Aus der Einleitung: 4.500 Mitarbeiter, zehn Länder, drei Kontinente und fünf Zeitzonen: Das ist die Bilanz der Produktion der elektrischen Zahnbürste "Sonicare Elite 7000" der Firma Philips aus den Niederlanden (vgl. Abb. 1). Bis zu der Verpackung in Seattle haben die Komponenten zwei Drittel des Erdumfangs zurückgelegt. Die "Weltbürste" ist nur eines von zahllosen Beispielen, welches auf die weltumspannenden Produktionsnetze hinweist. Die Ausweitung der internationalen Arbeitsteilung ist der Motor der Weltwirtschaft, die sich laut Weltbank in der "revolutionären Phase" der Globalisierung befindet. Unter Globalisierung versteht man gemeinhin die Zunahme weltweiter Verflechtungen infolge der Ausbreitung und Vertiefung ökonomischer, ökologischer, politischer und kultureller Prozesse. Aus ökonomischer Perspektive steht die Ausbildung weltweiter Märkte im Mittelpunkt, "auf denen Waren und Dienstleistungen gehandelt, Investitionen getätigt, Technologien übertragen und Informationen ausgetauscht werden". Mit zunehmender Interdependenz der Weltwirtschaft hängt das ökonomische und soziale Wohl der Nationen, Regionen und Städte von komplexen Interaktionen auf globaler Ebene ab. Mit anderen Worten, "what happens in any given country or locality is broadly determinedby its role in systems of production, trade and consumption which have become global in scope". Jeder Ort, jede Region oder Nation übernimmt somit innerhalb des von Konkurrenz geprägten Weltsystems eine spezifische Rolle. Der gegenwärtige Strukturwandel im Zeichen der Globalisierung fordert die "Rollenverteilung" des "modernen Weltsystems", dessen Ursprung unter anderem im Europa des 15. Jahrhunderts zu suchen ist, heraus. Vor diesem Hintergrund ist der "ökonomische Auf- bzw. Abstieg von Ländern und Regionen" zu sehen, das heißt es gibt Gewinner und Verlierer des Strukturwandels. Dubai bietet die moderne Version von Tausendundeiner Nacht: es sind vor allem Projekte der Superlative, wie zum Beispiel das einzige Sieben-Sterne Hotel der Welt und aufgeschüttete Inseln in Form einer Palme, die das Bild von Dubai nachhaltig prägen. Künstliche Welten, internationale Sportereignisse, Gesundheitstourismus und an erster Stelle Shopping-Tourismus – Dubai ist in vielfältiger Weise für Touristen aus aller Welt attraktiv. Jedoch beginnt die große Erfolgsgeschichte der Moderne nicht erst mit dem Touristenaufkommen der 1990er Jahre. Dubai konnte sich früh als Dienstleistungs- und Handelszentrum in der Golfregion etablieren, bis in die dreißiger Jahre des 20. Jahrhunderts spielte der Perlenhandel die entscheidende Rolle. Zollfreiheit und Steuervergünstigungen zogen bereits damals zahlreiche Händler an – heute gilt Dubai als einer der bedeutendsten Umschlagplätze für den Goldhandel. Die Erlöse aus den Petrodollars nutzte die Führung seit den 1960er Jahren, um den Standort Dubai durch groß angelegte Infrastrukturprojekte, wie beispielsweise die beiden Tiefseehäfen Jebel Ali und Port Rashid, kontinuierlich zu stärken und für die Nach-Erdöl-Zeit zu sorgen. Zu Beginn des Jahres 2006 machte Dubai mit Schlagzeilen auf sich aufmerksam, die als Menetekel für die etablierten Industrieländer gedeutet werden können: Zum einen der Vorstoß der Dubai Ports World sechs Häfen an der Ostküste der USA zu übernehmen, zum anderen die neu gegründete internationale Börse DIFX (Dubai International Financial Exchange), die Unternehmen aus einem Raum anziehen will, in dem ein Drittel der Weltbevölkerung lebt. Innerhalb von nur 50 Jahren ist Dubai vom verschlafenen Fischerdorf zur "cosmopolitan regionally dominant twenty-first century city" aufgestiegen und hat somit eine einzigartige Entwicklung vollzogen. Auf der Suche nach einer Position in der Weltwirtschaft im Zeitalter der Globalisierung gibt man sich nicht mit der "reaktiven Mittlerrolle" eines "globalisierten" Ortes zufrieden, sondern strebt die aktive Funktion eines "globalen Ortes" an.m Could Dubai become the most important city on earth?" – fragt Nicolson im Online-Angebot der Khaleej Times vom 13. Februar 2006 und bringt damit das Selbstbewusstsein und die Ambitionen der Regierung Dubais auf den Punkt. Scheinbar erwacht hier eine Region, die bisher kaum jemand auf dem "Globalisierungsradar" hatte. Die Globalisierungsdebatte vermittelt oftmals den Eindruck von einem zeitlich "isoliert" auftretenden Phänomen. Der zweite zentrale Begriff des Titels der Arbeit - Weltwirtschaftssystem - wurde gewählt, um den Globalisierungsansatz in einen systematischen (historischen) Zusammenhang zu stellen. Welchen Beitrag leistet die geographische Perspektive? Die Weltwirtschaftlichen Vorgänge und die mit diesen zusammen-hängenden Transporte von Personen sowie von materiellen und immateriellen Gütern und Leistungen sind nicht nur an sich wirtschafts-geographische Arbeitsfelder, sondern ihre Wirkungen auf das innere Gefüge der an den Außenbeziehungen beteiligten Staaten machen sie zu einem wirtschaftsgeographischen Kernbereich. Ein Autor beklagt, dass die Beschäftigung der Geographen mit dem Welthandel immer spärlich ausfiel und seit Mitte des 20. Jahrhunderts zum Stillstand kam. Der Hauptgrund ist der kleine Maßstab, das heißt Übersee- und Welthandel sind mit geographischen Methoden nur schwer fassbar. Ferner hätte man versäumt eine "tragfähige Brücke zur Außenhandelstheorie der Nationalökonomie zu schlagen." Zehn Jahre später greift ein anderer die Problematik wieder auf und stellt sie gleichzeitig in den größeren Zusammenhang der Globalisierungsdiskussion. Obwohl die Prozesse und die Folgen, die mit dem Begriff Globalisierung verbunden sind, Gegenstandsbereich der Geographie sind, seien die Geographen an den zentralen Streitfragen nicht beteiligt: "Geography is rather like the small child in the school playground who always gets missed out when the big children are picking teams". Darüber hinaus moniert er, dass sich die geographische Forschung in großem Maße mit dem Zu- und Abfluss von ausländischen Direktinvestitionen beschäftige, während Handelsströme wenig beachtet würden: "in the case of international trade, what matters are not so much changes in volume - although they are important - as changes in composition". Mit eben jener "composition" in zeitlicher und räumlicher Dimension beschäftigt sich das nachfolgende Kapitel. Eine explizite "Theorie der Weltwirtschaft" existiert nicht. Dennoch sollen die vorgestellten Konzepte1 mit ihren verschiedenen Aspekten in der Gesamtansicht eine erste systematische Annäherung an das Weltwirtschaftssystem darstellen. Den aktuellen Entwicklungen und der Struktur der Weltwirtschaft im Kontext der Globalisierung widmet sich das dritte Kapitel, welches zusammen mit dem zweiten Kapitel einen "theoretischen Rahmen" bildet, innerhalb dessen schließlich die Bedeutung von Dubai herausgearbeitet werden soll.Inhaltsverzeichnis:Inhaltsverzeichnis: 1.EINLEITUNG1 1.1Von der "Weltbürste" zur Weltwirtschaft1 1.2Warum Dubai?2 1.3Forschungsstand und Fragestellung3 2.WELTWIRTSCHAFTSSYSTEM4 2.1Weltsystem-Theorie und "Weltwirtschaften"5 2.1.1Das Weltsystem nach WALLERSTEIN5 2.1.1.1Die Analyse des Weltsystems5 2.1.1.2Das moderne Weltsystem6 2.1.2Die "Weltwirtschaften" nach BRAUDEL8 2.2Die Wirtschaftsräume nach OTREMBA10 2.3Tripolarität der Weltwirtschaft11 2.3.1Die Triade nach OHMAE11 2.3.2Regionale Theorie des Welthandels nach GROTEWOLD12 2.3.3Weltstädte, Global Cities und Steuerungszentralen14 2.4Zusammenfassung16 3.GLOBALISIERUNG DER WELTWIRTSCHAFT19 3.1Problematisierung der Globalisierung19 3.1.1Der problematische Begriff Globalisierung20 3.1.2Das Problem Globalisierung21 3.2Konzeption von Globalisierung22 3.2.1Globalisierung als neue Epoche23 3.2.2Globalisierung als Prozess24 3.2.3Voraussetzungen der Globalisierung24 3.2.3.1Technologische Innovationen24 3.2.3.2Institutionelle Veränderungen26 3.2.3.3Die Integration neuer Märkte27 3.2.4Akteure der Globalisierung27 3.2.4.1Der Nationalstaat als Akteur28 3.2.4.2Global agierende Unternehmen28 3.2.4.3Der Konsument29 3.3Erscheinungsformen der Globalisierung30 3.3.1Globalisierung des Handels30 3.3.1.1Entwicklung der Rahmenbedingungen des Welthandels30 3.3.1.2Entwicklungen im Handel mit Waren und Dienstleistungen31 3.3.1.3Regionale Struktur des Welthandels34 3.3.2Globalisierung der Produktion44 3.3.2.1Von der klassischen zur neuen internationalen Arbeitsteilung44 3.3.2.2Transnationale Unternehmen46 3.3.2.3Ausländische Direktinvestitionen47 3.3.3Globalisierung der Finanzmärkte52 3.3.3.1Das Bretton Woods-System52 3.3.3.2Spekulation versus Effizienz53 3.3.4Globale Transportnetze54 3.3.4.1Die Herausbildung von Transportnetzen55 3.3.4.2Containerlinienschifffahrt55 3.3.4.3Luftverkehr61 3.4Fazit – das globalisierte Weltwirtschaftssystem64 3.4.1Globalisierung versus Regionalisierung65 3.4.2Globale Vernetzung68 3.4.2.1Global Cities als Nodalpunkte von globalen Netzwerken68 3.4.2.2Verbindung der Nodalpunkte69 4.DUBAI IM WELTWIRTSCHAFTSSYSTEM71 4.1Die Golfregion72 4.1.1Die Golfküste unter europäischem Einfluss72 4.1.2Beginn der Öl-Ära73 4.1.3Eine Region hängt am Öltropf74 4.1.3.1Die Ausgangsbedingungen74 4.1.3.2Die Organisation erdölexportierender Länder (OPEC)76 4.1.4Die Golfregion – Dependenz versus internationale Profilierung80 4.2Überblick über die VAE81 4.2.1Politisches System der VAE82 4.2.2Außenwirtschaftspolitik der VAE84 4.2.3Sozio-ökonomische Betrachtung der VAE87 4.2.3.1Entwicklung im Zeichen des Ölreichtums87 4.2.3.2Entwicklung im Zeichen der Diversifizierung91 4.3Dubai – Wirtschaftsstruktur und Standortfaktoren94 4.3.1Der Aufschwung Dubais nach dem Zweiten Weltkrieg96 4.3.2Ölinduzierte Entwicklung und Diversifizierungstendenzen98 4.3.2.1Immobilienboom in Dubai101 4.3.2.2Freihandelszonen als Schnittpunkte der Diversifizierungsstrategie 102 4.3.2.3Wer investiert in Dubai?104 4.3.3Handel105 4.3.4Transportwesen108 4.3.4.1Die Häfen Dubais108 4.3.4.2Dubai International Airport 113 4.3.5Tourismus118 4.3.6Finanzen122 4.3.7Produzierendes Gewerbe123 4.4Fazit: Dubais Sonderweg in der Golfregion 124 5.DUBAIS BEDEUTUNG IM GLOBALISIERTEN WELTWIRTSCHAFTS-SYSTEM126 5.1Gewinner und Verlierer der Globalisierung126 5.2Dubai als "Hub" der Golfregion128 5.3Dubai – ein überregionales Steuerungszentrum?131 6.LITERATURVERZEICHNIS132Textprobe:Textprobe: Kapitel 4.3.2; Ölinduzierte Entwicklung und Diversifizierungstendenzen: 1963 begann man in Dubai mit den Bohrungen nach Öl, 1966 stieß man auf Öl und drei Jahre später schließlich wurde das erste Rohöl aus Dubai exportiert. Boomartig strömten Menschen, Güter und finanzielle Mittel nach Dubai. Die Ausweitung der Rohölföderung in den 1970er Jahren und die starke Anhebung des Weltmarktpreises für Rohöl in den Jahren 1973 und 1979 bescherten dem Emirat über die Zahlungen der Ölgesellschaften reiche Finanzmittel. Daraufhin erlebte die Stadt einen beispiellosen "Bau-Boom". Schulen, Krankenhäuser, Straßen und moderne Telekommunikationsnetzwerke wurden aufgebaut. Ein neuer Hafen (Port Rashid) wurde gebaut, der Dubai International Airport (DIA) wurde um einen Terminal erweitert und mit einer erweiterten Landebahn ausgestattet, die für jeden Flugzeugtyp geeignet ist. Mit Jebel Ali baute man den größten künstlichen Hafen der Welt. Um ihn herum wurde die Jebel Ali Freihandelszone (JAFZ) eingerichtet, heute eine unter vielen Freihandelszonen, mit denen Dubai Investoren anlockt. Für die zahlreichen Projekte brauchte man bereits Ende der 1960er Jahre möglichst billige Arbeitskräfte, die man insbesondere in Indien und Pakistan fand. Viele kamen auch aus dem Iran, Europa und arabischen Ländern. 