-charitable or critical, especially regarding students? 94. Do I initiate conversation regarding worthwhile reading? 95. Do I give the required instruction time to the young religious? Do I conscientiously prepare these instructions? 96. Do I complain about fnoney? Am I overly anxious regarding finances? 97. What is my attitude toward the suggestions, deci-sions, or orders of extern superiors in the institution in which our community works? Fellow Religious 98. Do I as superior treat my subjedts as mature, dedi-cated persons? 99. Do I trust my fellow religious and have confidence in them and show them that I do by the way I treat them? 100. Do I correct all when only one needs the correc-tion? Do I not see that this causes much criticism and irritated discussion? 101. Do all the members of the community feel that they belong and are an important part of the whole? 102. Do I give my fellow religious encouragement and show them gratitude for the good work that they are doing? A pat on the back does not cost much but it means a great deal especially to those inclined to get discouraged at times. 103. Have I within the last month made it a point to 4. Local Superiors VOLUME 21, 1962 95 .÷ ÷ ÷ E. ]. Stokes, .S.]. REVIEW FOR RELIGIOUS 96 compliment or praise or show attention, at least in some small way, to each religious in my charge? 104. Has each of my subjects received some word of praise (not flattery) from me recently? 105. Do I encourage group discussions so that all the community can express themselves? Do I see that such discussions are well-prepared and stimulating? 106. Do I see to it that the rest of the community share,,i in the rich contributions that some of its members can give, those, for example, who have had special oppor-tunities for studies? 107. Do I seek to serve God by serving my fellow re-ligious always and everywhere? 108. Do I show concern for the trials and crosses of my fellow religious? 109. How often do I check and consider the welfare of ¯ each of my subjects--spiritual and physical? 110. Is understanding the essence of my charity? Do I try to put myself in the subject's place and realize his emotions, attitudes, and difficulties--or is my charity based solely on my own attitude and outlook on life? He might not always want done to him what I would want done to me. I must try to understand his viewpoint. 111. Is each religious an individual to me? 112. Do my fellow religious.feel wanted and valued by me? 113. Do my fellow religious find the quality of thought-fulness in me? 114. Do I make it a habit to direct my attention to each religious individually at least once during the day? 115. Have I tried to satisfy each one's basic need to be accepted, the need for belonging? 116. Have I made use of each one's talents (all of them), or do I level them down to an equal share from each? Do I, then, expect only three talents from one who has and can give ten talents? 117. Do I take too much ~or granted the conscientious and well-balanced religious who does not demand my at-tention? 118. Do I give each individual religious my undivided attention regardless of who he is and how often he may come to me in a given day? 119. Do I make a sincere effort to speak to each re-ligious some time each day? 120. Do I give a sufficient amount of time to those who need to talk over with me the question of students who may be a problem to them? This could be a problem of behavior or some method that would help teaching. If a teacher is weak in discipline, this is a good means of gently getting across the fact that the child is not always at fault. 121. How well uo I "listen" when religious come for permissions, advice, and such? With preoccupation? With patience? With haste or annoyance? And this especially at difficult times? Or am I gracious, patient, helpful, Christlike? Have I shown impatience with those who come to me with trifles? Which of them? Do I r~ally listen when a religious is telling me something---or am I finish-ing up this job or starting another? 122. Have I treated each religious the same behind his back as I have to his face? 123. Do I control my hurt when one of the religious tells lies about me to religious of our own house? 124. Can my subjects sway my will by flattery? 125. Do I afford my subjects the opportunity of sug-gesting spiritual reading books? 126. What have I done to encourage professional read-ing on the part of my subjects? Do I give them an ex-ample in this regard? Do I ever check,up on them on this point? 127. Do I seek to prepare my fellow religious for fu-ture responsible positions in the community? ÷ Local Superiors VOLUME 21, 1962 97 KATIE ROCK Restoration, with a Difference 4. + 4. Katie Rock lives at 200 Oak Street, Falls Church. Vir-ginia. REVIEW FOR RELIGIOUS 98 Washington, D.C. is a city of contrasts. There are beau-tiful green expanses and there are dark, depressing alleys. There are massive monuments and tremendous buildingsl and there are rows and rows of shabby, run-down homes. Happily, there is city-wide slum-clearance consciousness; and already in some parts of town the monotonous rows are being converted into magnificent Town Houses with every modern feature. Restoration is taking place for many reasons, but unfortunately the power and profit motives seem the big reason. It is therefore refreshing to know that some are bringing their talents and inspiration to the restoration simply because they want to have part in "restoring all things to Christ." An assignment enhanced by my own curiosity took me to Foggy Bottom, the latest dilapidated section to be-come the site of intensive re-making. Situated only one.~ half mile from the White House, it is bounded roughly by Georgetown, George Washington University, the new State Department Building, and the Potomac River. This was my first visit to Foggy Bottom since it became "fash-ionable," and I was so fascinated as I walked down the narrow streets that I stopped to browse a bit. Gradually tiny broken-down row houses are being transformed into confortable city homes. Interesting colors, small but per.; fect gardens, unique combinations of contemporary and forsaken styling are attractive and appealing. Among the private homes there are apartment hotels arising. ¯ It was fun to speculate about the insides of these color., ful homes as I walked along the old brick sidewalks. Oc.; casionally a brass plate revealed an M.D. was occupant, or a navy captain, or a professor. A baby carriage in a tiny yard indicated there is new life in Foggy Bottom, too; When I arrived at my destination, the corner of H and 25th Streets, I stopped in wonder and admiration. Be-fore me was a turreted three-story structure of brick, painted a soft yellow with black trim which offsets awe-somely the octagon-shaped tower, dormer, and windows. There is a terrace in front, a landscaped yard, and I peeped onto a sheltered patio. A lacy black iron fence surrounds the property and a brass plate announces that this is the home of Melita god~ck,~A.I.A, g: Associates. I was welcomed inside by Melita, who introduced me to her assistant, Bernice, and after' being made to feel at home, I settled down to hear the story of a wonderful new venture into the new frontiers of our faith. Who is Melita? The decor and art work and religious atmosphere of this first floor indicate an unusual life. Melita was born in Milan, Italy, and educated at Vienna Polytechnic. She is a convert to Catholicism. Although she is an artist and sculptress, her professional experience and livelihood have mainly been centered On architec-ture. Twelve years were spent with other firms. Included in her work with those firms were high schools in Arling-ton, Virginia, and Rockville, Maryland, commercial buildings and a shopping center, a drive-in restaurant, hospitals.and the huge Medical Center of the National Institute of Health in Bethesda, Maryland, and many government buildings ranging from a missile base to renovations of Post Offices. Since establishing her private firm about three years ago, Melita has designed the Queen Anne's Lane Town Houses in Foggy Bottom valued at :~1,000,000 (and which won for her a Goid Medallion award), many residences, the Consolata Missions Semi-nary in Buffalo, New York, the Ayles~ord Retreat Center in Chicago, and remodeling of churches in southern Mary-land. For the Government, among other projects, she modified a hangar at Andrews Air Force Base. There is another facet to Melita's background. Dur-ing the 1940's she worked for four years in the Harlem Friendship House, engaged in interracial work, apolo-getics, and the practice of the spiritual and corporal works of mercy. During this time she had rich experi-ences. She undertook a formal course in philosophy un-der Jacques Maritain. She learned the principles of social justice from the best of its exponents, Father John La- Farge, S.J., Baroness Catherine de Hueck Doherty, the Sheeds, and others. During these years, she developed a great love for liturgical music through the influence of other wonderful visitors to Friendship House, one of whom was Professor Dietrich von Hildebrand. More and more, as years went by, Melita!s ability in. architecture and her various artistic talents became an integrated venture. And the motivating force in her life was her religion. Her love of designing, composing, creat-ing, on the one hand, and her love of God and her fellow-man on the other were beginning to congeal into one idea. + + + Restoration VOLUME 21, 1962 99 ÷ ÷ Katie Rock REVIEW FOR RELIGIOUS I00 In 1956, Melita took several months off from work to take a trip around the world, studying and observing the architecture of many lands and plans of other countries to meet the changes of modern life. Her first stop was Australia where she visited her brother, an engineer there. Then she visited the Philippines, Thailand, and India, observing certain unique and desirable aspects of Far Eastern architecture. From India she proceeded to the Holy Land, and this part of her journey provided a re-treat, as she put the world out of mind and became ab-sorbed in the life of our Lord. Her travels continued in Turkey, on to Italy where she lingered in Rome, then to Spain and France. In Germany she studied problems in-volved in regional planning for mining. Because of a serious interest in necessity for inter-diocesan planning, Melita was deeply interested in the episcopal planning bureau in Belgium, by which city churches and rural churches and schools are planned according to needs of city, suburban, or rural life. Here in Belgium, Melita observed the tremendous effect of "Young Christian Workers" in Catholic activity. The last stop was England, then home to sift and appraise the ideas and inspiration from her round-the-world journey. In 1958, Melita began her own firm, specializing in providing for her clients complete architectural, engi-neering, and planning service combined with interior decorating. The firm has the services of excellent