1968 betrug der Anteil der ausländischen Arbeitskräfte 50% der Gesamtbevölkerung Dubais. Zwar hatten die "expatriates" oder "non-nationals" einen beträchtlichen kulturellen Einfluss auf die einheimische Gesellschaft, aber ihr politischer Einfluss in der Zivilgesellschaft war und ist beschränkt, so dürfen sie beispielsweise keine Gewerkschaften bilden. Den entscheidenden Anstoß für den Aufstieg Dubais lieferten die Öleinnahmen, eine weitere entscheidende Antriebskraft waren die lokalen Kaufleute mit ihrem Netzwerk aus internationalen Kontakten. Schon früh diversifizierten sie ihre Geschäftstätigkeiten, finanzierten große Projekte, agierten als Berater und investierten als Aktionäre in private Unternehmen, beispielsweise in die Dubai Telephone Company. Im ersten Golfkrieg bewiesen die Kaufleute ein feines Gespür für Unternehmertum, als sie in den sehr lukrativen Handel mit dem Iran eingebunden waren. Der Handel mit Konsumgütern und Ausrüstungsgegenständen jeglicher Art brachte ihnen und der gesamten Wirtschaft hohe Gewinne ein. Auch die Häfen und angeschlossene Dienstleistungen profitierten von dem Krieg, da die internationale Schifffahrt die sichereren Trockendocks in Dubai den Häfen von Kuwait und Iran vorzog. Seit den frühen 1980er Jahren ist der Handel mit den anderen GCC-Staaten kontinuierlich angewachsen, so dass die Häfen Dubais zu den geschäftigsten der ganzen Region wurden. Seit den 1970er Jahren machte Dubai durch den Bau von Trockendocks, von See- und Flughäfen sowie von Luxushotels, die Einrichtung von Freihandelszonen, das zollfreie Angebot von Uhren, Fotoartikeln, Goldschmuck und Perlen, aber auch das Angebot von Alkohol und Night Life (in Maßen) auf sich aufmerksam. Das moderne Dubai mit seinem Ruf als Handelsplatz steht damit in einer Linie mit dem Dubai vor der Öl-Ära und kann damit auf etwas aufbauen, das SALLOUM als "inherited ability for commerce by its people" bezeichnet. Dubai besitzt nur einen kleinen Anteil von 4% am Erdölvorkommen und 1,9% am Erdgasvorkommen der VAE. Die Lebensdauer beider Ressourcen wird auf 30 bis 40 Jahre geschätzt. Angesichts dessen bestimmte von Beginn an die Notwendigkeit zu alternativen Einkommensquellen für die "Nach-Erdöl-Zeit" das Handeln der Verantwortlichen. Einseitig auf den Industriesektor zu bauen kam aufgrund der nationalen und regionalen Marktenge nicht in Frage. Die politischen Entwicklungen nach dem 11. September 2001 brachten zusätzlich Unsicherheiten bezüglich der Investitionen und Anlagen im Ausland – vor allem in den USA – mit sich. Die Verantwortlichen in Dubai erkannten die Zeichen der Zeit und setzten auf die Privatisierung der Wirtschaft, die Öffnung des Landes für den internationalen Tourismus, die Liberalisierung der Immobilienmärkte sowie des Waren- und Finanzverkehrs. Flankierend dazu wurden Transportwesen, Infrastruktur und IT-Kommunikation den neuen Gegebenheiten angepasst, günstige Arbeits-, Aufenthalts- und Lebensbedingungen für alle Fachkräfte, Investoren und Besucher geschaffen. Im Zeitraum von 1975 bis 1981 verzeichnete das Emirat ein Wachstum des BIP von durchschnittlich 17% pro Jahr. Infolge des Verfalls des Ölpreises und der instabilen Verhältnisse in der Region während des ersten Golfkrieges stagnierte das BIP weitestgehend bis Ende der 1980er Jahre. Von 1990 bis 2000 verzeichnete Dubai ein Wachstum des BIP (in nominalen Preisen) zum Vorjahr von durchschnittlich 7.7%. Für das Jahr 2004 wird das BIP bei KKP mit 30 Mrd. US-$ angegeben. Das Wachstum wurde dabei primär über eine stabile Entwicklung außerhalb des Rohölsektors ("Nicht-Öl-Sektor") erreicht, welcher im Zeitraum von 1990 bis 2000 ein durchschnittliches Wachstum von 11.1% erzielte. Der Rohölsektor hingegen verzeichnete im gleichen Zeitraum einen durchschnittlichen Rückgang von -2.4% pro Jahr. Der Rohölsektor verlor demnach Anteile am BIP zugunsten des Nicht-Öl-Sektors (vgl. Abb. 26). In den 1970er und 1980er Jahren wurde knapp die Hälfte des BIP außerhalb des Rohölsektors erwirtschaftet, ab den 1990er Jahren stieg der Anteil des Nicht-Öl-Sektors am BIP deutlich: Im Jahr 1990 betrug er 65.2% des BIP, 2000 90% und 2004 bereits mehr als 93%. Die Werte belegen die von der Regierung erfolgreich eingeleiteten Diversifizierungsprozesse, insbesondere seit Beginn der 1990er Jahre, so dass die Vulnerabilität des BIP gegenüber Ölpreisschwankungen bedeutend reduziert werden konnte. Der Anteil des Rohöls am BIP Dubais ist mit 7% signifikant geringer als im Landesdurchschnitt, der einen Anteil von 33% verzeichnet (vgl. Abb. 27). Bei einem Anteil von 28% der Bevölkerung steuert Dubai alleine 31% des gesamten Nicht-Öl-Sektors der VAE bei. Besonders dynamisch entwickelten sich die Sektoren Handel, Finanzen, Transport- und Kommunikationswesen, Restaurant- und Hotelgewerbe und das produzierende Gewerbe. Zwischen 1994 und 2000 wuchs das im Hotel- und Gastronomiegewerbe erwirtschaftete BIP um 165.2%, was zu einem Großteil auf die geographische Erschließung der touristisch attraktiven Strandgebiete zurückzuführen ist. Es folgen im gleichen Zeitraum das produzierende Gewerbe (+129.6%), Transport- und Kommunikationswesen (+101.6%) und das Finanz- und Versicherungswesen (+92.2%) (VAN DE BUNT 2003: 31f.). Die neuesten Zahlen zeigen die Fortsetzung der Trends. 2004 wuchs das reale BIP Dubais um 13.3%, die Hauptanteile am Zuwachs hatten dabei: Immobilien (19.8%), produzierendes Gewerbe (15.5%), Bauindustrie (12.6%), Finanz- und Versicherungswesen (12.6%), Handel (10.7%) sowie Transport- und Kommunikationswesen (9.6%). Der Anteil des Transport- und Kommunikationswesens von Dubai ist für über 55% des gleichen Sektors der VAE verantwortlich. Des Weiteren entspricht Dubais Finanzsektor 47% des VAE–Finanzsektors. Kapitel 4.3.2.1, Immobilienboom in Dubai: Der hohe Anteil des Immobiliensektors am BIP-Zuwachs Dubais verweist auf den Boom im Immobiliensektor. Der Wert der geplanten Projekte für die nächsten fünf Jahre wird auf 30 Mrd. US-$ geschätzt. 2004 hatte die Bauindustrie einen Anteil von 13% am Nicht-Öl-BIP. Seit 2000 ist sie mit einer durchschnittlichen jährlichen Rate von 24% gewachsen, was den Bau-Boom widerspiegelt, der sich im Jahre 2003 im Bau von über 2000 Gebäuden niederschlug. Der Bausektor gilt auch als größter Arbeitgeber, 24% aller Arbeitskräfte sind hier beschäftigt, hauptsächlich aus dem Ausland stammende Arbeitnehmer. Spektakuläre Projekte, zum Beispiel "The Palm Jumeirah", "The Palm Jebel Ali" und "The World", locken Käufer schon vor Beginn der Bautätigkeiten an, so dass in Dubai die Immobilien "fast vollständig bereits vom Reißbrett verkauft" werden. Die Käufer spekulieren auf die enormen Wertsteigerungen am Immobilienmarkt Dubais – in keinem anderen Land der Welt sind Immobilien nach Fertigstellung 20% teurer geworden. Initiator und Träger der Projekte ist letztlich das Herrscherhaus beziehungsweise die von ihm kontrollierten Finanzgesellschaften – beispielsweise EMAAR, die 1997 gegründet wurde oder NAKHEEL, 2003 gegründet. In sehr viel geringerem Maße übernehmen auch Privatpersonen und Banken die (Vor-)Finanzierung der "Megaprojekte", wie sie von manchen Offiziellen bezeichnet werden. Nach der Fertigstellung werden sie meist privatisiert, das heißt vollständig oder teilweise an Einheimische vergeben. Im Sinne des Rentierstaates werden somit die Pfründe an die lokale Bevölkerung verteilt, doch die Einkommen werden erst dann erzielt, wenn die Objekte über Immobilienagenturen vermietet, verpachtet oder auch verkauft werden. Die Akteure müssen sich dazu mit einer verschärften Wettbewerbssituation auseinandersetzen. Die vielfältigen Bauaktivitäten generieren ein enormes, qualitativ und preislich hochwertiges Angebot, das die Erschließung des globalen Marktes geradezu herausfordert. Wie bereits angedeutet, sind die meisten Projekte, obwohl noch teilweise in Planung, verkauft, verpachtet oder vermietet. Die Käufer stammen überwiegend aus der Golfregion (40-46%), zu je 15-22% aus Russland und anderen GUSStaaten sowie beispielsweise aus Indien, Japan oder Südkorea. Kapitel 4.3.2.2, Freihandelszonen als Schnittpunkte der Diversifizierungsstrategie: In der Nachkriegszeit setzte die Regierung Dubais auf einen liberalen, "unternehmensfreundlichen" ökonomischen Kurs mit geringen Steuerabgaben und politisch stabilem Rahmen, in der Hoffnung, dadurch Investitionen anzuziehen. Diese Haltung drückt sich besonders in der 1985 gegründeten Jebel Ali Free Zone (JAFZ) aus, die erste in der Region gegründete Freihandelszone. Das Areal wurde unmittelbar im Bereich des schon existierenden Tiefsee-hafens Jebel Ali eingerichtet, der gleichzeitig mit der Gründung ausgebaut wurde. Das Konzept sieht vor, dass innerhalb der "Enklave" Geschäftstätigkeiten frei von Zoll und gesetzlichen Beschränkungen durchgeführt werden können. Unternehmen, die sich in der Freihandelszone niederlassen, nutzen nicht nur die niedrigen Arbeitskosten und Visum-freie Anheuerung der nicht-organisierten Arbeitskräfte, sondern vor allem die Möglichkeit, sich zu 100% an Kapitalgesellschaften zu beteiligen. Für Ausländer ist das außerhalb der Freihandelszonen sonst nicht möglich, es dürfen nach geltendem Recht maximal 49% einer Unternehmung in ausländischen Besitz übergehen. Die Geschäftsleute genießen noch weitere Privilegien: es ist kein Sponsor erforderlich, es ist kein Service Agent bei Zweigniederlassungen erforderlich, zwischen 15-30 Jahre garantierte Steuerbefreiung (Körperschafts- und Einkommenssteuer), freier Kapital- und Gewinntransfer. Grundsätzlich ist die aktive Teilnahme am Wirtschaftsleben der VAE erlaubt, es können Waren importiert und exportiert werden. Die Lizenzen sind jedoch nur auf das Gebiet der jeweiligen Freihandelszone beschränkt, mit der Folge, dass diese Niederlassungen gesellschaftlich als nicht in den VAE niedergelassen gelten. Deshalb erfordert der Export in die VAE einen Handelsvertreter, Importeur oder auch ein Joint Venture in Form einer Vertriebsgesellschaft. Die Entscheidung, sich in innerhalb der VAE oder in einer Freihandelszone niederzulassen, hängt somit wesentlich von dem angestrebten Zielmarkt ab. Ist dieser nicht auf die VAE beschränkt, stellt die Niederlassung in einer Freihandelszone eine sinnvolle Alternative zu einem Standort innerhalb der VAE dar. Seit der Gründung flossen über 2,5 Mrd. US-$ an Investitionen in die JAFZ, in der 2003 2.350 Firmen aus 97 Ländern angesiedelt waren. Neben japanischen Firmen (Nissan, Mitsubishi, Honda, Sony) sind vor allem auch europäische multinationale Unternehmen vertreten, beispielsweise ABB, Shell, BASF und Unilever. In den 1980er Jahren fungierte die JAFZ überwiegend als Lagerungs- und Verteilerzentrum für die multinationalen Unternehmen. In den letzten Jahren ließen sich dort auch Unternehmen des produzierenden Gewerbes nieder, dennoch dominiert der Handel mit 80% die Aktivitäten in dem Areal. Der Erfolg der JAFZ war ausschlaggebend dafür, dass in der Folgezeit noch weitere Freihandelszonen – nicht nur in Dubai – eingerichtet beziehungsweise noch in Planung gegeben wurden. Bemerkenswert sind auch die Bemühungen der Führung, Dubai als IT- und Medienstandort zu positionieren. Die Dubai Internet City stellt die notwendige Infrastruktur bereit, "that enables ICT enterprises to operate locally, regionally and globally from Dubai, with significant competitive advantage". Namhafte Unternehmen wie Microsoft, Oracle und Canon nutzen bereits dieses Angebot. Die Dubai Media City zielt auf internationale Medienunternehmen ab, die sich in den speziell eingerichteten Studios und Bürogebäuden niederlassen sollen. CNN und Reuters haben hier beispielsweise Zweigstellen etabliert. 2004 wurde die erste Produktionsstätte für Chips, CDs, DVDs und Software, das Dubai Silicon Oasis gegründet, das zusammen mit dem Knowledge Village das "knowledge-economy-system" komplettiert. Der Mix aus Industrie und Dienstleistungen in den meisten Freihandelszonen kennzeichnet ebenfalls die Diversifizierung der Wirtschaft Dubais. Zusätzlich zu produzierendem Gewerbe und Logistikunternehmen werden heute auch moderne Dienstleistungen aus dem Bereich Bankwesen, Versicherung und Recht angeboten. Dubais zukünftige Entwicklung ist durch die Entwicklung des Dienstleistungssektors determiniert. Die strukturelle Verschiebung zu einem Dienstleistungszentrum par excellance zeigt sich in den breit gefächerten Dienstleistungsaktivitäten: Handel-, Reparatur-, Restaurant- und Hoteleinrichtungen, Transport- und Kommunikationswesen, Immobiliendienstleistungen, soziale und Personaldienstleistungen, Finanz- und Versicherungswesen, staatliche Leistungen sowie Haushaltsdienstleistungen. Der Anteil des Dienstleistungssektors am BIP Dubais ist von 38% im Jahre 1985 auf 71% 2003 gestiegen (vgl. Abb. 28). Die "Wasserscheide" zu Beginn der 1990er Jahre ist mit dem im gleichen Zeitraum rapide wachsenden BIP in Verbindung zu bringen (vgl. Abb. 26) und bestätigt darüber hinaus die erfolgreiche Diversifizierungsstrategie in den 1990er Jahren. Kapitel 4.3.2.3, Wer investiert in Dubai?: Insbesondere seit den Terroranschlägen von New York und Washington sind die Rückflüsse arabischer Geldanlagen aus Amerika und Europa beträchtlich. Es existieren keine genauen Zahlen über die Privatvermögen im Ausland. Dennoch gilt als sicher, dass allein im Jahr 2002 ein dreistelliges Milliardenvermögen aus Amerika abgezogen wurde, wo Untersuchungen der Finanzbehörden ebenso drohen wie Schadenersatzprozesse im Zusammenhang mit der Finanzierung von Terrornetzwerken wie Al Qaida. Das Geld für die Milliardeninvestitionen stammt demnach vor allem von Investoren der Region, die "heute noch von den Anschlägen vom 11. September 2001 und dem US-amerikanischen Krieg gegen islamisch fundamentalistischen Terror" profitiert. Laut des Global Business Policy Council20 sehen asiatische Investoren Dubai an neunter Stelle der attraktivsten Investitionsstandorte, während Europäer es an 20. Stelle nennen. Unter japanischen und indischen Investoren rangiert Dubai auf dem 6. Platz, Investoren aus der Schweiz setzen Dubai auf den dritten Rang der attraktivsten Investitionsstandorte. ADI in Dubai sind im Jahr 2004 enorm angestiegen, auf 840 Mio. US-$, gegenüber 30 Mio. US-$ im Jahr zuvor21. Investoren des Chemie- und Elektronikbereichs äußern sich sehr zuversichtlich über die Entwicklung des produzierenden Gewerbes der Region. Insbesondere die Freihandelszonen – wie die JAFZ – sind für die Investoren aufgrund der Zoll- und Steuerprivilegien als Standort attraktiv. Die im Jahr 2005 eröffnete Industrial City in Dubai, die Investitionsanreize für die Schwerindustrie bietet, fördert das Interesse der Investoren zusätzlich. Die Direktinvestitionen in das Ausland fallen dagegen gering aus, sie werden auf 1% des BIP geschätzt. Im Vergleich dazu steuern Direktinvestitionen im Ausland zu dem BIP Hongkongs 24%, dem Singapurs 10% und dem der Schweiz 7,9% bei. Die Vorteile der Freihandelszonen-Strategie liegen auf der Hand, doch nicht alle Investoren teilen diese Euphorie. So gibt es beispielsweise Bedenken hinsichtlich der lokalen Geschäftspraktiken und geistigen Eigentumsrechte, da vertrauliche Informationen auf dem engen Raum einer Freihandelszone möglicherweise reibungsloser zu den umgebenden Wettbewerbern diffundieren. Die Bedenken haben jedoch scheinbar eine kulturelle Komponente: Asiatische Unternehmen scheinen sich weniger um mögliche Beeinträchtigungen zu sorgen als europäische oder amerikanische Firmen, wie die Entwicklung des Dragon Mart aufzeigt. Hier können sich bis zu 4.000 chinesische Firmen niederlassen, denen 15.000m² Lagerungseinrichtungen zur Verfügung gestellt werden. Darüber hinaus ist der Aufbau einer "special China Town" vorgesehen, die bis zu 20.000 Händler anziehen möchte. Von den Unternehmensclustern versprechen sich die Verantwortlichen die Stärkung des komparativen Vorteils von Dubai – insbesondere im Hinblick auf asiatische Händler – "as a gateway to serve the Middle East and European Markets". Durch die geplante Erhöhung der Anzahl der Direktflüge in die USA, ausgehend von dem Dubai International Airport, wird auch dieser Markt in stärkerem Maße berücksichtigt werden. Für die Einordnung von Dubais Rolle im Weltwirtschaftssystem ist es notwendig auf einzelne Sektoren näher einzugehen. Nachfolgend werden die Entwicklungen in den Wirtschaftssektoren Handel, Transportwesen, produzierendes Gewerbe, Finanzen sowie Tourismus aufgezeigt.
1. IntroducciónEn la ponencia se abordarán las relaciones entre instituciones y desarrollo económico focalizando en el problema de la autonomía administrativa de los entes autónomos en Uruguay. El llamado "dominio industrial y comercial" del Estado era la principal herramienta de intervención estatal en la economía en las tres primeras décadas del siglo (lo siguen siendo hoy en día, aunque de una manera diferente). El proceso de construcción de dicho dominio arranca con la fundación del BROU en 1896. La intención original por la cual se dio autonomía administrativa al instituto fue separar la administración de problemas complejos, de las angustias políticas o financieras de los gobiernos. Construir institutos de intervención en la economía que no estuvieran sujetos al juego de la "política menuda" (al decir de Carlos Real de Azúa) fue uno de los propósitos orientadores en la forja de los Entes Autónomos. Este principio fue imaginado como un mecanismo que permitiría una intervención racional del Estado en la economía privilegiando los criterios técnicos de actuación sobre los políticos. Sin embargo, la autonomía administrativa presentaba un problema crucial para el andamiaje institucional del Estado: no estaban previstos en la constitución de 1830. Al momento en que se reforma la constitución (hacia 1917) el problema aparece a los legisladores como un tema de difícil resolución. El artículo 100 de la constitución que entra en vigencia en 1919 pretende dar una solución a esta anomalía. Sin embargo, la solución propuesta deja en manos de la ley la reglamentación definitiva de la autonomía administrativa de cada ente Autónomo. Esta resolución no logra corregir los problemas previos y plantea otros que deberán ser resueltos por los gobiernos sucesivos. Un elemento clave de los intentos de los gobiernos por abordar la definición de la autonomía administrativa durante los años de 1920 es que se encontrarán con la oposición de los mismos Entes Autónomos, los cuales no querrán ceder en cuanto al grado de autonomía alcanzado previamente. En éstos, y especialmente en el más antiguo que era el BROU, se había forjado una fuerte cohesión entre los Directorios y los principales funcionarios de carrera que lideraban el instituto.Los gobiernos se enfrentan a un nuevo actor, el actor burocrático que pugna por mantener la situación de autonomía, consolidada en los años previos a 1920.En el trabajo original de investigación que sustenta esta ponencia, el objetivo central era describir el primer impulso racionalizador del Estado uruguayo. En esta ponencia abordaremos un aspecto crucial de ese primer impulso que fue el surgimiento dentro de las empresas públicas de un personal jerárquico con características particulares. Nuestra principal hipótesis es que al amparo de la autonomía administrativa surgió un estamento de burócratas con una clara conciencia de su rol en la política democrática. Intentaremos mostrar cómo este grupo de "high civil servants" se percibía a sí mismo como un grupo necesario y diferente del actor político. Creemos que esta hipótesis ilumina un aspecto poco estudiado de la construcción del Estado uruguayo y sus mecanismos de intervención en la economía y la sociedad. Tradicionalmente se ha estudiado el rol de los políticos, de los empresarios, de los trabajadores y las diferentes formas de articulación de estos actores en la conformación de las estructuras del Estado uruguayo. Nosotros quisiéramos agregar un actor más, el cual creemos tiene su propia historia para contar, y que es el actor burocrático.El foco de nuestra ponencia estará en el Banco República y en la figura de su primer gerente de carrera, don Octavio Morató.A continuación, delimitaremos las dimensiones analíticas que empleamos para abordar nuestro objeto de estudio. Nos limitaremos a enunciar las principales hipótesis con las cuales interrogaremos el material empírico recolectado. El lector que así lo quiera, puede profundizar el marco teórico en el libro de próxima aparición (BAUDEAN, 2011).De la reflexión de Max Weber sobre la burocracia tomamos el énfasis que éste hace en la importancia del marco legal en la construcción de los roles que llevarán a cabo políticos y burócratas y en la definición de las características organizacionales de la burocracia. Con esta idea como guía abordaremos el marco constitucional y legal que dio forma al sistema de empresas públicas en su origen y particularmente al Banco República. Del institucionalismo de corte estructuralista, tomamos la hipótesis según la cual en el momento en que el Estado conquista cierta autonomía en el manejo de problemas específicos se convierte en arena del conflicto social (EVANS, RUESCHEMEYER, 1985). Esta hipótesis nos conducirá a precisar cuáles eran los aspectos críticos de la autonomía administrativa que generaban conflicto entre burocracia y clase política. La reflexión de Rudolph y Hoeber Rudolph (1984) nos hará profundizar en laimportancia del manejo del poder hacia el interior de la organización. En este sentido, intentaremos mostrar cuáles eran los problemas que Directores y altos burócratas del BROU veían en la posibilidad de mayores controles por parte del poder político en el manejo interno de la organización.La reflexión de Morstein Marx (1963) sobre el high civil service nos llevará a darle especial importancia al pensamiento del actor burocrático. De aquí el foco en el pensamiento de Octavio Morató. Dicho pensamiento será interpretado como un indicador de la autopercepción que los altos burócratas tenían sobre su rol en la política democrática.Por último, de la corriente neo-institucionalista (MEYER, ROWAN, 1991) nos interesará explorar la hipótesis según la cual las organizaciones son construidas y modeladas en su estructura y funcionamiento por los valores y principios institucionalizados prevalecientes en las sociedades donde están insertas. Esta hipótesis permite prever que las organizaciones que se alejan de dicho entorno de valores y principios institucionalizados encontrarán problemas en su consolidación y legitimación. En consecuencia, el trabajo de reconstrucción histórica realizado enfatiza en los conceptos institucionalizados a lo largo del siglo XIX sobre la estructura del Estado, el valor político y social de la burocracia y la organización del sistema financiero. La idea de la autonomía administrativa obtenía legitimidad de ciertos principios institucionalizados sobre las finanzas así como entraba en conflicto con otros vinculados a la relación entre los partidos y sus bases sociales. 2. El problema de investigación en su contexto históricoEl período que va desde la década de 1870 hasta la segunda década del siglo XX es el momento histórico de la consolidación y centralización del poder estatal. En el mismo se pasa desde un Estado de cuño liberala un Estado interventor en la economía. El corolario de este proceso es la institucionalización de la democracia con la constitución de 1919. Con esta reforma se inician la depuración de los procesos electorales y los arreglos institucionales que conducirán a la coparticipación de los partidos tradicionales en la administración.En las primeras décadas del siglo XX, con Batlle y Ordoñez en la presidencia (1), se consolidan las principales instituciones que mediarán en la intervención en la economía por parte del Estado: las empresas públicas o entes autónomos(2). Dichos entes eran, precisamente, autónomos en un país cuyos cimientos constitucionales prefiguraban un estado "unitario y centralista" al decir de historiadores y constitucionalistas. Dicha autonomía, implicaba que los directorios de los entes tenían potestad de "libre, franca y general administración": capacidad de designar y destituir funcionarios y de elaborar su propio presupuesto. Los directorios, a su vez, eran designados por el Ejecutivo con previa venia del Senado(3). Sin embargo, según la constitución de 1830 -en curso al momento de la creación de los primeros entes- el poder Administrador recaía en el Ejecutivo. Es así que la descentralización administrativa y la creación de una burocracia estatal autónoma comienza en Uruguay con elementos emparentados con las reformas que por la misma época (1870-1920) se implementaban en Europa y Estados Unidos (RAMOS, 2004). El elemento en común es el problema de"resolver el cómo se deberá producir la politización y despolitización simultánea que se debe operar al interior del sistema Ejecutivo de gobierno" (RAMOS, 2004). Es decir, el problema de cómo construir una burocracia meritocrática relativamente autónoma de los vicios de la política, pero al mismo tiempo capaz de servir a los gobiernos democráticamente elegidos. Sin embargo, el origen del concepto de autonomía tiene una historia que se hunde en los problemas del Estado uruguayo en el siglo XIX. En particular, el problema de generar una estructura estatal con autonomía financiera de los sectores económicamente dominantes en el país. El Banco República fue pensado –entre otros fines- para resolver este problema. En la coyuntura marcada por la crisis de 1890, uno de los problemas centrales que proponía una institución bancaria vinculada al Estado radicaba en la desconfianza que este vínculo despertaba en los sectores que dominaban el crédito a nivel local. En un sistema de patrón oro, dicho grupo tenía múltiples mecanismos para desestabilizar el normal desarrollo de una nueva institución estatal. La autonomía de la que gozará por ley el BROU (desde 1896) fue una fórmula de compromiso, fruto de la debilidad del Estado frente al capital financiero local. Dicha autonomía aseguraba a éstos últimos que la nueva institución no iba a ser manipulada para sofocar las angustias financieras de los gobiernos.Ahora bien, hay dos elementos escasamente subrayados en toda su importancia en lo que respecta a esta creación institucional (la descentralización vía la creación de entidades autónomas).En primer lugar, que esta idea se constituyó en una verdadera tradición en nuestro país. Pero lo más importante es que esta tradición de autonomía (4) fue defendida y fundamentada en conceptos de eficiencia organizacional e interés público por las mismas empresas, sus directorios y altos jerarcas (especialmente en el caso del BROU que será el foco de interés de esta ponencia). Esto es de resaltar porque –en el lenguaje teórico que emplearemos- es un indicador del temprano desarrollo de un actor burocrático con conciencia de un rol diferenciado del actor político partidarios así como de otros actores sociales.En segundo lugar, el BROU fue a la postre el modelo sobre el cual se inspiraron el resto de las empresas públicas del período. Con la fundación del BROU el concepto de autonomía administrativa aparece por primera vez en su máximo grado de expresión (Sayagues Laso, 1991, 225-253). Batlle y Ordoñez vislumbró en la formula organizacional de la autonomía una forma eficiente de administrar organismos complejos y sujetos a la sospecha de "manejo político" y la respetó, difundió y alentó. El concepto de autonomía se volvió problemático cuando se le quiso dar estatuto constitucional. La primera solución es la del artículo 100 de la constitución de 1919. La misma fue una solución incompleta. Desde la entrada en vigencia de la constitución llevó a polémicas tanto a nivel jurídico como entre las nuevas empresas y el Poder Ejecutivo. Tras varios intentos frustrados de reglamentación del artículo 100 a lo largo de la década de 1920, el mismo quedó sin reglamentar. El Consejo Nacional de Administración (5) (CNA) era quien tenía a cargo la supervisión general de los entes. En sucesivas reformas constitucionales, la tradición autonómica persiste y se desarrolla a nivel constitucional (1934, 1942 y 1952). Pero persistirá manteniendo características diferentes a las originales. En 1983, Solari y Franco escribían que las autonomías de las empresas públicas fueron altas hasta 1930 (6) y que con la constitución de 1934 comienzan a verse limitadas, cerrándose un ciclo de re-centralización hacia la constitución de 1967. Asimismo sugieren que el estudio de las autonomías a posteriori de 1967 es más complejo de lo que parece si uno se guía