consul-tants in engineering and financing. When the firm was first Organized, .Melita and Bernice lived and worked in the Potomac Plaza Apartments. One day a For Sale sign went up on a deserted, dilapidated dwelling across the street from the apartment. Curiosity and vision sent Me-lita on an inspection tour. The unusual lines and the lovely view of the Potomac from the third floor tower captured Melita's heart. And the creaky stairs, plaster-bare walls and cobwebs provided a challenge to Melita's pro-fessional ability. The house today seems to say it was joy as well as work that restored it to its immense liveability and unusual beauty. So much for Melita, the architect, for she is more than an artist and an architect. Melita has vision and percep-tion and appreciation for beauty not touched by human hands. Designing is not only a business with her but a God-given talent in which she expresses the love of God in her soul. Creative art, Melita told me, is the remedy man needs in this age of technology, assembly lines, and automation. These things, cold and impersonal, produce ragged nerves and tensions and strike at man's very soul, leaving him unmindful of the purpose for which his Crea-tor put him on earth. Into all forms of art--painting, poetry, music, and so forth---goes one's own personality, reflecting a personal relationship with the Heavenly Father. The closer to God man is, ~the truer his work, and the more he will choose a good and proper use of ma-terials. In the arts a man may find peace and contentment for he may use his.creativ.e ability' to transform his inner energy in a satisfying manner,~, ~, Happily, Melita sees her obligation to use her creative ability to promote a Christian society, a Christian com-munity life. Melita is taking the giant step of using her profession solely for the glory of God and for love of her neighbor with no profit except the profit of peace in her own heart. Others have done this; for example, Dr. Albert Schweitzer and Dr. Tom Dooley and Geo.rge Washington Carver. Her heart and will having been entrusted to God some time ago, Melita began sifting ideas about putting her philosophy into practice. Then ideas had to be translated into blueprints, and these blueprints needed and received approval from her auxiliary Bishop, Most Reverend Philip M. Hannan, chancellor of the archdiocese. Then came discussions with many wise and prudent friends: spiritual directors, teachers, fellow artists, other archi-tects, and even mothers of children who are awakening to the needs of our frustrated society. Far from relying solely on her own ideas, Melita sought and listened to ~he counsel of all. The result was a plan to begin a secular institute of the design professions to be called Regina Institute. A secular institute is an association of lay people living in the world but bound by the vows of poverty, chastity, and obedience, performing duties suitable for their talents for the love of God. Though popular and plentiful in Europe, secular institutes are just emerging in our coun-try. Their specific purposes vary widely. In Madonna House, for instance, workers live among the poor, teach-ing crafts and catechism, nursing the sick and feeding the hungry. In the Company of St. 'Paul, members teach, work in the Government, and so forth. This is a quiet life~ there is nothing in their dress to indicate they are an organization dedicated to Christ. Members simply strive to live as "Christs" among those needy in goods or in spirit. Regina Institute is taking another direction. First of all, Melita is concerned with the arts in the service of the Church's liturgy. She would like to assist in setting stand-ards for the quality of sacred art just as Benedictines have set a standard for sacred music. Second, she is endeavor-ing to bring the Incarnation into society by bringing Christian attitudes into the building professions and in-dustry and into city planning. The Christian philosophy of man and the social teachings of the Church are being Restoration VOLUME 21, 1962 ]0! Katie Ro~k REVIEW FOR RELIGIOUS 102 applied, thus supporting such contemporary projects as open occupancy, adequate housing, and so forth. Third, Melita and associates try to teach all of us the visual arts and their spiritual and cultural values. My visit showed me a great deal about the practice of these ideals and the life of this infant group. Melita and Bernice filled in a picture of a day in Regina House, tak-ing me on a tour of the house as they talked about their Rule. Recently Gwen moved in with Melita and Bernice. For the present they are living according to the Rule of the Third Order of Our Lady of Mount Carmel. Melita has served as novice mistress of the St. Therese Chapter in Washington for eleven years. The Rule seeks to instill in its followers the spirit of constant prayer and love. Early each morning the group leaves for St. Stephen's Church nearby for a halfihour.of.meditation before 7:30 Mass. Breakfast follows, then they recite in ~ommon Prime, Terce and Sext from the Little 01~ce. (On.nice days they do so on the patio which they call their "clois-ter.") At 9:00 work begins. Lunch is at 12:30, followed by None and Vespers, then free time. At 2:00 they go back to work until dinner. At 7:30 comes Compline, Matins, and Lauds, and after that there is recreation-- long walks in nice weather, singing or reading at other times. One day of each.month is spent in retreat. There are three floors in l~egina House. The first con-tains the dining area and kitchen opening onto the patio, Bernice's office, and a music area. Melita plays the piano, and there is also a stereo arid many fine records, including Gregorian chant and classical music. On the second floor, we entered a work and study spa.ce. I was fascinated with the dozens of books and their range of subjects, from the culture of the Far East to the philosophy of Frank Lloyd Wright. There are books in German and French and Spanish, books on philosophy, Catholic Action, and the liturgy, books on ancient architecture and books on mod-ern design. Attractive chairs and a lovely view are invit-ing. Melita's bedroom, also on this floor, shows all her separate interests united in her one endeavor. There are beautiful religious objects, side by side with a drawing board (she is currently working on a dental laboratory) and there were several sketches in process, both water colors and oils. On the third floor are more drawing boards. This floor also serves as a workshop for other projects. Bernice finds time to make beautiful cards by a linoleum process fea-turing Melita's impressionistic designs. Bernice has a talent for dress designing and sewing; also she does lovely ceramic tile work. I noticed several clay models of build-ings as well as wooden models; Melita explained these help her visualize her ideas. Certainly the first purpose'of this institute is sanctifi-cation of its members. Theystrive for a four-fold contact with Christ: Christ the Life, through prayer.and the sacra-ments; Christ the Truth, through study and meditation; Christ the Way, through i~bedience; and Christ the Worker, through creative human effort for love of God. Melita invites young people inclined towards the design arts, who would like to dedicate their service to God, to talk to her. Regina House is large enough to house several women. If men apply, perhaps a home close by will be found for them, while work and prayer will be centered in Regina House. The necessity for meals and housekeep-ing means the Institute must attract also "artists" of the kitchen and "masters" of the broom. In fact, Melita is ready to consider anyone who is willing to share her ideals and approach, and invites those interested to con-tact her at 801 25th St. N.W., Washington 7, D.C. So sold was I by my visit that I was ready to apply-- but Melita just won't take a mother of eight growing children. Reluctantly I said "good-bye" and went out the big black door and the lacy iron gate. I looked back with new appreciation at Regina House which today so sur-passes in beauty and liveability its original design. From the ordinary it has become majestic. I left, believing that Melita's plan for it also far surpasses the ordinary Chris-tian way of living and that its tower truly points to Heaven and its eternal history is just beginning. ÷ ÷ ÷ Restoration VOLUME 21, 1962 103 WALTER DE BONT, O.P. Identity Crisis and the Male Novice Walter de Bont, O.P., is a member of the faculty o! the Catholic University in Nijmegen, Hol-land. REVIEW FOR RELIGIOUS 104 Beginners' Failings Father Lacordaire,1 the day after his entry into the novitiate, confided to the master of novices: "Father, I can't stay here; these young men are childish and quite silly. They think everything is funny," "It would be a shame," the priest answered, "if the former preacher of Notre Dame of Paris should, by a hasty departure, give the world the impression that his entrance into religion had not been thoroughly consid-ered. Wait a while, then." Three weeks later the master of novices asked him, "When are you leaving?" "But I do not wish to go, so long as you are willing to keep me." "But what of your young companions who are so silly?" "Father," said Lacordaire, a little embarrassed, "I am the silliest of them all." In all the novitiates of the world since the beginning of monasticism there h~tve been young men, and some not so young, who were "a little silly." No matter how more or less normal they were a few weeks.previously, before they had left "the world," here they become affected by a whole series of strange phenomena which spiritual authors call "beginners' failings" (see especially St. John of the Cross, Dark Night, 1, 1-7). Using the material furnished by the experiment described below, the following section will give a rapid and pseudonymous portrait of certain "types" who betray the curious behavior encountered among be-ginners. *This article is translated with permission from the original article, "La crise d'identit~ du novice," which appeared in Suppld-ment de la Vie Spirituelle, 1961, pp. 295-325. The translation is by the Reverend John E. Becket, S.J. Passing Vagaries Brother Clement suddenly develops a phobia for drafts; underground currents beneath his bed keep him from sleeping; he wonders whether the spinach from the garden has enough iron to supply his needs; the light bulb on his work table endangers his eyes; and so on. No one has de-scribed more humorously than St. Teresa of Avila this kind of hypochondriac novice who seems "to have entered the cloister solely to labor at staving off death." She her-self, for that matter, knew this temptation of seeking "not to lose one's repose here below and still to enjoy God in heaven." John is a real gourmet--in search of spiritual delicacies. All his efforts are aimed at getting the satisfaction of a very sensible devotion from' prayer; In his :better moments he feels inundated with grace and spends hours in the