exclusivamente por el marco legal (7).Ahora bien, poco se sabe de los debates y tensiones que se generaron en el período histórico que va de 1920 a 1933, momento en que la autonomía de las empresas públicas es fuertemente criticada. ¿Cuáles fueron las posiciones de políticos y burócratas en torno a la autonomía?, ¿cuáles eran los grandes temas que se discutieron?, ¿qué alternativas se planteaban para dar solución a los conflictos generados? En el resto de la ponencia abordaremos dos temas que permiten responder parcialmente las preguntas planteadas. Primero, la sanción constitucional de la autonomía administrativa de los entes autónomos (1917-1919). Este es el marco legal que da pie a los encuentros y desencuentros entre el BROU y el Poder Ejecutivo durante el período de duración de la segunda constitución que tuvo el país (1919-1933). Encuentros y desencuentros que estarán pautados por la discusión del alcance que la nueva constitución daba a la autonomía del instituto (particularmente en lo referente a la elaboración y sanción de su presupuesto) y la definición del estatuto de sus funcionarios (el debate acerca de si los mismos debían ser considerados funcionarios públicos o especiales). Segundo, profundizaremos en la perspectiva burocrática sobre estos problemas. Para ello abordaremos el pensamiento de Octavio Morató, gerente del BROU entre 1921 y 1937. (8)3. La autonomía administrativa del dominio industrial del Estado y la reforma de la constituciónEl marco en el que se debatió y se procesó la reforma que culminó en la constitución de 1919 fue una coyuntura donde se superpusieron nuevos y viejos problemas. Como lo expone Benjamín Nahum (NAHUM, 1998: 53-54), dicha coyuntura estuvo marcada por la resolución de al menos tres grandes problemas.En primer lugar, la experiencia de la guerra civil había puesto de manifiesto la necesidad de superar las limitaciones que la primera constitución oponía al sufragio. En segundo lugar, los nuevos entes autónomos creados no estaban "previstos ni regulados" por la vieja Constitución.En tercer lugar, y vinculado al problema anterior, la Constitución de 1830 era excesivamente centralista y ponía en manos del Presidente de la República una suma de poder que lo convertía en figura clave en la sociedad. Esta centralización era un problema para la democracia y la reforma constitucional debía dar una respuesta.En virtud de esta agenda, la discusión de dicha constitución fue uno de los momentos ideológicos más importantes del siglo XX en Uruguay (PANIZZA: 1990). Básicamente se discutió todo el andamiaje institucional que ordenaba la vida política del país. El problema jurídico que representaba la existencia de organismos y servicios tuvo un largo proceso de discusión que derivó en la redacción del artículo 100 de la Constitución de 1919. Veremos las diferentes posiciones sobre el problema a continuación.3.1. Posiciones sostenidas a nivel parlamentario sobre el problema de la descentralización (previo a la Constituyente de 1917) Veremos un resumen de las principales posiciones sostenidas en los debates parlamentarios tal como las resume Sayagués en el "Tratado de Derecho Administrativo" (1991: 144 y 145).Básicamente se sostuvieron tres criterios diferentes frente al problema de los nuevos organismos y servicios descentralizados: Posición 1. Las Cartas Orgánicas creadas mediante la ley eran inconstitucionales cuando consagraban una descentralización amplia.El principal argumento giraba en torno a la defensa del Poder Ejecutivo como "jefe superior de la administración" y al cual la ley no podía quitar las potestades que la Constitución le atribuía expresamente (dictar reglamentos, nombrar y destituir empleados públicos) para cederlas a las autoridades de los nuevos entes. Por otra parte, se cuestionaba fuertemente el hecho de que los presupuestos de gastos de algunas organizaciones (caso del BROU) pudiesen ser sancionados por sus propios directorios o con aprobación del Poder Ejecutivo, desconociendo de esta forma la competencia del Parlamento para autorizar los gastos públicos.Posición 2. Las Cartas Orgánicas creadas por la ley eran constitucionales. Esta posición fue mantenida por quienes defendieron la creación de los entes en el Parlamento (fuertemente por el sector batllista, pero también por blancos principistas como Martín C. Martínez). Resume Sayagués Laso (1991b: 145): "Se argumentaba diciendo que el Presidente era el jefe superior de la administración general de la República, pero no de las administracionesespeciales que el legislador crease; por tanto, concluíase que la ley podía dar amplios poderes de decisión a las autoridades de esos servicios. Un razonamiento análogo los llevaba a limitar la competencia del Poder Legislativo en materia presupuestal". (énfasis original).Posición 3. Las Cartas Orgánicas creadas por la ley no eran constitucionales ni inconstitucionales, sino EXTRACONSTITUCIONALES. Esta posición fue defendida por algunos legisladores que votaron favorablemente la creación de los nuevos entes. Se argumentaba que la Constitución de 1830 no preveía la descentralización administrativa por servicios, que comenzó a desarrollarse a posteriori por la vía de los hechos y por circunstancias especiales. En consecuencia, "el texto constitucional no la había permitido ni prohibido, sino simplemente ignorado"(SAYAGUÉS LASO, 1991: 145) .Los grandes temas que dividían las opiniones se centraban en:Los poderes de decisión de los directorios de los entes y su relación con la posición institucional del Poder Ejecutivo.La autoridad de la ley para crear dichos servicios frente a la autoridad de la Constitución misma.La competencia del Parlamento frente a los presupuestos de gastos de dichos servicios.Como puede observarse, se trata de una compleja mezcla de problemas jurídicos por una parte, y otros que van directamente a la relación entre política y administración. Estaba en juego la progresiva constitución de áreas de la administración que –de seguir las pautas de desarrollo que mantenían- podrían constituirse en arenas de decisión con alta independencia de los partidos en materias económicas, financieras y sociales. El problema radicaba en la precaria situación que tenía el Parlamento frente a estos nuevos segmentos de la administración.3.2. La Convención ConstituyenteHubo coincidencia entre los constituyentes en que la nueva Constitución consagrase el principio de la autonomía y en que el proyectado Consejo Nacional de Administración (CNA) tuviese a su cargo la superintendencia de dichos organismos. Las mayores divergencias surgieron en torno a la definición de la autonomía y a la conveniencia o no de extenderse sobre la misma en el texto constitucional. Existía diversidad de situaciones en los grados de autonomía que tenían los organismos y servicios descentralizados y también en la independencia económica que podían llegar a tener frente al Ejecutivo. Esto condujo a que no prosperara entre los constituyentes la idea de Martín C. Martínez de darle un contenido preciso al concepto mismo de autonomía. Predominó la idea de que sería la ley la que fijaría la extensión de la autonomía en cada caso. En consecuencia, el reconocimiento constitucional de la descentralización se redujo a un solo artículo (artículo 100) (8), no explicitándose el alcance de la autonomía. Esto generó la necesidad de definir con mayor precisión la relación entre el CNA y los diversos entes mediante la ley. Dado que preexistían diversas opiniones a nivel político sobre el tema y que los entes tenían posición tomada en defensa de la autonomía, se generaron debates y enfrentamientos mientras duró la Constitución de 1919 que nunca llegaron a resolverse en forma coherente y unificada.Pese a estos problemas, el artículo 100 fue un logro en varios sentidos. Constitucionalizó el proceso de descentralización administrativa que se había iniciado al margen de la Constitución de 1830. Con ello consagró un amplio traspaso de poderes de administración hacia los Consejos Directivos o Directorios de los entes.3.3. Las bases legales del conflicto entre gobierno y burocraciaTeniendo en cuenta estas disposiciones constitucionales, el problema estaba en resolver qué pasaba con las previas Leyes Orgánicas de los entes y servicios descentralizados: el artículo 100, ¿derogaba o no esas leyes? En caso afirmativo: ¿en qué medida se había operado dicha derogación? (SAYAGUÉS LASO, 1991:151).El BROU (9) se amparaba en la frase "serán administrados por Consejos Autónomos" para considerar derogadas de las previas Leyes Orgánicas todo lo referente a los controles administrativos que eventualmente el Ejecutivo pudiera imponer en el gobierno del instituto. Asimismo, en la postura institucional del BROU se consideraba como taxativos todos los casos de intervención del CNA enumerados en la segunda parte del artículo 100. En general, la postura de los entes fue acompañada por la doctrina jurídica de la época, siendo la mayor discrepancia el tema de las potestades presupuestales (donde juristas como Demichelli, Ramela de Castro y Martín C. Martínez mantenían posturas diferentes) (SAYAGUÉS LASO, 1991: 152). Por su parte, el Poder Ejecutivo (fundamentalmente el CNA) y el Parlamento sostuvieron la tesis de que el artículo 100 consagraba solamente el principio de la autonomía, dejando la precisión del alcance de la misma en manos del legislador. En consecuencia, mientras no se dictase la ley reglamentaria se deberían considerar vigentes todos los artículos de las previas Leyes Orgánicas que preveían intervenciones del Ejecutivo o el Parlamento en la administración de los entes. Esta divergencia dio lugar a enfrentamientos entre los poderes y las empresas. En nuestra opinión –pese a no tener evidencia contundente al respecto- las empresas se vieron en la obligación de exagerar sus fueros autonomistas debido a que la constitución de 1919 implicaba por primera vez la coparticipación de ambos partidos tradicionales en la conducción de temas administrativos de gobierno. Es plausible que las empresas -frente a un CNA que contenía en su interior a representantes de la oposición por primera vez- buscasen separar más radicalmente su administración de las injerencias de los poderes como forma de preservar el amplio margen de maniobra al que estaban acostumbradas.(1) Más precisamente, en su 2da presidencia: 1911 – 1916.(2) Luego de 1933 y en un contexto económico y político diferente, las empresas públicas también serán usadas con fines regulatorios junto a otros andamiajes institucionales destinados a tal fin.(3) Este modelo, que es el que corresponde a la 1era Carta Orgánica del Banco de la República (1896), se repitió –con variantes que delimitaban diversos grados de autonomía- para las empresas públicas creadas durante la 2da presidencia de Batlle.(4) Tradición que tuvo tiempo de madurar y permear la conciencia de los burócratas de carrera del Banco República por lo menos a lo largo de 3 décadas (desde la fundación del instituto hasta entrada la década de los '30).(5) Según la constitución de 1919 el Poder Ejecutivo se dividía en dos organismos: Presidente y Consejo Nacional de Administración con funciones específicas y diferenciadas.(6) Una prueba tangencial de ello son los debates con los gobiernos que se verán en el cuerpo central de esta tesis.(7) "Hasta esta última fecha [1967], sin embargo, la autonomía real frente al poder ejecutivo era elevada salvo en los casos, cada vez más frecuentes, de pérdida de la autonomía financiera . Sin embargo, la cuestión de la autonomía y su disminución no es tan simple. En forma paralela a la causa financiera se va produciendo también un proceso de pérdida de la autonomía real frente a los partidos políticos. Estos cada vez recurren con más fuerza al sector empresarial estatal, como recurso político. La paradoja es que dada la estructura de los partidos, la pérdida de autonomía frente a ellos puede traducirse muy a menudo en el surgimiento de la posibilidad de afirmar la autonomía frente al poder ejecutivo, inclusive en casos de imposibilidad de autofinanciamiento". Más adelante concluyen: ".surge la interrogante sobre si lo más característico del período actual es la disminución generalizada de las autonomías, lo que en algunos aspectos parece evidente, o una compleja transformación por la cual antiguas autonomías reales han sido sustituidas por otras diferentes, pero no menos reales" (SOLARI, FRANCO, 1983: 94-95).(8) Artículo 100: "Los diversos servicios que constituyen el dominio industrial del Estado, la instrucción superior, secundaria y primaria, la asistencia y la higiene públicas serán administrados por Consejos Autónomos. Salvo que sus leyes los declaren electivos, los miembros de estos consejos serán designados por el Consejo Nacional. A este incumbe destituir a los miembros de los consejos especiales con venia del Senado, ser juez de las protestas que originen las elecciones de los miembros electivos, apreciar las rendiciones de cuentas, disponer las acciones competentes en caso de responsabilidad y entender en los recursos administrativos según las leyes".(9) Junto con el BROU, también defendían dicha posición los entes autónomos que tenían en lo previo un grado similar de autonomía. *Profesor de Fundamentos de la Investigación Social, Métodos de investigación y Taller de Monografía.Depto de Estudios InternacionalesFACS – ORT Uruguay(ma.baudean@gmail.com). BIBLIOGRAFÍAABERBACH, J.; PUTNAM, R. ; ROCKMAN, B. 1981. Bureaucrats and politicians in western democracies. Cambridge: Harvard University Press.ACEVEDO, Eduardo. 