chapel. When consolation no longer comes to him, he is desolate and lamentsin the blackest sorrow. At such times he passes the time of meditation breaking in books. Guy fears to embark on the road to perfection, excusing himself as one who was not meant to accomplish great things. He even thanks God for not making him too in-telligent. Comparing himseff with others, he has already lost all courage. Some suffer from quite peculiar sexual problems. At the very moment of prayer, confession, or communion, sexual feelings and reactions surge up. Cassian has already spoken of a brother "who enjoyed constant purity of heart and body, having merited it by reason of his circumspection and humility, and who was never afflicted with nocturnal emissions. But whenever he prepared for communion, he was sullied by an impure flow in his sleep. For a long time fear kept him from participating in the sacred mys-teries" (ConIerences, 22, 6). And then there are the pilgrims of ,the absolute with pure and perfect ideals. They are so punctual in their ex-ercises that you can set your watch by them; but they easily forget that the rule is merely a means to love God and their neighbor better. Burning with enthusiasm, they seem to have sanctity within their grasp. Lacking patience, they try to force the ascent toward God with Draconian measures. The novitiate is the decisive year in which holi-ness must be achieved. For them profession is a final set-tlement and not a decisive beginning. Or else there are the grim ascetics. In his enthusiasm for purity, Henry Suso did not scratch, nor even touch, any part of his body. Throughout the day he abstained from all drink. In the evening at the sprinkling with holy water, he opened his dry lips and gaped toward the 'sprinkler, hoping that a tiny drop of water would fall on his arid 4. + + Identity Crisis VOLUME 21, 1962 ]05 4. W. de Bont, OJL REVIEW FOR RELIGIOUS 106 tongue. At the age of forty, luckily, when "his whole na-ture was so devastated that nothing was left for him but to die or leave off his austerities," he opted for life and threw his whole arsenal of instruments of penance into the lake. For most of these novitiate "follies" are only temporary. Sooner or later good sense reasserts its rights, and the spiritual life of the subject becomes more balanced. St. Teresa had already clearly sensed that this bizarre conduct of the novice-beginner was somewhat forced and not genuine: Anything which gets the better of us to such an extent that we think our reason is not free must be considered suspicious, for in that way we shall never gain freedom of spirit, one of the marks of which is that we can find God in all things even while we are thinking of them. Anything other than this is spiritual bondage, and, apart from the harm which it does to the body, it constrains the soul and retards its growth (Book of the Foun-dations, Chapter 6, from The Complete Works ot Saint Teresa oI Jesus, translated and edited by E. Allison Peers, Volume III, p. 32 [London and New York: Sheed and Ward, 1946]). If "our reason is not [completely] free," then we are not fully on the plane of moral defects, but partially on that of psychic determinisms. And it is precisely the psychic aspect of these, phenomena that we propose to study in this article which has no other aim than to throw some light by the help of modern depth psychology on this strange being whom the masters of the spiritual life have been ob-serving for centuries, the beginner par excellence, the novice, and on his imperfections. The perspective of this article must, then, be clearly emphasized. This is not a work of spiritual theology. The theologian contemplates the events of the novitiate with the eyes of faith; he sees there the hand of God and the conflict between grace and sin. The perspective of this article is much more modest; it is, to put it simply, psychological. Without in any way denying the workings of grace, we shall systematically ab-stract from them; for the designs of God and the ways of grace are not apprehended by the purely human ways of kno~ving which alone are at the disposal of the psychol-ogist. While leaving aside the supernatural aspect of the growth of the novice, we are bound to point out that this aspect tias been amply clarified by the masters of spiritual theology from Cassian and St. Benedict to St. John of the Cross and contemporary authors. Working Hypothesis and Methodology To initiate the psychological study of the novice and of his "imperfections," we took as "subjects" twenty-eight male novices belonging to two quite different communi-ties. We asked for volunteers only, but in each novitiate everyone volunteered. The age of our subjects varied from eighteen to twenty-two years. The level of their previous instruction was for the most part uniform, and they were about equally divided between those, from rural and those from urban backgrounds. The experiment was made dur-ing the fourth month of the/novitiate. i~ A double series of tools was used, since our aim was to clarify certain problems of the spiritual life. of the sub-jects by a study of their personality in the course of evolu-tion. a) For the study of personality, projection tests were used, especially the Rorschach and the Thematic Apper-ception Test (T.A.T.), since these two tests are universally recognized as highly useful for this purpose. The admin-istration of the Rorschach was preceded by the drawing of a human figure, so that the subject might implicitly per-ceive that a creative effort was expected of him. b) For the study of their spiritual life, the novices were asked to write a four-page essay entitled "The Ideal and the Difficulties of My Spiritual Life." c) To complete our information from the character-ological as well as the spiritual side, we conducted inter-views of about an hour with each subject, his master of novices, and the assistant to the master of novices. It was striking, especially in going over the Rorschach protocols, to see the number of signs of anxiety, of ten-sion, and of disintegration. Equally striking, however, were the efforts at synthesis. Given the age. and the situa-tion of our subjects, this called to mind the psychological situation described by Erik Erikson under the name of "identity crisis" (see Erik Erikson, "The Problem of Ego Identity" in Identity and the Lqe Cycle, volume one of "Psychological Issues" [New York: International Univer-sities Press, 1959]). As a matter of fact, the novice is a young adult, around eighteen to twenty years of age. As others become doctors, engineers, and fathers of families, he, at the end of his adolescence, chose in a more or less definitive way the role he wanted to play in adult society: that of religious or priest. This role is the result and syn-thesis of his entire previous development. In this connec-tion, Erikson uses the word "identity" because in this role the young man ought to be able to accomplish the best he is capable of while at the same time promoting the aims of society. The novitiate is his first serious testing of this role; he is vested in the religious habit and he follows the rules of his community as they are adapted for re-cruits. What does this identity of pries.t-religious become in the novitiate? Is the young man able to realize it here in the way in which he dreamed of doing? Does the com-munity he has chosen respect this identity? If these ques-tions receive a more or less negative answer, .a crisis oc- VOLUME 21, 1962 curs, an identity crisis because it is the novice's identity that is brought into question. As with every crisis it is manifested by certain symptoms; and one may assume that the imperfections of beginners are precisely the signs of this crisis on the religious plane. Our hypothesis then is this: The novitiate induces in the young religious a crisis about his identity, about the role he wishes to play in life, a role which is the end prod-uct of all his previous development; this crisis comes from the fact that this role is threatened by the novitiate; and the imperfections of beginners are the symptoms of this crisis. In order to understand this hypothesis better, a more ample presentation must be made of Erikson's notion of identity. This will be done in several of the following sec~ tions. ÷ ÷ ÷ W. de Bwnt, O.P. REVIEW FOR RELIGIOUS 108 Identity, Synthesis of the Personality During adolescence all the impulses of earlier life re-appear accompanied by a strong genital drive. It is the characteristic work of the male adolescent to subordinate this chaos of impulses under genitality and find them their proper object, a girl. But this adjustment of one's infan-tile heritage to one's new acquisitions does not confine itself solely to the level of impulsive life; it equally con-cerns the other functions of the personality, the ego and the superego and their identifications. For the young man. must subordinate his previous identifications to a new kind of identification, an ultimate identity learned in so-cial contacts and competitive apprenticeship with his equals. These new identifications no longer have the ca-priciousness of infancy or the experimental fervor o youth; with extreme urgency they impel the young indio. vidual toward choices and decisions which progressively conduct him to a final definition of himself, to an irrev-ocable configuration of rol~s, and then to lifelong com-mitments. The normal adolescent performs this reintegration him. self, using spontaneously chosen adults and older adbles-cents as his models. But the age at which this synthesis is completed varies considerably. The more complicated a civilization is, the longer it takes its members to integrate their personality and find their place in society. At the bee ginning of our era people were married at Sixteen, a thing that rarely happens today. Suso entered the novitiate ar thirteen, whereas nowadays even canon law considers thi.