1934. Anales históricos del Uruguay. Tomo IV. Montevideo: Barreiro y Ramos.Banco de la República Oriental del Uruguay [Raúl Montero Bustamante]. (s.f.) El Banco República en su Cincuentenario. 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2007/2008 ; L'interesse per il processo de societate, con particolare riguardo alla disciplina dettata in tema di misure cautelari applicabili agli enti, nasce senza dubbio dalla considerazione che il d. lgs. 8 giugno 2001 n. 231 rappresenta uno dei provvedimenti più rilevanti e più significativi degli ultimi decenni nel panorama normativo italiano, in quanto l'introduzione, per effetto del medesimo, di una diretta responsabilità sanzionatoria dei soggetti collettivi dipendente da reato costituisce una svolta epocale, specie per coloro che ritengono che con esso sia stato definitivamente messo al bando il "costoso" principio societas delinquere (et puniri) non potest. Esigenze di politica criminale, tese ad introdurre risposte sanzionatorie per fronteggiare la sempre più dilagante criminalità d'impresa, da un lato, e sollecitazioni provenienti in ambito comunitario ed internazionale, finalizzate alla armonizzazione delle risposte sanzionatorie degli Stati, dall'altro, hanno indotto il legislatore, delegante prima e delegato poi, a disciplinare la materia, superando i dubbi sull'an della responsabilità. Con riferimento al quomodo della sua formulazione, la l. delega n. 300 del 2000 e il d. lgs n. 231 del 2001 hanno qualificato come amministrativa la forma di responsabilità addebitabile all'impresa e, al contempo, hanno previsto che il suo accertamento avvenga ad opera del giudice penale con le forme del relativo processo. Tale peculiarità – giustificata dalla necessità di coniugare efficienza e garanzie – ha originato la querelle circa la reale natura (amministrativa, penale o mista, tale da dar luogo alla nascita di un tertium genus) della responsabilità introdotta dal d. lgs. n. 231 del 2001. Si è constatato che la vexata quaestio non costituisce esercizio esegetico fine a se stesso, bensì risponde all'esigenza di comprendere quali siano i principi informatori della disciplina, allo scopo di verificarne anche l'ortodossia costituzionale. Ad esempio, stabilire che, al di là della etichetta adottata, si tratti in realtà di responsabilità penale significa, in primo luogo, dover superare - sul piano della dogmatica - i tradizionali ostacoli (innanzitutto il principio della responsabilità penale personale e quello rieducativo della pena ex art. 27 commi 1 e 3 Cost.) al riconoscimento di una siffatta responsabilità in capo alle persone giuridiche. In secondo luogo, vuol dire analizzare e verificare se la costruzione dell'illecito contestabile all'ente e il relativo procedimento di accertamento rispettino i canoni costituzionali propri della citata responsabilità, sia sul piano del diritto sostanziale sia su quello del diritto processuale. Sotto quest'ultimo profilo, in particolare, vengono chiamati in causa la garanzia del giudice terzo ed imparziale, il diritto ad una (effettiva) difesa, le regole del giusto processo e, non ultimo, il principio della presunzione di non colpevolezza, intesa sia come regola di trattamento - che vieta l'assimilazione dell'imputato al colpevole - sia come regola di giudizio - che impone all'accusa l'onere della prova della colpevolezza - sia, ancora, come norma fondante il riconoscimento del diritto al silenzio, con il divieto di far discendere dall'esercizio di tale facoltà conseguenze sfavorevoli per l'imputato (e, a maggior ragione, per l'indagato). Evidente che ogni qual volta si palesasse una loro ingiustificata ed irragionevole violazione si prospetterebbe l'incostituzionalità della disciplina. Tuttavia, anche qualora non si volesse giungere a qualificare come propriamente penale la natura della responsabilità in parola, non potrebbero essere revocati in dubbio i principi costituzionali che governano il processo penale, riproponendosi ugualmente la necessità di verificare il loro rigoroso rispetto, pena – ancora – l'illegittimità della disciplina. Tale conclusione, sul piano dell'accertamento processuale dell'illecito, consegue proprio all'opzione processual-penalistica del legislatore. Infatti, l'aver affidato l'accertamento dell'illecito amministrativo degli enti al giudice penale in seno al relativo processo (oltre che l'aver attinto ai meccanismi imputativi e punitivi dell'universo penalistico) rappresenta qualcosa in più, in termini di garanzia, rispetto all'etichetta formale adottata dal legislatore. Poichè la ratio posta a fondamento della scelta del processo penale come luogo di accertamento della responsabilità della persona giuridica risiede proprio nella necessità di assicurare alla medesima standards di garanzie maggiori di quelli offerti in sede di procedimento amministrativo (sul paradigma delineato dalla l. 689 del 1981) e poichè tali garanzie affondano le loro radici nella Costituzione, ne consegue che le previsioni sovraordinate inerenti i diritti e le facoltà dell'imputato nel processo penale sono destinate ad assisterlo sia che questi abbia una natura fisica, sia che abbia natura giuridica, indipendentemente appunto dalla qualifica della natura della responsabilità chiamata in causa. Dunque, più che alimentare la diatriba sulla reale etichetta da attribuire alla responsabilità in esame, si è cercato di verificare la "qualità" dell'impianto garantistico offerto alla societas nel corso del procedimento di accertamento della medesima. Per questa via, si è constatato che la normativa, specie quella relativa alle cautele, appare poco rispettosa della Grundnorm scritta nell'art. 27 comma 2 Cost. da cui dipende il riconoscimento della presunzione di non colpevolezza dell'imputato. In effetti, il legislatore del 2001 pare ricorrere al processo penale, non tanto per perseguire le sue precipue finalità di accertamento dei fatti e di applicazione della pena, quanto piuttosto per realizzare impropri scopi di prevenzione generale e speciale. In altri termini, il processo viene utilizzato come "messaggio", attribuendogli fini di stigmatizzazione, di intimidazione, di prevenzione e di rieducazione che non gli sono propri. Ciò è in particolar modo testimoniato dalle inedite finalità di recupero alla legalità dell'ente-imputato, che impregnano la disciplina relativa alle cautele. Nell'ambito dell'accertamento della responsabilità dell'ente le misure cautelari applicate contra societatem vengono, infatti, piegate ad esigenza di emenda e di rieducazione, servendo a propiziare l'adozione di condotte riparatorie o riorganizzative e non a tutelare esigenze funzionali al processo. La coincidenza tra tipologia delle cautele e la corrispondente morfologia delle sanzioni incide sull'identità funzionale delle prime, che finisce per essere eccessivamente appiattita sul crisma sanzionatorio. Proprio sul versante teleologico, infatti, viene meno l'essenza dell'istituito cautelare (annullando la differenziazione tra cautele e sanzioni), in quanto il periculum in mora è esclusivamente identificato con il rischio di reiterazione dell'illecito: ne scaturisce un intervento cautelare marcatamente orientato verso obiettivi di prevenzione speciale, vale a dire obiettivi di matrice extraprocessuale, certamente più coerenti con un intervento di tipo sanzionatorio. Si riaffacciano pertanto riserve d'ordine costituzionale non dissimili da quelle prospettate riguardo alla omologa previsione codicistica di cui all'art. 274 comma 2 lett. c c.p.p. E', in effetti, intuibile come il fine assegnato alle misure interdittive sottintenda una equivoca fungibilità tra cautele e sanzioni, di dubbia conformità al canone costituzionale di cui all'art. 27 comma 2 Cost. inteso come regola che vieta l'assimilazione dell'imputato al colpevole. In quest'ottica, la disciplina appare fortemente criticabile laddove essa consente che gli indizi di "illecito amministrativo" fungano da presupposto per interventi "educativi" finalizzati al recupero dell'ente alla legalità, lasciando intendere che l'ente sia ritenuto presunto colpevole ovvero – e la prospettiva non è certo più tranquillizzante – che l'accertamento della sua responsabilità sia comunque un fatto secondario rispetto allo scopo sotteso all'intervento cautelare. In questa prospettiva, il tratto marcatamente preventivo del sistema in esame sembra collidere con la ricerca di un giudizio sul merito: prevenzione e condanna sono strumenti distanti se analizzati nell'ottica degli strumenti impiegabili per perseguire l'una o l'altra. La società che intende provare nel processo la sua estraneità all'illecito amministrativo contestato rischia di essere assoggettata alla misura cautelare per il fatto di non essersi adeguata in itinere agli assunti dell'inquirente e il "periculum libertatis" potrebbe addirittura essere rinvenuto nella mancata ammissione dell'addebito mosso, ovvero nel silenzio mantenuto dall'ente sull'ipotesi di illecito formulata nelle indagini preliminari. E' evidente che, sia nell'uno che nell'altro caso, viene minato il fondamento garantistico del divieto di attribuire rilevanza alle scelte difensive ai fini delle esigenze cautelari e viene negato il diritto al silenzio dell'ente, imponendogli impropri obblighi di allegazione e di collaborazione. Di dubbia conformità al principio costituzionale della presunzione di non colpevolezza, questa volta inteso come regola di giudizio che impone all'accusa l'onere di dimostrare - oltre ogni ragionevole dubbio - la colpevolezza dell'imputato, appare altresì la disposizione di cui all'art. 6, relativa alla disciplina del criterio di imputazione soggettiva della responsabilità all'ente quando l'autore del reato presupposto risulti essere un soggetto apicale. Sul piano dell'accertamento processuale, tale previsione si traduce in un'impropria inversione dell'onere della prova. Per raggiungere l'esenzione dalla responsabilità, infatti, spetta all'ente provare – in via concorrente – l'adozione ante delictum di un efficace compliance program, l'inesistenza di lacune o inadempienze nel controllo svolto dall'organo di vigilanza appositamente istituito e l'elusione fraudolenta del modello di organizzazione e di gestione da parte del soggetto apicale. Il carattere concorrente delle condizioni da provare si risolve in una probatio diabolica, che incide sulla regola di giudizio secondo la quale il giudice pronuncia sentenza di esclusione della responsabilità dell'ente anche quando manca o è insufficiente o contraddittoria la prova dell'illecito amministrativo. Essa, infatti, troverà spazio solo laddove risulti dubbio che il reato presupposto sia stato commesso dai vertici nell'interesse o a vantaggio della società, ma quando l'incertezza attenga alle condizioni riportate nell'art. 6, il giudice dovrà pronunciare sentenza di condanna, con buona pace della regola consacrata nell'art. 27 comma 2 Cost. Apprezzamento merita, invece, il peculiare iter applicativo della misura cautelare interdittiva contra societatem. Infatti, con apparente incremento dello standard di garanzie tipiche del paradigma del codice di rito, che pospone l'interrogatorio dell'accusato all'adozione della misura cautelare, il procedimento applicativo delle misure cautelari contra societatem accoglie il modulo del contraddittorio anticipato. In effetti, la delibazione sull'applicabilità della misura interdittiva è iscritta nella cornice di un'udienza, pubblica o camerale, a seconda che la domanda venga presentata rispettivamente nell'ambito di un'udienza già fissata per l'esame del merito – aprendo una parentesi incidentale all'interno di questa – oppure al di fuori. L'innovazione è degna di nota, perché si riconosce nel contraddittorio tra parti contrapposte dinnanzi ad un giudice terzo lo strumento più efficace per garantire una decisione equilibrata, basata non sulla rappresentazione unilaterale dei fatti, ma sulla loro ricostruzione dialettica. La previsione che consente all'ente e al suo difensore di esaminare, presso la cancelleria del giudice, la richiesta del pubblico ministero e «gli elementi sui quali la stessa si fonda» prima della celebrazione dell'udienza garantisce, peraltro, l'effettività del contraddittorio. Non così, invece, la regolamentazione dell'udienza che segue. Infatti, quando l'istanza cautelare è presentata nella fase preliminare, l'udienza che ospita il contraddittorio ricalca il paradigma del procedimento camerale di cui all'art. 127 c.p.p. con scadenze più serrate. Tuttavia, la mancata previsione dell'obbligatoria (contestuale) presenza delle parti, da un lato, e la contrazione dei termini previsti per la fissazione e la celebrazione dell'udienza, dall'altro, incidono negativamente sull'effettività del diritto di difesa e, dunque, sul contraddittorio stesso. Sotto il primo profilo, infatti, è evidente che ridurre la presenza delle parti a mera facoltà sortisce l'effetto di limitare impropriamente il diritto al rinvio dell'udienza nel caso di legittimo impedimento del difensore. Invero, la rigorosa interpretazione della disciplina porta a concludere che l'unico soggetto abilitato a fare valere