~ too early. Moreover it would seem that workers or farm people come to adulthood before members of the profes. sional classes who have more to integrate and spend a longer time in training. Finally, the presence of acute conflicts can make this integration even more difficult and slow. At the worst, they may even render such integration impossible and the subject becomes neurotic or psychotic. Identity, a Psychosocial Reality This ultimate identity of which we have been speaking is unique for each individual because no two ,develop in identically the same way. '~Id~e'~,er, it is fa~'~O~ being individualistic. A person becomes himself only in a given society and in order to live in that society according to that identity. Ideally, identity implies that one is most oneself when one is most in relation with others and that our personal values and ideals coincide for the most part with those of the environment which is accepted by the person and in which he feels himself accepted. It is of ex-treme importance for the formation of the identity of the young man that society respond to him and that he receive a function and a status which integrates him into the community. In order to take his place in society the young man must acquire the skillful use of his principal ability and fulfill it in some activity. He should enjoy the exercise of this activity, .the companionship which it furnishes, and its traditions. Finally he must receive a setof teachings which allow him to see the meaning of life: religion, philosophy, or some ideology. Speaking psychosocially, the'h, identity is the role, integrated into the character, which the indi-vidual wishes to play in society and for which he expects the approbation of society in order to give meaning to his life. After the psychosexual delay of the period of latency there must, in consequence, be another delay, adolescence, so that the already sexually adult young man may, by freely experiencing different roles, find himself a place in some section of society, a place which in its definiteness seems made uniquely for him. The Genesis o[ Identity Identity must not be confused with identification. The simple addition of infantile identifications (the child act-ing like his parents, his brothers, his uncles, his teachers, his friends.) never results in a functioning personality. These identifications are too disparate and too contra-dictory; they are, moreover, often far from being socially acceptable or realistic, since the child's imagination dis-torts the image of his. parents or other models to suit his own needs. The final identity which emerges in the course of adolescence and which at the end of its development is largely fixed, is rather a new configuration which includes all previous usable identifications while transcending them all. They are transformed to make a whole which is unique and reasonably coherent. This new configuration ought to be achieved in such a way that in it the physical 4. VOLUME 21, 1962 ]~9 ÷ ÷ W. d~ Bont, O.P. REVIEW FOR RELIGIOUS constitution of the young man, his affective needs, his best liked capacities, his effective defense mechanisms, and his successful sublimations find their rightful use. The formation of personal identity, then, has its roots in the most distant past of the individual, a past often lost in the clouds of the unconscious. It begins with the first introjections and projections of the baby whose relative integration depends on a mutually satisfying relationship between the child and his mother. For it is she who must give him that basic trust in himself and in others which is at the foundation of any process of becoming social. Then follow the different identifications of childhood which will be the more successful according as.their proto-types show themselves to be both loving and firm. The last step of the formation of the ultimate identity begins when the usefulness of identifications is over. It consists of the repudiation of some infantile identifications and an absorptive assimilation of others of them into a new configuration, which in its turn depends on the proc-ess by which a society (or the subgroups of a society) "identify" the young man by recognizing him as someone who ought to have turned out as he did and who is ac-cepted as he is. Society in its turn feels "recognized" by the individual who demands to be accepted, or profoundly and aggressively rejected by the individual who seems un-interested in any social integration. Identity manifests itself, then, in the role which the young man is going to play in society. Identity Crisis When the young man, emerging from.adolescence with his newly acquired identity, does not find in society the place he needs in order to continue to be what he has been and to develop still more, he runs the risk of a crisis. His ambitions may be too vast, society too different from his ideal; certain aspects of his identity may be poorly de-veloped in relation to what is demanded by the customs of his milieu from the viewpoint of sex, occupation, or in the area of academic or athletic competition. This constitutes a failure, at least a partial and provisional one. The at-tempt to enter into a relationship with society will piti-lessly reveal any weakness up to now latent in his identity. There results a state of confusion with the following symp-toms: a feeling of isolation, a breakdown of the feeling of personal continuity, shame, inability to enjoy any ac-tivity, a sense of enduring life rather than of actively living it, a distorted perspective of time, and finally, an extreme mistrust of others as if society were in opposition to what the subject wants to be. But no matter how many neurotic or psychotic symp-toms may be discovered, an identity crisis is not a sickness. Rather, it is a normal crisis, that is, a normal phase of sharp conflict characterized by an apparent wavering in the strength of the ego, but also by great possibilities for growth. Neurotic and psychotic crises are characterized by a tendency to perpetuate themselves because o~ a loss of defensive energy and ~i deep social isolation.~ A'grOWth crisis, on the contrary, is relatively more easy to overcome and is characterized by an abundance of utilizab!e energy. This energy, doubtless, causes the reawakening of dormant anxieties and engenders new conflicts; but it supports the ego in the functions it has newly acqtiired or developed during the search for new opportunities or for, new rela-tions which society is more than ever ready to offer. What appeared as the .onset of a neurosis is often only a quite acute crisis which dissipates itself and helps more than it harms the formation of the subject's identity. Some cases, however, reach a less fortunate outcome: derangement, suicide, or a confirmed case of nerves. We have already briefly mentioned the characteristic symptoms of the identity crisis, now it will be worthwhile to give a more ample description of them by contrasting them with the dimensions of an ultimate identity success-fully achieved. The Dimensions of Identity and Its Crisis At each stage of man's psychosocial, development cer-tain criteria allow us to see whether the individual has passed through this phase successfully or whether he has failed. So it is with the baby's crisis of trust (in the oral stage of development); with the crisis of autonomy at the age of two (during the anal phase); with the crisis of in-itiative around the age of five years (the age of the Oedipus complex); with the assimilation of work during the time of schooling; the crises brought about by marriage and the birth of children; and the problems posed by maturity and old age. What interests us here are the criteria which let us evaluate the identity crisis in the passage from puberty to adulthood. Erikson gives eight criteria which show whether the young man has succeeded in building up for himself in accordance with his possibilities an ultimate identity which is both balanced and accepted by his environment, or whether he remains at grips with an outgrown identity which is deficient and replete with conflicts. As has just been said, each growth crisis reawakens sleeping anxieties, the relics of old battles in former crises which were buried but not done away with. In the identity crisis certain con-flicts of preceding stages of psychosocial development are reawakened. This reawakening evidently does not bring these conflicts forward under the shape which they had when the subject was still a baby or a small child, but in a Identity Crisis VOLUME 21, 1962 ÷ ÷ W. d~ Bont, O.P. REVIEW FOR RELIGIOUS way that is colored by his current development. The first four dimensions of the identity crisis mentioned by Erik. son are reawakenings of former crises which, as we have mentioned, have to do with trust in o~hers and in oneself, personal autonomy from others, the ability to take the ini.~ tiatives by which one becomes "someone," and the ability to do one's work well. But the young man is not formed by his past alone; he is also stretching towards the future; The last three dimensions of the identity crisis are then foretastes of the problems which he will have to resolve later on in his life when he marries, when he becomes a fafher, or when he .reckons up the balance of his whoh: life. ¯ Here then are the eight criteria or dimensions of the identity crisis: a) Presence. or absence of a perspective in life. The young man in the grips of an identity crisis manifests a confused attitude toward time which may be more or less grave according to the case. He sees no prospects for him-self in life. Since his identity is not well defined and he is fully confused with regard to his place in society, his con-fidence in the future is completely overturned. He is in despair, even if this shows up as a headlong precipitancy with which he tries to reach his goal, like the student who, for an elementary examination in biology, studies only the most advanced articles. This is a derivative revival of the impatience found in the child who has not yet realized that all human activity realizes itself only gradually in obedience to the progressive nature of time rather than all at once as if by magic. When the young man resolves his crisis and begins 'to become himself, when he synthesizes the different aspects of his character and finds his place in society, this co:a-fused attitude toward the temporal element of his life is changed into a rich diversity of prospects; at the same time he becomes open to the temporal dimension as indispen-sable for every building up of his personality. Moreover, through the temporal dimension of the ideology which it offers him, society can help the young man to rediscover the feeling that his past and his future have a meaning. Most religions, philosophies, or political doctrines teach that there is a meaning and a direction to life. Even though such an ideology may not be altogether realistic and may represent a certain simplification of the order of things, still, in such a situation its pedagogical usefulness is real. b) Self-certainty or self-consciousness. The young man going through an identity crisis is characterized next by insecurity, by a doubting of himself accompanied by shame at what he is or has been. What reappear are the social characteristics of the anal stage. Once he has regained at a higher level the balance which he had achieved before, the new sense of his own meaning gives him the necessary assurance to face life and to assume his chosen role in society. Here again, in the recovery of assurance, social surroundings can be a powerful aid by the uniformity of conduct, arid ,sometimes of~:clbthing, which they impose, often without even demanding them by an explicit code. With the help of this uniformity, the young man, though in a state of confusion, may tempo-rarily hide his shame and his doubts until his identity is sufficiently reestablished. c) Free experimentation with roles or its absence. The healthy young man's entrance into adult society is