eventuali impedimenti, con correlativo diritto, sanzionato a pena di nullità, di ottenere il rinvio dell'udienza, è solo l'ente, nella persona del suo legale rappresentante, che abbia chiesto di essere sentito personalmente, ai sensi dell'art. 127 comma 4 c.p.p. Ai fini dell'applicazione della misura cautelare, dunque, la presenza effettiva del difensore rischia di diventare irrilevante. Il dubbio sorge ove solo si consideri che qualora il difensore nominato rappresenti un suo legittimo impedimento per l'udienza camerale già fissata e chieda il rinvio dell'udienza, il giudice potrà disattendere la richiesta e nominare, in sua sostituzione, un difensore d'ufficio a norma dell'art. 97 comma 4 c.p.p., al quale tuttavia non è riconosciuto il diritto di ottenere un termine per la difesa ex art. 108 c.p.p., con evidente danno per la difesa del soggetto collettivo. Anche la contrazione dei termini previsti per la celebrazione dell'udienza appare idonea a comprimere impropriamente l'esercizio del diritto di difesa dell'ente. Invero, la particolare complessità dell'illecito amministrativo impone di garantire all'ente incolpato di disporre del tempo necessario per preparare la sua difesa in ossequio al disposto costituzionale dell'art. 111 Cost. Se si considera, però, che l'ente potrebbe venire a conoscenza del suo status solo con l'avviso di fissazione dell'udienza camerale per la decisione in ordine alla richiesta avanzata dal pubblico ministero, i cinque giorni di preavviso previsti per la celebrazione successiva dell'udienza appaiono davvero pochi per consentire all'ente di nominare un difensore, di costituirsi in cancelleria, di estrarre copia degli elementi depositati a sostegno della domanda cautelare, di esaminare tali atti, di effettuare investigazioni finalizzate alla produzione in udienza di elementi nuovi a favore dell'ente. Si corre, dunque, il rischio di vanificare il contraddittorio e di ridurre l'apporto della difesa a mera discussione del materiale presentato dal pubblico ministero. Infine, si evidenzia che, nella dinamica cautelare, il contraddittorio preventivo assolve ad una duplice e diversificata funzione per la persona giuridica: difensiva o collaborativa. L'ente, infatti, in quella sede può innanzitutto scegliere di difendersi contestando gli elementi addotti dall'accusa, assumendosi – come già evidenziato – il rischio di essere ritenuto soggetto "pericoloso" e, dunque di subire l'applicazione della misura interdittiva. Oppure, laddove essa intenda ottenere la sospensione della misura (ex art. 49), può manifestare, nel confronto con la pubblica accusa e davanti al giudice, la volontà di porre in essere gli adempimenti e le condotte riparatorie di cui all'art. 17. L'istituto da ultimo richiamato si pone in linea con la finalità special-preventiva tipica del d. lgs. n. 231 del 2001 e ha chiara natura premiale: esso tende ad incentivare le condotte di riorganizzazione idonee a ricondurre la politica d'impresa in linea con i canoni della legalità. Il ricorso a tale congegno premiale nella fase incidentale del procedimento di applicazione delle misure cautelari, tuttavia, suscita non pochi dubbi di costituzionalità per incompatibilità con il dettato di cui all'art. 27 comma 2 Cost., ancora una volta inteso come regola che vieta l'assimilazione dell'imputato al colpevole. In effetti, all'ente si chiede di attivarsi per rimuovere le cause dell'illecito prima che questo sia stato accertato con sentenza, anche non definitiva, e al giudice di decidere in ordine all'idoneità delle condotte riparatorie attuate utilizzando gli stessi parametri valutativi predisposti in sede di applicazione della sentenza di condanna. Con la non trascurabile differenza che, in sede cautelare, l'accertamento della responsabilità non è ancora avvenuto e la decisione si fonda su elementi indiziari provvisori ed incompleti. Tutto ciò senza considerare che la condotta di resipiscenza attuata dall'ente al fine di ottenere la sospensione della misura cautelare ha inevitabili riflessi in ordine al conseguente accertamento di merito, risolvendosi in ultima analisi in una rinuncia alla prova da parte della persona giuridica. In effetti, l'attività di ristrutturazione, che l'ente è spinto a realizzare per ottenere la sospensione e la successiva revoca della misura cautelare interdittiva, implica necessariamente il riconoscimento delle carenze organizzative e si trasforma in elemento a supporto della tesi accusatoria. Peraltro, il meccanismo di premialità così individuato si presta al rischio di strumentalizzazioni, laddove la cautela venisse concepita come utile strumento di pressione sull'ente per indurlo ad attuare condotte confessorie di "ravvedimento" post factum, impiego certamente contrario al canone costituzionale della presunzione di non colpevolezza, con sviamento della funzione tipica dell'istituto cautelare. Le reali prospettive di efficienza del sistema vanno (soprattutto) ascritte alla disponibilità di un apparato di cautele appositamente studiato per il soggetto collettivo sottoposto a processo: tanto che in sette anni di applicazione giurisprudenziale si contano quasi esclusivamente provvedimenti che attengono alle misure cautelari stesse. Esse, tuttavia, entrano in contraddizione con garanzie e principi fondamentali, frutto di una cultura liberal-democratica del processo, ritenuti "acquisiti" ed innegabili in una società che voglia definirsi non solo moderna ma anche civile. ; XXI Ciclo ; 1973
Collected data and research material presented in the monograph are a result of financing of the Polish science budget in the years 2011−14; the research project was financed by the National Science Centre according to decision no. DEC-2011/01/B/HS4/04744. The project that resulted in this monograph was financed from public funds for education for 2011 − 2014, the National Science Center under Contract No. DEC-2011/01/B/HS4/04744. ; Value-Based Working Capital Management analyzes the causes and effects of improper cash flow management between entrepreneurial organizations with varying levels of risk. This work looks at the motives and criteria for decision-making by entrepreneurs in their efforts to protect the financial security of their businesses and manage financial liquidity. Michalski argues that businesses exposed to greater risk need a different approach to managing liquidity levels. The scientific aim of this monograph is to present the essence of financial liquidity management under specific conditions faced by enterprises with risk and uncertainty. Enterprises differ from one another in risk sensitivity. This difference affects the area of taking decisions by the managers of those enterprises. The result of interactions between levels of liquidity and sensitivity to risk affects the managers of such enterprises (Altman 1984; Tobin 1958; Back 2001; Tobin 1969). In this monograph the research hypothesis is the claim that enterprises with a higher sensitivity to risk are very different from enterprises with a lower sensitivity to risk, resulting in a different approach to managing their working capital. Enterprise managing teams react to risk, and this reaction is adjusted by an enterprise's sensitivity to risk. Because of its subject area, the book will address the issues of corporate finance. The monograph discusses the behavior of enterprises and the relationships between them and other factors in the market occurring in the management process under the conditions of limited resources. As a result of these interactions with the market and the environment in which individuals who manage enterprises operate, there is an interaction between money and real processes that in the end are the cornerstone of wealth building. This chapter discusses the objectives and nature of enterprises in the context of their risk sensitivity, as well as the relationships between the objectives of enterprises and the characteristic features of their businesses. Enterprises operate in various business environments, but generally speaking, they all have one main aim: wealth creation for their owners. The realization of that aim depends on an idea of business in which the enterprise is an instrument to collect money from clients of the enterprise's services and products. Business environment is crucial not only for future enterprise cash inflows from the market but also for risk and uncertainty (Asch, and Kaye 1997; Copeland, and Weston 1988; Fazzari, and Petersen 1993). According to the author, it is necessary to include an understanding of that risk and uncertainty of future in the rate that reduces the net size of free cash flows for the enterprise owners, beneficiaries, or more generally stakeholders. Enterprise value creation is the main financial aim of the firm in relation to working capital components (Graber 1948; Jensen, and Meckling 1976; Lazaridis, and Trifonidis 2006). Working capital management is a part of a general enterprise strategy to its value maximization (Laffer 1970; Kieschnick, Laplante, and Moussawi 2009; Lyland, and Pyle 1977). This chapter presents a definition of financial liquidity and liquidity-level measurements. This chapter contains four subchapters that address the specific role of short-term financial decisions, a classification of definitions of financial liquidity, sources of information about liquidity level, and liquidity-level measurements (Lazaridis and Tryfonidis 2006; Long, Malitz, and Ravid 1993; Kieschnick, Laplante, and Moussawi 2009). Financial liquidity definition and liquidity-level measurements Here we have an opportunity to present the author's opinion on what assets should be financed with short-term funds and what the level of liquidity is in an enterprise (Michalski 2012a). The discussion also pertains to the issue of the dividing line between long-term and short-term decisions, with greater emphasis on the durability of their effects, rather than the decision-making speed. This section also attempts to answer the question: What are the short-term effects of operations under conditions of uncertainty and risk? The reason for the considerations in this section is the need to characterize the decisions that affect the level of enterprise liquidity. The research hypothesis of this monograph assumes that differences between more risk sensitive and less risk sensitive enterprises are seen in liquidity management. Simply because the enterprises, during financial liquidity management, take into account the differences in their risk sensitivity. This chapter discusses the relationship between firm value and business risk sensitivity. The chapter starts with a presentation of intrinsic liquidity value and firm reactions to market liquidity value. This is the basis for target liquidity level in the enterprise. Liquid assets are the main part of working capital assets, so the next part of the chapter focuses on working capital investment strategies and strategies of financing such investments in working capital in the context of firm value creation. The chapter concludes that, from a firm-value-creation point of view, more risk-sensitive entities should use flexible-conservative strategies, while less risk-sensitive entities have the freedom to use restrictive-aggressive strategies. In the context of a crisis, this is the clear answer and explanation for higher levels of working capital investments observed empirically during and after a crisis. The determinants of intrinsic value of liquidity are attributed to liquidity by enterprise management. Enterprises in which financial liquidity has a high internal value will have a tendency to maintain reasonable liquid resource assets at a higher level. The levels of stocks of funds maintained by enterprises are also the result of the relationship between the liquidity market value and the intrinsic value of liquidity. It demonstrates how to approach the estimation of liquidity and presents the market value of liquidity. Having connected this information with the knowledge of manifestations of the internal liquidity, we can offer an explanation as to why the target (and also probably the optimal) level of liquidity for enterprises with higher-than-average risk sensitivity is at a higher level than the corresponding target (optimal) level for enterprises with a lower level of risk sensitivity. Working capital value-based management models In this part of the monograph we discuss the items contained within the cost of maintaining inventory. Using this approach, a model of managing inventories is presented. Theoretically, the value-maximizing optimal level of inventory is determined to be the modified EOQ model, presented as VBEOQ model. We also present an outline of issues associated with the risk of inventory management and its impact on the value of the enterprise for its owner. We also discuss the principle of the optimal batch production model and how the size of the production batch affects the value of the enterprise for its owner. Here also is demonstrated a modification of the POQ model: VBPOQ. The proposed modification takes into account the rate of the cost of capital financing and the measures involved in inventory when determining the optimal batch production. When managing the commitment of the inventory, it is crucial to take into account the impact of such decisions on the long-term effectiveness of the enterprise. This chapter also discusses the relationships between the management of accounts receivables and the value of a business. A modified (considering the value of a business) model of incremental analysis of receivables is presented, as is a discussion of the importance of capacity utilization by an enterprise for making management decisions pertaining to accounts receivables. Issues related to the management of working capital and enterprise liquidity are and will be an area of research. The analysis in this study focused primarily on working capital and liquidity management; understanding its specifics will facilitate the management of liquidity in any type of organization. Working capital as a specific buffer against risk has its special role during a crisis and can serve as a good forecasting indicator about future economic problems in the economy if a whole business environment notices higher levels of working capital and its components, like cash, inventories, and accounts receivables. The scientific value of the issues discussed in the book is associated with the issue of working capital and liquidity management in enterprises. It is also a result of the exploration and definition of the main financial objective of businesses and the relationship between the objective and the management of working capital and enterprise liquidity. The choice of topic and the contents of research resulted also from empirical observation. Empirical data on enterprises that operate in countries touched by the last crisis document higher-than-average levels of working capital before, during, and after the crisis in these enterprises. These conditions provided the means for a "natural experiment" of sorts. From that point, working capital management theory faced a necessity of even wider development. ; Collected data and research material presented in the monograph are a result of financing of the Polish science budget in the years 2011−14; the research project was financed by the National Science Centre according to decision no. DEC-2011/01/B/HS4/04744. The project that resulted in this monograph was financed from public funds for education for 2011 − 2014, the National Science Center under Contract No. DEC-2011/01/B/HS4/04744. ; How to Cite this Book Harvard Grzegorz Michalski . (April 2014). Value-Based Working Capital Management . [Online] Available at: http://www.palgraveconnect.com/pc/doifinder/10.1057/9781137391834. (Accessed: 28 May 2014). APA Grzegorz Michalski . (April 2014). Value-Based Working Capital Management . Retrieved from http://www.palgraveconnect.com/pc/doifinder/10.1057/9781137391834 MLA Grzegorz Michalski . Value-Based Working Capital Management . (April 2014) Palgrave Macmillan. 28 May 2014. Vancouver Grzegorz Michalski . Value-Based Working Capital Management [internet]. New York: Palgrave Macmillan; April 2014. [cited 2014 May 28]. Available from: http://www.palgraveconnect.com/pc/doifinder/10.1057/9781137391834 OSCOLA Grzegorz Michalski , Value-Based Working Capital Management , Palgrave Macmillan April 2014 ; Author Biography Grzegorz Michalski is Assistant Professor of Corporate Finance at the Wroclaw University of Economics, Poland. His main areas of research are Business Finance and Financial Liquidity Management. He is currently studying the liquidity decisions made by organizations. He is the author or co-author of over 80 papers and 10 books, and sits on the editorial board of international conferences and journals. Reviews 'Due to the recent financial crisis, interest in the topic of working capital has grown significantly to both theory and practice. The research results presented by Grzegorz Michalski contribute to the development of a comprehensive theory of liquidity management and the creation of an integrated working capital and liquidity for different types of business model. The job is processed on a high quality level." -Marek Panfil, Ph.D, Director of Business Valuation Department Warsaw School of Economics 'The book of Grzegorz Michalski is a very good publication that has found the right balance between theory and practical aspects of financial liquidity management. It is extremely timely and valuable, and should be required reading for all corporate finance practitioners, academicians, and students of finance. Value-Based Working Capital Management is comprehensive, highly readable publication, and replete with useful practical examples. It has also enabled corporate leaders to make better-informed decisions in their efforts to protect the financial security of their businesses and manage financial liquidity.' -Petr Polak, Author of Centralization of Treasury Management, and Associate Professor of Finance, University of Brunei Darussalam ; REFERENCES Introduction Adner, R., and D. A. Levinthal (2004). "What Is Not a Real Option: Considering Boundaries for the Application of Real Options to Business Strategy." Academy of Management Review 29(1). Altman, E. (1984). "A Further Empirical Investigation of the Bankruptcy Cost Question." Journal of Finance 39. Back, P. (2001). "Testing Liquidity Measures as Bankruptcy Prediction Variables." 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AMICO ASPERTINI Amico Aspertini (Bologna, 1474 circa – Bologna, 1551) è un pittore italiano del periodo rinascimentale il cui stile complesso, eccentrico ed eclettico anticipa in qualche modo il Manierismo. È da collocare agli inizi della carriera artistica di Amico e precisamente nel 1496 un viaggio a Roma, che il giovane intraprende in compagnia del padre. L'Adorazione dei Magi, ora a Berlino rivela, infatti, la conoscenza dell'Adorazione dei Pastori dipinta dall'umbro nella Cappella della Rovere in Santa Maria del Popolo intorno al 1488-90. Ma oltre che dal Pinturicchio una grande influenza venne esercitata su di lui da Filippino Lippi e soprattutto dagli affreschi romani in S. Maria sopra Minerva. La scarsa fortuna critica che ha seguito Amico nel corso dei secoli è in gran parte dovuta al celebre Giorgio Vasari che nelle sue "Vite", forse per la sua difformità rispetto sia alla bellezza classica del '400 che alle nuove tendenze del Manierismo non ne riconobbe le grandi qualità artistiche e lo tacciò di pazzia: "Costui, venuto finalmente in vecchiezza di settanta anni, fra per l'arte e la stranezza della vita bestialissimamente impazzò". Nel 1112 iniziò la riedificazione dell'edificio che fu consacrato nel 1147. Una prima annotazione da fare su questa basilica è il fatto che sia particolarmente a ridosso delle mura e affatto isolata; molti degli edifici, infatti sono stati direttamente inglobati nella costruzione principale, essendo stati questi parte del monastero e del cimitero che erano adiacenti alla chiesa. Nel XIII secolo si ebbe l'innalzamento della basilica con l'aggiunta del mosaico in facciata e la trasformazione dell'interno, poiché questa venne divisa in cinque parti: tre navate centrali più due laterali occupate dalle cappelle. Nella facciata non ci sono logge se non una finta loggetta al di sotto del mosaico. Ad esempio, in quello principale c'è un architrave con un motivo a tralci, tipico della scultura del XII sec. L'affresco cuspidato che raffigura il Martirio dei Santi Vincenzo, Stefano e Lorenzo è una delle più antiche testimonianze della pittura medievale a Lucca e risale alla prima metà del XII secolo. Nella navata sinistra si apre la Cappella Trenta, che è stata costruita e decorata da Iacopo Della Quercia nei primi decenni del XV secolo. Sotto l'altare, all'interno del sarcofago romano, sono collocati i resti di San Riccardo a cui la cappella è dedicata. Fra questi vanno ricordati la Divisione del fiume Serchio da parte di San Frediano, la Natività, il Trasferimento del Volto Santo a Lucca e la Deposizione dalla Croce. Inoltre, all'interno di questa cappella venivano seppelliti i priori del convento dedicato a San Frediano, e così fu previsto di ricordare il Santo a cui è dedicata la chiesa. Amico Aspertini affrescò anche una Sacra conversazione. Lo scultore Matteo Civitali scolpì tre statue dei Santi Vescovi Frediano, Agostino e Giovanni I ed è anche l'autore della Madonna dell'Annunciazione. Le nuove tele includono il Miracolo di San Cassiano del Lomi e il Martirio di Santa Fausta del Sorri. Dopo le soppressioni napoleoniche la grande lunetta di Mattia della Robbia e l'altare scolpito da Giovanni Baratta (inizio del XVIII secolo) arrivò a San Frediano. La cappella di Sant'Agostino Questa lastra è ricordata per la prima volta dal Ridolfi nel 1835 in occasione del resoconto del restauro degli affreschi della cappella, ma non vi si fa alcun cenno dell'autore. L'attribuzione della lastra sepolcrale all'Aspertini risale invece al 1965 e si deve alla Ciardi Duprè. Questa lastra sepolcrale si inserisce invece a buon diritto nel contesto della sua opera, per ragioni di affinità stilistica che la legano alla decorazione affrescata. Nell'iscrizione a rilievo sulla lastra si confermano sia il nome del committente dell'impresa, sia la dedica a Sant'Agostino che l'inizio dei lavori di ristrutturazione della vecchia cappella della Croce nel 1506. Il 26 giugno 1510 Pasquino Cenami muore, per cui sono questi gli estremi cronologici fra i quali si deve collocare la presenza di Aspertini a Lucca. Secondo il Silva Aspertini non avrebbe ideato soltanto la decorazione pittorica della cappella, ma anche l'arredo plastico della medesima, di cui avrebbe eseguito le parti in marmo (sull'altare, una Croce sostenuta da un piedistallo con lo stemma Cenami e due soggetti mitologici, Apollo e Mida e Atena e Marsia sui lati, oggi nel Guardaroba della basilica), lasciando a Masseo Civitali il compito di realizzare le sculture lignee di Sant'Agostino e di San Frediano, ora nella cappella di San Biagio, e quella del Vescovo Giovanni, ora nel Guardaroba. La lunetta della parete di fondo è occupata dal Giudizio Universale, che purtroppo è stato molto danneggiato per l'apertura di una finestra al centro della parete negli anni Ottanta del Seicento e per le infiltrazioni d'acqua. Al centro è ancora visibile un frammento dell'angelo del Giudizio che riceve e separa le anime, a destra la resurrezione della carne alla presenza della Maddalena, di San Giovanni, di un papa, di un vescovo e a sinistra l'Inferno con i tormenti dei dannati. Nella lunetta destra è affrescata l'Approvazione della Regola di Sant'Agostino. Il Trasporto del Volto Santo narra l'episodio relativo all'arrivo a Lucca di questa antica reliquia, tuttora venerata nella Cattedrale di San Martino. Le fonti che Aspertini poteva conoscere erano i manoscritti trecenteschi che narrano della leggenda, ma nella rappresentazione vengono privilegiati tre elementi: il Beato Giovanni, di cui si conservano le reliquie nella chiesa, il « Titoli della Croce », cui era in origine dedicata la cappella e un'immagine corale del popolo dei fedeli. Nell'Adorazione dei pastori la narrazione evangelica è arricchita di episodi diversi: il gruppo dei servitori al seguito dei Re Magi, che scaricano vettovaglie e masserizie dal lungo viaggio, l'annuncio sull'erta del colle e la danza gioiosa dei pastori in mezzo al gregge, la vecchia che indica il luogo della Natività. La Tazartes ha portato l'attenzione sulla stella cometa, al centro della composizione, che ha la stessa forma della stella nello stemma della famiglia Buonvisi. Un indizio questo, che potrebbe significare sia un omaggio alla potente famiglia dalla quale provenivano Paolo e Benedetto, fra i personaggi più in vista della città e della comunità di San Frediano, sia il riconoscimento di un contributo finanziario all'impresa decorativa del Priore. La Deviazione del fiume Serchio: l'episodio rappresenta un miracolo di San Frediano, monaco di origine irlandese, diventato vescovo di Lucca intorno al 560, fondatore della omonima congregazione di Canonici, che impedì l'inondazione della città dando al fiume Serchio un nuovo corso con un semplice solco tracciato col rastrello. Le fonti del miracolo sono i Dialoghi di San Gregorio Magno (libro III) e un poema scritto da Rangerio, vescovo di Lucca nel XII secolo. Una medesima alternanza si può individuare fra due episodi di storia religiosa locale (Trasporto del Volto Santo e Deviazione del Serchio), due relativi alla vita di Gesù Cristo (Natività e Deposizione nel Sepolcro) e due dedicati alla vita di Sant'Agostino, che non potevano mancare in una cappella di recente dedica al Santo (Battesimo e Approvazione della Regola). Infine, la Deposizione e le scene della Passione (la Lavanda dei piedi, l'Ultima cena, l'Orazione nell'orto e la Flagellazione) alludono anche alla destinazione funeraria della cappella, quale luogo per la sepoltura del Priore e dei suoi Canonici. Lo stesso fonte battesimale di San Frediano, eseguito nella seconda metà del XII secolo, sembra essere la fonte diretta dell'atteggiamento del battezzando. Qui Aspertini pone al centro della composizione, inquadrato dal baldacchino, l'Arco di Costantino, simbolo della vittoria della croce sul paganesimo e, in senso lato, del trionfo di Cristo sulla morte e della cristianità sui suoi nemici. Affollato e sostanzialmente lontano dalla misura classica, lo spazio aspertiniano sembra essere debitore, nella relazione fra figure, architetture e paesaggio, all'arte