char-acterized by the provisional adoption of a great variety of roles and initiatives, each of which is tested by a process of trial and error in order to .decide which is better for him so that he may make a final choice which will determine the principal content of his adult life. This is a prolonga-tion of the child play of the Oedipal age in which the child sought to overcome anxiety by his identifications; the child of four who plays at driving a bus attains, in this way, at least in his imagination, equality with the adults he fears, especially his parents (the castration complex of classical psychoanalysis). But in certain cases, especially if adoles-cence is unduly prolonged, the opposite of this free ex-pe. rimentation with roles is found. To characterize this other extreme, Erikson speaks of negative identity, that is, "an identity perversely based on all those identifications and roles which, at critical stages of development, had been presented to the individual as most undesirable or dangerous, and yet also as most real" ("The Problem of Ego Identity," op. cit., p. 131). The 'young man whose mother is always saying, "If you act that wa~ you will turn out like your uncle [a drunkard]" can end up precisely that; he identifies himself with what is forbidden because it is more real for him than the positive ideal which' his mother never spoke of with such eloquence. According to some recent research (that of Adelaide Johnson and her staff) juvenile delinquency (in the area of aggressivity)and perversion (in the sexual area) are frequently the result of such largely negative education. But there are still other ways to renounce a free experimentation with roles; for example, the renouncement of personal identity in an ex-treme conformism which tries to root out everything which goes against even the excessive demands of the en-vironment. Here again the different segments of society offer the young man initiations or confirmations which are apt to encourage the spirit o[ initiative while channeling it and allaying the reawakening of Oedipal guilt. "They strive, within an atmosphere of mythical timelessness, to com- . 4- 4- 4- VOLUME 21, 1962 113 ÷ ÷ ÷ W. ~e Bo~t, O.P. REVIEW FOR RELIGIOUS bine some. form of sacrifice or submission with an energetic guidance toward sanctioned and circumscribed ways of action--a combination which assures the development in the novice of an optimum of compliance with a maximum sense of fellowship and free choice" ("The Problem of Ego Identity," op. cit., p. 144). d) Anticipation of achievement or work paralysis. The next characteristic of the adolescent who is initiating him-self into society is the anticipation of success. He feels able to accomplish something, to fulfill his function in the. community in such a way that the other members will re-pay him by their esteem. This is a prolongation of the ap-plication to school work during the period of latency. When things go poorly, the subject, instead of feeling him-self able to assume his role, is paralysed in the work he is doing either because his ambitions are too vast or because his environment has no place for his special capacities or does not give him the recognition he hopes for. Or he risks everything to gain everything and throws himself." prematurely into an intellectual or social activity which is extravagant and rigid and which may in the end com. pletely destroy his personal happiness, if not his physical existence: At the root of ~ill these forms of work pathology we find, according to Erikson, a reawakening of Oedipal competition and of the rivalry with his brothers or sisters. The different segments of society help those who are the process of learning and of trying out their social role by offering them .a certain provisional status, that of ap-prentice or student--with all that these imply of duties, competition, freedom, and also of potential integration into the hierarchy of jobs and of classes, as in associations for young adults (for example, political parties have their sections for youth which act ~s an initiation into adult life). e) Identity or confusion. The most general character-istic of the young man who has not yet achieved interior and social balance is confusion. This is the global result of all the imbalances set up by the reawakening of old conflicts and of all the confused attitudes which come from the fact that the ~oung man is still unable to take his place in the community of adults. A multiplicity of contradic-tory roles results. Two souls come to exist in one body, as the hermit and the power mad man did in Francisco Jimfinez de Cisneros (Le Cardinal d'Espagne), or ~2z~chiely and Tenebroso-Cavernoso in Father Joseph, the grey emi-nence, "combining in his own person the oddly assorted characters of Metternich and Savonarola" (Aldous Huxley, Grey Eminence [New York and London: Harper, 1941], p. 128). Nevertheless, when the conflict has been crystal-lized, that is, become irreversible, we no longer speak of an identity crisis or of confusion, but of neurosis (sympto- matic or characterological) and of psychosis in which the 'T' has become someone else in the complete collapse of the sense of oneself, as in the case of the novice who, having divested himself in choir, appeared on the altar before the community piously assembled for a ho.ly hour and said, "I am the Immaculate C6nceptiofi."'~ The opposite of this confusion, which emerges in a more or less definitive way at the end of a successful ado-lescente, is identity. It is the feeling of having integrated into one's person all the valuable elements of one's child-hood heritage in order to give oneself with all one's forces .to love, to work, and to the social commitments, of adult life. We need not develop this sinc~ it has already been treated in previous sections of this article. f) Sexual identity or bisexual.conIusion. We come now to the ch~aracteristics of the identity crisis which are not derived from old, preadolescent' conflicts reawakened by physical maturation, but which are rather the precursors of conflicts which will find their climax and their.resolu-tion later in the ages of preadulthood, adulthood, or ma-turity, The proper task of the preadult period is intimacy, es-pecially sexual intimacy, with a partner. According to Erikson the "utopia of genitality" ought to include: mu-tual orgasm with a loved partner of the opposite sex with whom one is willing and able to share mutual responsibil-ity and with whom one is willing and able to adjust the cycles of work, procreation, and recreation in such a way as to assure their offspring a similar satisfactory develop-ment. As for the celibate, "a human being should be po-tentially able to accomplish mutuality of genital orgasm, but he should also be so constituted as to bear frustration in the matter without undue regression wherever consider-ations of reality and loyalty call for it" (Erik Erikson, Childhood and Society [New York: Norton, 1950], p. 230). Whoever fails at this stage becomes an isolated personality. In the identity crisis the precursors of these extremes are seen. The one who will later succeed in entering into a true intimacy with another is the one who succeeds in integrating into his personality the true characteristics of his sex, who sees himself both consciously and uncon-sciously as pertaining to his sex, and not more or less to the other sex. In those periods when the personality is less structured, and especially in irreversible pathological cases, there is a clear incapacity to assume the role proper to one's sex, a confusion of masculine and feminine traits which exceeds the relative confusion which' is normal at the beginning of adolescence. Intimacy presupposes, therefore, a sense of one's iden-tity, a capacity to be oneself on the sexual level as on other levels: "The condition of a true twoness is that one must ÷ ÷ VOLUME 21, 1962 115' 4. 4. 4. W. de Bont, REVIEW FOR RELIGIOUS first become onself" (Erik Erikson, "Growth and Crises of ~he 'Healthy Personality' " in Personality in Nature, So-ciety, and Cultizre, C. Kluckhohn and H. Murray, eds. [New York: Knopf, 1956], p. 222). Anyone who has .not achieved his own identity can not have intimate relations with another. He will take refuge in a sterile isolation for fear of losing himself completely; or else he will turn him-self over to another body and soul borrowing the identity of the other to fill up his own void, in this way vainly seeking to resolve an identification which was not success- [ul in childhood. Different societies have very different means of helping through these difficulties the young man who is already physiologically, though not socially, adult: by demanding complete sexual continence; or by permitting sexual ac-tivities which do not lead to definitive social engagements; or by stimulating sexual play without intercourse (pet-ting). The purpose of this prop is to stimulate and to strengthen the ego and its identity. g) Authority: orientation or conIusion. The adulthood of a truly healthy man ought to be characterized by pro-. creativeness; this means assuming responsibility for' the. next generation by parenthood or by other forms of al-truism and creativity. A failure along this line means that' one is absorbed in his own problems instead of placing his energy at the service of others. This is a victory for narcissism: "Individuals who do not develop generativity often begin to indulge themselves as if they were their own one and only child" (Erikson, "Growth and Crisis of the 'H~althy Personality,' " op. cir., p. 223). What forecasts this approaching procreativeness in the young man is the ability to be either a leader or a follower according to circumstances. The attitude of the subject {n everything that conc(rns authority (exercising it or obey., ing it) is realistic. Any future failure of procreativity be-trays itself in the inability to lead or to follow when one of these two relationships is required. It is especially in sub-groups of his.companionsthat society gives the adolescent the opportunity to try out this strength in the area of aw thority. h) Ideological orientation or conIusion o] ideals. When he has arrived at maturity, the normal man has the sense of having completed his task as far as possible. He accepts responsibility for what he has made of his life and of his personal abilities. Having helped others to become them-selves, he can now pass on this responsibility to the next generation and withdraw from the scene. The man, on the contrary, who has not realized his potentialities for the service of others will experience despair and disgust with himself. He would like to begin his life over but realises that it is too late. His life is a failure whether he admits it to himself or hides it by projecting the blame onto others. This was the case with Father Joseph, that "grey emi-nence" whose double identity was mentioned above. At the end of his life, he felt the bitterness and frustration of a man who has seen God, but who, through his own fault, has lost Him in the attempt t6i'ser~ two mastersJ~loser to us, we have the story of, Sister Luke' and of all those who leave their communities around the age of forty. These two possible attitudes which can emerge at the crisis of maturity are foreshadowed with the'young man by an ideological orientation, "a choice among many val-ues of those which demand our allegiance"; or on the con-trary, by a chaos of ideals without connection or sy.nthe-sis. Society helps the young man here by proposing a variety of ideologies each of which may be useful to him in proportion to its internal consistency. The above paragraphs are a brief presentation of the eight criteria which, according to Erikson, show whether and how the young man succeeds in constructing an iden-tity of his own. If in one or other of the eight areas listed he does not succeed in extricating himself from the confu-sion engendered by this indispensable maturation of his personal identity, he risks becoming the victim of a more or less profound psychic derangement, which may assume the shape of one of the classical forms so thoroughly stud-ied by clinical psychology: symptomatic neurosis, charac-ter neurosis, delinquency, psychosis, and so on. In spite of the interest there might be in studying these personality troubles as functions of the eight dimensions enunciated by Erikson, it is more to our purpose to apply the light of what has been said about the identity crisis of the young man to a study of the problem of the novice, of his quest for identity, and of the crises which this quest may involve. Identity Crisis in the Novitiate The young man who arrives at the door of the novitiate already possesses a certain identity which is more or less well-founded. It shows itself in the choice he has made: to become a celibate instead of marrying; instead of becom-ing a doctor, engineer, or grocer, he aspires to a function in the Church. Moreover, he has chosen this particular community rather than some other. All these factors (cel-ibacy, priesthood, community) are so many aspects of the role which he wishes to play in life. Vaguely he sees him-self in the future as such and such a person, with a more or less specific function, whether it be that of preacher, pro-fessor, pastor, or diplomat attached to a nunciature. This role is the end product of the candidate's total past life, the synthesis of his previous psychic development, But after four months of ttie novitiate (the stage at which the novices who were the subject of our experiment had arrived), the ÷ ÷ ÷ Identity Crisis VOLUME 21, 1962 W. d~ Bont~ REVIEW FOR RELIGIOUS great majority o[ novices are plunged into a more or less pronounced Crisis o[ identity. Signs oI the Crisis In the tests a considerable number of confusion symp-toms were.found, many more than in a group of students of the same age and background who were beginning their studies at a university. We cannot enter here into the more minute d~tails of these symptoms because of their too tech-nical nature; nevertheless, the following should at least be mentioned: a) The universal presence of a considerable anxiety. Anxiety is always an experience of the disintegration of the sell when old conflicts renew their attack. b) Equally striking was the great number of poor in-terpretations in the Rorschach, although they ought not to appear in a normal protocol. Even by using the Ameri-can scoring system of.Klopfer who tends to diminish their number, twenty-two out of twenty-eight novices gave them. This indicates a certain loss of contact with reality which is experienced as too hard, a retreat into phantasy which accompanies the identity crisis. c) Almost all the novices suffered from bisexual con-fusion with a reemergence of feminine traits. This was not manifested in overt sexual responses (except in two cases),, for the novitiate for the most part suppresses overt manifestations of sexuality. But it was visible, for example, in the defective sexual identifications given to the human figures on the Rorschach.cards and those of the T.A.T. (sixteen novices out of twenty-eight). d) Besides, seventeen out of twenty-eight subjects had a deficient image of their own body, according to their drawing of a human figure. This should not be surprising, for the image (more or less unconscious) we have of our own body is a visualisation of our identity. It is very sen-sitive to the influences of the environment; for example, to the interpretative power of clothing. The substitution of the religious garb, a skirt, for lay dress (masculine) has, from this point of view, a profound effect on one's sense of one's identity. "We identify ourselves with others by means of clothes. We become like them. By imitating their clothes we change our postural image of the body by taking over the postural image of others. Clothes can thu:; become a means of changing our body-image completely" (Paul Schilder, The Image and Appearance ol the Human Body [New York: International Universities Press, 1950], p. 204). The great number of deficient images of the body means that our subjects were in a siate of transition between their former identity (the "old man") and their new one. At the level of conscious behavior the crisis betrays it- self in all kinds of sentimental, per~ectionistic, depressive or even mildly paranoid traits. Brother Claude feels sad-dened by the November weather; another is not at ease working with the lay brothers in the garden; Robert thinks that his companions have something~against him when his prayer is not going well; Josephofeels depressed because he may not go out; and the imagination of John-Paul takes refuge in the past. As' for authority, almost all had a poorly balanced attitude, falling either into an exaggerated sub-missiveness or into revolt, or ifito indiscreet exercise of their own authority. Examples of these will be given later. The majority of the novices, then, manifested the two dimensions of the identity crisis which are at the heart of the religious life, for they relate to the vows of chastity and obedience: bisexual confusion and confusion with re-gard to authority. Catalysts of the Crisis The causes of the identity crisis can be summarized in this way: There is crisis, confusion, and disintegration be-cause the novitiate calls into question the initial identity with which the young man came to the novitiate. a) The young man already had a certain role in life before his entrance into the novitiate; he was president of his class, a member of Catholic Action, a well-known foot-ball player. He had a status in his environment, and be-cause of it he enjoyed the esteem of others. Entrance into the novitiate puts an end to all this. He changes his envir-onment and he must remake his reputation. Former modes of satisfaction no longer exist. A whole network of rela-tionships is broken; and it was precisely within this net-work that he found his own place, that he had realized, provisionally but really, his identity. All this he has to do over again. The impossibility of living out his identity in the old way almost inevitably causes a disintegration. The aspirations of the subject and almost their entire psychic substructure remain in suspension until they can be replaced by others or be reaffirmed. Before his novitiate Claude was in love with a some-what maternal girl who was a great help to him in his dif-ficulties. She forced him to become open, although in his own words he had tried to kill his sensitivity. She made an opening in his armor; he could communicate his ideal instead of pursuing it all alone. Separation from her at his entrance into the novitiate was difficult for him. His mem-ories of tenderness keep him alternating between melan-choly and aggressiveness. Arthur, the son of a farmer, is a young man whose strong ambition was enough to assure his success in stud-ies at the rural high school he attended, though from time to time he got on the nerves of his companions. In the ÷ ÷ VOLUME 21, 1962 ll9 novitiate he is more or less forgotten, for the smarter city boys leave him in the shadows. They take in with ease and naturalness everything that he had to fight hard for with an unremitting labor which had in turn cut him off from his modest origins. He can no longer play the role into which he had thrown all his energy. He has lost his place in society. He becomes depressed, grows still more ambi-tious in doing the Work of the novitiate, and becomes over sensitive to the least remarks of others. As for John-Paul, the role he wishes to play in life can be adequately summed up as that of an important priest, very esteemed by his people. Already at college he had to be first in the class to get admiration; and later, feeling himself crowded too closely by the other students, he plunged himself into extracurricular activities for the same reason. But the novitiate, the first step toward the realization of his identity as a priest, becomes a place of frustration and crisis. There he is far from college where he played a role of the highest rank and equally far from a friend whose affection gave him a sense of personal value. Here no one knows him. Hence his homesickness. During meditation he thinks of his friend, of past times, especially of those scenes in which he played an eminent role; or else he thinks of the future, he sees himself in the pulpit as a preacher. Evidently John-Paul is hypersensitive to the impression which he makes on the other novices; for example, in his reading at table. He takes great care with his hair, gives it a real coiffure, and contemplates himself in the mirror. b) Entry into the novitiate not only deprives the sub-ject of a part of his previous identity, but the community also wishes to change the candidate who comes to it in order to make him into a man who bears the community'.~ image and likeness; in other words, a religious with the spirit of his order. It is far from accepting the candidate as he is. The community has quite fixed ideas about what its members ought to become. Certain aspects of the nov-ice's previous identity, therefore, are necessarily destined for elimination while others must be developed to a more considerable degree. This is a changing of habits with its intellectual accompaniment--indoctrination. The conditions necessary for all indoctrination are (see Erikson, Young Man Luther [New York: Norton, 1958], p. 134): Isolation from the exterior world: family, friends, the old environment. Restriction of the sources of sensory stimulation and an immense value-increase in the power of words. The elimination of all private life, emphasis being placed on common life. Common devotion to the leaders who constitute and represent the community. The novitiate is a closed society; no influence is toler-ated there which would compromise the work of reforma-tion and indoctrination. Consequently no girls, no going out, no radio and television,.rio~,p6cket moridy~V~i~y~ ~ew visits. As for papers and magazines, only the more pious and serious ones will be allowed, In order to occupy the mind of the novice now emptied of worldly concerns, it is filled with spiritual teaching. So that he may be put on. the right road, the candidate is submitted to a daily pro-gram that is rigorous and unchanging and thateventually forms his mind as drops of water wear away stone. He is required to judge his own failings in the twice-daily ex-aminations of conscience. He may have no other company than that of the people who embody or partake of the desired ideal: the master of novices, his assistant, the other novices; there is no other model with whom he may iden-tify. The novitiate is, then, a dosed society in which the voice of indoctrination reverberates like an echo in an empty cave. For a change so profound must be brought about in the young man that once he has set out into the world upon his apostolic mission his' new identity must be the one which prevails over all previous attachments. He must himself become a representative and an incarnation of the spirit of his institute. That the "old man" feels uneasy in this hothouse should not be surprising. For example: Brother Yves states that: the isolation from people causes me some trouble, for I feel the need to be fully accepted as I am and also to be understood . My greatest fear about religious life and particularly about common life is that I may cease to be myself in order to fall into line. I fear a conformity in which all would be superficial and artificial, in which nothing would be assimilated, made per-sonal. I do not desire conformity, uniformity, stoic equanimity in my life. Here we discover an interesting difference between the two novitiates we have studied. In one, spiritual forma-tion is much more intense than in the other. The novices give reports of their spiritual progress to the master of novices, who follows and directs them very closely. The other master of novices, on the contrary, is a proponent of less exacting methods. In the "tight" novitiate, certain of the young men regressed to a point that was not reached by comparable novices in the more relaxed novitiate. Their crisis was more violent, for inevitably the less ac-ceptable aspects of their old identity were attacked with greater force. c) A third cause of the identity crisis in the novitiate ¯ comes from the fact that the previous ideas of the young man about the community of his choice are rarely real- 4. 4. 4. Identity Crisis VOLUME 21, 1962 121 ÷ ÷ ÷ 1¥. 4~ Bo~t, O.P. REVIEW FOR RELIGIOUS 17.2 istic. Most often they are based on an idealized image of certain members of the community whom he knew before he entered either personally or through reading. He may imagine that every Franciscan is a Poverello, every Jesuit a Teilhard da Chardin, and every Dominican a Sertil-langes. He wishes to become like them. But he finds out very quickly that most of the members of the religious community are far from being the incarnation of this ideal, and then the novice frequently wonders whether his place is in the institute he has chosen, since it is of so little help to growth in his present identity. When Brother Irenaeus triumphantly ascertains that certain of the old fatheks do not practice what is demanded of the novices, his pride and his mistrust are the means by which he pro-tects his own high ideal. Francis, on the other hand, criti-cizes his fellow novices: they should be more perfect. He can't understand why they should be looking out the win-dow, why they should quarrel, or why they slip apples into their pockets after dinner to eat them in .their rooms. All this is personally disgusting to him. "If they entered religion to act like that . " And he is sorry that "medi-ocrity is not only found in the world, but also in the cloister." His excessive criticism is a means of defending himself against the temptation to do what they are doing, a temp-tation which is inadmissible because of a too rigid con-science. d) Finally, most communities have a great number of ministries to perform. It is often the decision of superiors which determines what role will later be assigned to the novice; whether he will be a missionary, a professor of apologetics, a parish priest, a teacher of the young, or the treasurer of the house. For one who has set his heart on the role of missionary, for example, obedience may create from the novitiate on a climate of uncertainty, a doubt about the possibility of realizing his role in life, his iden-tity. For we must not forget that one's identity is a synthe-sis of all one's previous development and hence it is not changed as one changes clothes. The novice ought, never-theless, to leave himself open to the possibility that the vow of obedience may make altogether a different thing of his life than what he thought. So it is that John-Paul wonders whether his superiors will let him go to the mis-sion where "the pagans, once converted to the faith of the gospel, will know better than the people of this coun-try the value of a priest." For he seeks everywhere the love and security he has up till now not found, and it was this quest which impelled him toward the priesthood. These four inevitable factors provoke an identity crisis in the novice which can go just "short of psychotic dis-sociation" (Erikson, Young Man Luther, op. cit., p. 134). This is a kind of fragmentation of the ego, a breakdown of the personality synthesis in a clash with the new en-vironment. The breach which the impact of this environ-ment makes in the synthesis is always located at its weakest point; that is, in certain conflicts Of the past Which Were poorly dealt with. In this serise,, the novitiate,brlngg .OUt the worst in oneself; the combined pressure of competition, adaptation to the level of the environment and the very rigid mode of life causes even the smallest weakness in the identity of the novice to burst fortl~. Beginners' Faults as Dimensions of the Crisis We can now parallel" the faults of beginners with Erik-son's eight dimensions of the identity crisis; for, according to our thesis, these faults are their equivalents in the re-ligious domain. As a matter of fact, it is not only the sogial life of the candidate which is troubled, but his spiritual life; all the more so since this constitutes the principal content of the life of the group and its members. We re-peat, we are studying the spiritual life here only under its psychological aspect and not at all under its theological aspect. a) Loss of perspective, the first of the dimensions of the identity crisis, betrays itself on the spiritual plane by a lack of patience, by a failure to apprehend that religious development has both its heights and its depths as does any other human evolution. This quest for the immediate is evident in spiritual gluttony and in its counterpart, dis-taste for spiritual realities when they do not procure a sensible satisfaction. It is equally to be found in those who wish. to push precipitously ahead. In his spiritual life Brother Mark seeks the love and consolation he did not receive enough of when he was little. In high school he created an environment for him-self which answered more or less adequately to his needs. But the change of environment deprives him of this sup-port and obliges him.to seek it elsewhere, in God. He seeks "the divine presence, a mysterious presence which I try to locate in myself without success. Each of my members dis-covers new sensations at this moment.". But when the quest does not succeed, "I feel a kind of di~sgust without reason or apparent motive. At such times Jesus does not seem to satisfy me; I thirst for something else too vague to be men-tioned or clearly defined." For Andrew, the need to rush ahead and a false apostolic zeal arose when common life and the demands of the no-vitiate for a change in his habits simultaneously reinforced a precocious superego and the unacceptable impulseg he was trying to harness] The unrealistic demands proper to these last two "imperfections" cause this novice not to feel at home with his less demanding comrades and his father ÷ ÷ ÷ Identity Crisis VOLUME 21~ 1962 ÷ W. de Bont, REVIEW FOR RELIGIOUS master who are themselves far from accepting with benev-olence this excess of zeal. To novices who have such difficulties the religious com-munity provides a helpful balancing factor in the per-spective of the future it opens to them. They are told of the various stages of the spiritual life; in the religious life there is a step-by-step education over several years (no-vitiate, philosophical and theological studies, ordina-tion.). There is a daily program set up in detail and firmly enforced. Finally, the candidate is promised cer-tain success in this world or in the next if he perseveres. b) Lack of assurance manifests itself in all those im-perfections which seek to hide certain defects by an im-moderate reaction: excessive shame for faults, a too literal adherence to the rules, indiscrete mortifications. Two ex-amples have already been given (B~'others Irenaeus and Francis). The novitiate offers the novices a provisional protection against their initial clumsiness in the unifor-mity it imposes in observances, clothing, spirituality. With this protection the novice is able to regain little by little the confidence in himself which was upset by the causes listed above. c) Pusillanimity in the spiritual life can be considered a failure to experiment with various roles; and certain forms of jealousy (of the progress of others) and of hypo-chondria (in connection with fasting, for example) can be considered as derivatives of Oedipal conduct. So it was that Henry, who was not able to identify with his dead father in order to attain, at least in his imagination, a superiority over his brothers which would give him a spe-cial title to the love of fiis mother, wished to carry on his apostolate in such a way that "after my departure people will forget completely that I was ever around, and that it was I who handled mattersY Fearing competition he does not dare to push himself forward. By always doing exacdy as the others, by effacing himself, he denies that he is dif-ferent, jealous, guilty of favoritism. In this case, the novitiate tries above all to encourage him to attempt one role, that of the apprentice religious. The novitiate is nothing else but an initiation into this role, begun with the taking of the habit as an exterior sign of the status which will be had henceforth in the com-munity and continued every day in the life of the novice. d) Paralysis about work clearly reveals itself in the dif-ficulties which the novice has from time to time in his spirit.ual exercises, meditation, examination of conscience, recitation of the Breviary. For Henry, for example, exami-nations of conscience remain at the surface of his person-ality. He fears lest his jealousy and anxiety come to the surface. Religious educators do everything in the noviti- ate to allow positive fulfillment, by teaching the novice suitable methods for achieving success in this domain. e) Lack of identity or confusion of roles manifests itself in a vague feeling of not b.eing at home in the novitiate, by nostalgia for the past, by the impo.ssibility of finding a place and a role in the communi~y: Examples Were" given above. The novitiate seeks to remedy this by encouraging the recruit to identify with his community by proposing to him in an exclusive way the spirit of the congregation or the order. f) Bisexual confusion manifests itself by all sorts of dif-ficulties with sex: the sexualization of religious life, for example, in sexual impulses at the moment of communion or confession; in particular friendships unddr the cloak of a spiritual relationship; in scruples about ~bad thoughts." Brother Guy, for example, transfers to Christ and St. John his tender feelings about a friend whom he has left in the world: You must have embraced very tenderly, as gently as do two beloved people spontaneously when one has acquired the other's special admiration; when one wishes to protest more deeply his profound joy in and friendly respect for the other. I would have liked to spend with the two of you those long evenings beneath the stars, as I had the happiness to spend them with James, speaking no doubt of Your ambitions, become those of Jol~n s~nce You loved him so tenderly, and he loved You. This transfer is meant to fill the void left by the impos-sibility of continuing an earthly friendship. What the novice should learn here, with the help of his spiritual director, is to renounce the exercise of his sex-ual faculty while at the same time .developing his manli-ness. This is impossible unless this renunciation is in-spired by valid and for the most part conscious motives ("for the kingdom.of God'i)and as little as possible af-fected by fear, shame, distaste, or guilt. g) The lack of reasonable attitudes with respect to au-thority is expressed by a crowd of symptoms: an extrava-gant docility, revolt against authority, a kind of freezing up in relations with superiors; too great a zeal to convert others where the aim is much more to resolve one's own problems than to help one's neighbor. 'Michael, for ex-ample, is so docile as to worry the master of novices some-what. He wants to be told what to do; he never resists; he has the spirit of. sacrifice; anything may be asked of him. If he is nettled, he gives a start and then merely smiles. His spiritual ideal is~ complete abandonment to God. He wishes to forget himself in order to be concerned only for God and His interests. Michael is a young man Whose mother thwarted him in his desire :for masculine inde-pendence. At the conscious level he submitted but uncon-sciously he rebelled against her. In the novitiate obedience 4. 4. Identity Crisis 1~5 4- REVIEW FOR RELIGIOUS is a most important matter and there are very few possi-bilities for aggressivity (for example, sports) left open to him. His problem, then, is accentuated. It may be under-stood, then, that for him God and the master of novices are conceived after the image of his mother. Peter's sense of his priestly mission still has "some end other than a supernatural one." The reason for this is that by a slightly megalomaniac identification with pater-nal authority, of which he makes himself the prophet, he is protecting himself against a feeling of persecution. The image he has of his father is split into two, and his feelings are equally divided. Everything good about his father is projected into God, everything bad into the devil. Accord-ingly, to save the world by his apostolate means in fact to preserve the connection with the good parent (God) and to eliminate the bad (the devil). Since the novitiate is a completely masculine society and at the 'same time by it.~ nature demands obedience, it further accentuates the con. flicts about sexuality and authority which underlie thi:~ apostolic identity (according to psychoan.alytic theory, the paranoid personality is rooted in homosexualized relation-ships with the father, the representative of authority in the family); but at the same time it makes the experience o[ the apostolate impossible for the time being. One may not go out during .the novitiate, and so the balance of forces in Peter is upset. The master of novices will have the difficult task of teaching the novices the just mean between the docility of a sheep and revolt at the barricades, as in the case of the novice who barricaded his door when the superior knocked to get him to rise (he always got up late). To give the novices certain opportunities for leadership frora the novitiate on may contribute to the development of the orientation which is desirable in this domain. h) Finally, a confusion of ideals is the most obvious thing about the novices who do not yet know whether they want to stay or leave the novitiate to return to the world or who hesitate to choose among several communities, Brother Mark has grave doubts about his perseverance because he is torn between a "worldly" past made entic-ing by the admiration he commanded at school and tile frustrations of his present conventual life caused by the lack of tenderness and esteem received from others. Spir-itual training here seeks to take away all ambivalence by presenting the novice with the ideology of his order and excluding all other ideologies (newspapers are ban-ishedl). A certain simplification results from this which sometimes becomes a caricature; one novice will think he is living the "pure gospel" because he walks .around in sandals as the apostles did; another will think he has found the perfect balance between contemplation and action because in his community Compline is sung in common before sleep. When the new identity of the nov-ice is sufficiently established, this simplification will no longer be necessary. Psychologically speaking, the faults of beginners are merely attempts to maintain'. Or to reestablish 15rovision-ally the psychic equilibrium which has been upset by the impact of the environment, an impact which has struck the novice at the weakest points of his former identity. As Father Mailloux has said, they are not "typically pathological reactions per se, but rather.irrational modes of expression, upon which the psychic apparatus will normally fall back whenever an individual is unable to cope with a stressful situation in some rational man-ner" (Rev. Noel Mailloux, O.P., "Sanctity and the Prob-lem of Neurosis," Pastoral Psychology, 10 [February, 1959], 40). For in successful cases the novice readjusts; he incorporates the identity elements offered him by the religious environment into the best which his identity al-ready has and gets rid of the less acceptable elements. Having provoked the crisis, a well-directed novitiate helps also to heal it. And once the adaptation is made and the novice has regained his place, this time in the community of his choice, his beginner's faults disappear like hay fever when the season has passed. In less successful cases, there is a failure. Concord be-tween' the identity of the novice and the demands or the support of the environment remains impossible: The reasons may come from two quarters: a lack of flexibility in the subject consequent upon an identity too charged with conflict as with the brother of the barricades cited above who left his community a little later,, or on the part of the community which is unable to Offer the novice the place which he seeks for his gifts and his particular abilities as in that sufficiently large novitiaite where .eighty percent of the novices left because of a master of novices still living spiritually in the nineteenth' century. The shock was the greater for them as their previous educa-tion was the more liberal. Conclusion We have studied in this article the psychological side of this night of the senses which the novitiate arouses by its very nature. By uprooting the candidate from his for-mer environment, it deprives him of the support which his identity enjoyed before in order to invite him to a higher spiritual balance. Our perspective, it is true, has been a restricted one; we have described only what the novitiate may have in common with any identity crisis studied by the psychologist. On this plane, the crisis of the novice resembles that of a young man who prepares 4. ÷ Identity Crisis VOLUME 21, 1962 W. de Bo~t, 0~. REVIEW FOR RELIGIOUS ]28 himself for army service at West Point, or who leaves hi.q small-town home to go to a large, university--although course the crisis has a different content according as concerns military formation, the situation of a student, or religious training---celibacy and examinations of con-science do not figure largely in a military perspective. For methodological reasons we have left aside that which con~ .stitutes the very essence of the life of the novitiate: the introduction to the life of consecration to God to which by His grace He has invited the novice. It is this properly spiritual aspect which masters of novices are best ac-quainted with, and they can guide themselves in this by a solidly established spiritual theology. Our only inten-tion has been to draw their attention to the psychological side of this introduction to sanctity, a side which it 'is better not to be totally ignorant of. The "follies" of nov-ices should not be seen as faults which are exclusively in the moral order, as pride, for example, considered as the capita) sin. There is question rather of provisional, and unsuccessful efforts to adapt oneself to a new situation; hence they are normal phenomena which always arise under one form or another when a man must remake the synthesis of his personality. Nevertheless, they are real difficulties and not imaginary, often very painful for the subject who undergoes them and annoying for those around him. The wisdom of an alert master of novices will assuage much of this human pain, and this the more so as he knows better the identity of the novice in ques. tion, with its strong points and its weak. This present article is limited to describing the iden-tity crisis of the novice. It does not pretend to furnish the elements of a possible prognostication. If almost all nov, ices undergo this crisis in some degree or other, how, among so many of the "imperfect," can those who will persevere be singled out from those who will leave or merely mark time for the rest of their lives? This is an important question, for the novitiate terminates with a profession which, even though it be temporary, repre-sents a real and very profound commitment. Certain re-marks of St. John of the Cross (Dark Night, 1, 9) coukl provide us with a point of departure for such a consid- ¯ eration; but this task must be reserved to a later article. PAUL W. O'BRIEN, S.J. Introducing the Young Sister to Prayer One of the problems facing the young sister is learning to pray. She h~is probably been pra