oltremontana, e forse quindi più vicino ad esempi del Nord Italia, con cui condivide la negazione della razionale prospettiva (si veda nel Trasporto del Volto Santo la presentazione frontale dell'icona in mezzo alla processione che si rovescia giù dal colle o il divagare senza regola del racconto nella Deviazione del Serchio). Infatti, solo due lati della cornice di ciascun riquadro sono illuminati dall'alto al basso. Questa volta, nell'impaginazione come nei singoli dettagli, sono richiamati alla memoria i cantieri romani quattrocenteschi del Perugino e del Pinturicchio: nel Sant'Ambrogio battezza Sant'Agostino il gesto del giovane catecumeno seduto riprende quello del giovane seduto dietro il Battista nel Battesimo di Cristo affrescato nella Sistina. Nella vasta apertura del paesaggio si intravede, invece, un influsso giorgionesco. La natura ha qui un respiro assai più ampio, tanto è vero che gli episodi contigui del Trasporto e del Battesimo, separati tra loro dalle candelabre a monocromo, sono tuttavia unificati dalla rappresentazione della città di Lucca che si sviluppa, completandosi, dalla prima alla seconda scena. È molto probabile che Aspertini realizzò un viaggio a Venezia durante la parentesi lucchese, nel breve lasso di tempo che intercorse tra l'esecuzione dell'affresco della controfacciata di San Frediano, con la Madonna col Bambino fra i Santi Giovanni Battista, Agata, Margherita e Sebastiano e l'inizio dei lavori nella cappella di Sant'Agostino. Nell'affresco della controfacciata Amico palesò una sorta di «richiamo all'ordine», prima di intraprendere le scene più complesse e articolate della cappella, dove peraltro la struttura compositiva doveva anche adeguarsi alle esigenze narrative del ciclo. Nel Trasporto del Volto Santo prevalgono, invece, fisionomie meno caratterizzate in senso individuale o ritrattistico, tuttavia fortemente accentuate nelle espressioni e in certe grinte che si pongono quasi al limite del caricaturale. L'espressione leonardesca dell'uomo barbuto a sinistra, in primo piano, nel Trasporto del Volto Santo, ritorna nell'espressione arcigna del portatore di stendardo dei Tre Lanzichenecchi in un paesaggio, una stampa che Amico realizzò verso la fine del primo decennio. AMICO ASPERTINI A LUCCA Non è mai stata messa in dubbio l'attribuzione ad Aspertini degli affreschi della cappella di Sant'Agostino, che risale al Vasari, e la datazione era stata concordemente stabilita fra il 1508 e il 1509, sia per ragioni stilistiche che per i legami con altri avvenimenti della sua vita. Oggi, tuttavia, un nuovo e importante punto fermo viene ad aggiungersi alla cronologia del pittore bolognese e a confermare la data degli affreschi. Il 2 giugno 1508 Amico chiede al Consiglio Generale della città di Lucca la cittadinanza e la ottiene. In questo modo abbiamo la certezza documentaria della presenza in città del pittore bolognese, che ottiene da questa concessione notevoli privilegi sociali ed assicura al suo lavoro uno «status» più solido. Due bolognesi lavorano dunque a Lucca nella stessa chiesa; sembra quindi opportuno cercarne le ragioni nelle relazioni fra le due città e nella figura del committente degli affreschi. Pasquino da Monzone in Lunigiana aveva vissuto dal 1482 al 1489 a Bologna, nel convento di San Frediano dei Sacchi, fondato per i Canonici lucchesi che frequentavano lo Studio; inoltre, amministrava i beni della chiesa lucchese e contemporaneamente si era laureato in diritto. Un altro importante anello di congiunzione è la figura di Pietro da Lucca, canonico di San Frediano nel Monastero di San Giovanni in Monte a Bologna, predicatore insigne, che dedica uno dei suoi scritti morali alla figlia di Giovanni II Bentivoglio nel 1506, poco prima dunque che i tragici avvenimenti politici del novembre dello stesso anno spezzassero la signoria bentivolesca della città. Già a metà del 1508, però, la scelta di lasciare la città si era concretizzata, stando al documento del 2 giugno, con il quale Aspertini ottiene la cittadinanza lucchese. Dunque, tutto lascia pensare che alla fine del 1509 o nel corso del 1510 la parentesi lucchese fosse terminata. LA PALA DELLA CONTROFACCIATA La pala ad affresco, raffigurante la Madonna col Bambino fra i Santi Giovanni, Battista, Agata, Margherita e Sebastiano, è sempre stata concordemente attribuita ad Amico Aspertini dalle guide lucchesi del Settecento e Ottocento, ma non si aveva nessuna notizia documentaria di quest'opera. Sono state le importanti ricerche archivistiche della Tazartes, nel 1981, a gettare luce su alcuni episodi di committenza «popolare» nella chiesa di San Frediano, che riguardano appunto la decorazione della controfacciata. Esistevano infatti due altari ai lati della porta maggiore, uno a destra, dedicato ai Santi Pietro e Paolo, l'altro, a sinistra, a Santa Margherita, ricordati in alcuni libri di Memorie del monastero raccolte nel tardo Cinquecento. L'esecuzione della pala ad affresco è sempre stata collocata in un tempo prossimo al ciclo della cappella di Sant'Agostino (1508-1509), perché stilisticamente non se ne discosta molto, anche se la composizione sembrerebbe più arcaica persino degli affreschi di Santa Cecilia. Infatti, per l'impianto statico e lo statuario isolamento delle figure, la Sacra Conversazione è ancora in stretta relazione con la struttura delle pale del Costa, come la Pala de' Rossi in San Petronio datata 1492, e del Francia, come quella in San Martino del 1506 circa, che forniscono paralleli nel modello compositivo e anche nell'atteggiamento delle figure. Ma nell'affresco dell'Aspertini è scomparsa la struttura architettonica e le figure monumentali dei Santi si dispongono contro un cielo chiaro intorno alla Madonna, presentata come in una festa campestre, sotto una rustica tenda: è un motivo usato dall'Aspertini anche nella Nascita della Vergine della predella Strozzi (1500-1505 ca., Ferrara, Pinacoteca Nazionale) e nella Consegna della Regola nel lunettone destro nella cappella di Sant'Agostino in San Frediano, ed è molto frequente anche nel Costa. Le sottigliezze grafiche presenti nell'affresco sottoforma di un finto tratteggio incrociato, il forte segno che accompagna i contorni delle figure e i dettagli decorativi in ceroplastica (la collanina di corallo, la corona della Madonna, il bottone della camicia di Santa Margherita e le aureole) legano l'affresco alle precedenti esperienze del pittore e nello stesso tempo anticipano la decorazione della cappella di Sant'Agostino, nella quale darà prova di maggiore libertà nell'articolazione spaziale delle scene e nella scioltezza della pennellata. LE ALTRE OPERE LUCCHESI DI AMICO ASPERTINI La Madonna col Bambino in gloria e i Santi Giorgio, Giuseppe, Giovanni Evangelista e Sebastiano Inizialmente questa pala si trovava sull'altare maggiore della chiesa di San Cristoforo a Lucca e vi rimase fino al 1820, quando venne acquistata dalla Commissione per le Belle Arti e trasferita nella Pinacoteca di Villa Guinigi. Sulla suola del sandalo di San Giuseppe è ancora parzialmente visibile una lettera «A» in oro, che originariamente si intrecciava ad un'altra «A», che la Kropfinger von Kügelgen ancora leggeva nel 1973, dopo che erano state scoperte in seguito al restauro effettuato nel 1961 dalla Carusi. Sulla base di questa notizia, sembra lecito identificare uno dei due pannelli laterali con il San Cristoforo della Galleria Spada a Roma, mentre dell'altro, quello con San Biagio, non si hanno al momento notizie. Forse l'interruzione della parola «S. Petr…» si può interpretare come un dubbio, da parte dell'estensore della descrizione, sull'identità del Santo rappresentato. A Firenze, dove nel 1508 Fra' Bartolomeo era impegnato nella realizzazione del dipinto con Dio Padre, Santa Maria Maddalena e Santa Caterina da Siena richiesto dai domenicani del convento di San Piero Martire di Murano e ora nella Pinacoteca Guinigi di Lucca, Aspertini venne forse a sapere anche di quel giovane marchigiano molto promettente, che fino alla tarda estate dello stesso anno si era trattenuto in città. L'attribuzione del dipinto al pittore bolognese, risalente alle guide lucchesi dell'Ottocento, non è mai stata messa in dubbio per gli evidenti caratteri stilistici che presenta. Quanto alla datazione, è stata generalmente posta in relazione con il soggiorno di Aspertini a Lucca (1508-1509) per l'esecuzione degli affreschi della cappella di Sant'Agostino nella chiesa di San Frediano. San Cristoforo e San Luca Il recente ritrovamento della descrizione di come si presentava in origine la Madonna e i Santi, già sull'altare maggiore della chiesa di San Cristoforo a Lucca (oggi nella Galleria Spada a Roma), affiancata da due pannelli laterali con San Cristoforo e San Biagio, consente di ipotizzare che questa tavola (sulla quale sono raffigurati su un lato San Cristoforo e sul lato esterno, in monocromo, San Luca) possa aver fatto parte di quel complesso. Questa figura molto spesso manca nella tradizione italiana, mentre è frequente nella pittura e nella grafica nederlandese e tedesca del XV e XVI secolo. Nuova luce giunge ora dalla proposta, che si avanza sulla base della descrizione fornita dalla Visita Pastorale del 1561, di identificare questo San Cristoforo con uno dei pannelli laterali che affiancavano la Madonna in gloria e Santi, che originariamente si trovava sull'altare maggiore della chiesa di San Cristoforo a Lucca. Il San Luca a monocromo costituirebbe allora la facciata esterna dell'anta, restituendo alla pala nel suo complesso un aspetto abbastanza arcaico. Quest'opera documenta, più e meglio delle altre, i rapporti del pittore con la cultura nordica, tanto che lo Hermanin la attribuiva a un artista della Germania centrale della prima metà del Cinquecento. Insieme agli affreschi di San Frediano, questa pala costituisce un'importante testimonianza della costante attenzione prestata da amico alla cultura d'Oltrape. Quella impiegata qui dall'Aspertini è, in effetti, un tipo di rappresentazione più frequente nel Nord Europa: si nota, infatti, una stretta vicinanza del volto di San Cristoforo a quello del Santo omologo al centro della pala dei Quattordici Intercessori di Lucas Cranach oppure alle fisionomie degli astanti nel Cristo fra i Dottori di Dürer. Quanto al San Luca, raffigurato sulla faccia esterna della tavola, viene visto da Zeri come il «massimo documento» dei suoi rapporti con l'arte tedesca: e in effetti l'accentuato grafismo di questa immagine e la perspicacia dell'occhio che indaga tutti i dettagli dell'arredo, del paesaggio, del bue e dell'angelo, lo avvicinano molto alle stampe, e in particolare a quelle tedesche (si veda anche l'aspetto «nordico» del castello sullo sfondo). Nella figura di San Luca tali suggestioni nordiche si accompagnano a reminescenze neo-medievali: ad esempio, nella precaria collocazione della figura e nella disposizione diagonale dello scrittoio, Aspertini sembra far riferimento al gotico bolognese e in particolare, come sottolinea la Faietti, al San Gregorio nello studio dello Pseudo-Jacobino (che si trova nella Pinacoteca Nazionale di Bologna). Quanto alla collocazione cronologica, era stato il Grassi a proporre un collegamento con la Pala della Pinacoteca di Lucca, leggendo entrambe le opere come preludio alla pala di San Martino a Bologna: una relazione stilistica che ha trovato poi conferma nella descrizione della Visita Pastorale. Inoltre, la scoperta fra i padrini al battesimo del figlio Alessandro nel 1511 del cardinale Domenico Grimani, confermerebbe questo rapporto con la città lagunare. La pala di San Cristoforo, al pari degli affreschi di San Frediano, si colloca quindi in un momento di svolta del percorso culturale di Amico. Più di quanto aveva fatto in passato, Amico istituisce un nesso profondo tra irregolarità del volto ed espressione del sentimento interiore. Del resto, l'ambiente bolognese era piuttosto aperto agli studi promossi da Achillini. Alla fine del primo decennio del Cinquecento e nel corso del secondo, l'artista prosegue la sua diversione dagli ideali classici di bellezza, accentuando l'interesse per l'introspezione psicologica, sia nel genere della ritrattistica sia nelle pale d'altare. In effetti, nel 1511 Aspertini ha l'onore di annoverarlo tra i padrini al battesimo del figlio Alessandro. Nella chiesa bolognese di San Martino, in cui si trovava la cappella della famiglia Achillini, anche Amico ebbe la sua sepoltura. La soluzione artistica prospettata da Amico non era probabilmente del tutto consapevole della complessa visione filosofica degli Achillini.
Daseinsvorstellungen, Wertungen und Verhaltensweisen bezüglich Universität und Studium, Wissenschaft und Forschung, Rolle des Akademikers, Beruf und Arbeit, Geschlechterrolle, Gesellschaft und soziale Ungleichheit, politische Partizipation und Kultur, allgemeine Orientierungen und Werthaltungen, Selbstbild, moralisch-soziale Konflikte. Ausbildungs- und Berufswahl, Studienverlauf und Berufseinstieg. Studiensituation, Studierverhalten und Berufserfahrungen.
Themen: 1. Welle: Fachwahl und Studiensituation: Studienwahlmotive; Präferenz für neigungsorientiertes oder an späteren Berufschancen orientiertes Studium; Informiertheit über ausgewählte Fragen des Hochschulstudiums; Art der Studienfinanzierung; Dauer der jeweiligen Wohnsituation während des Studiums; präferierte Wohnform; Anzahl der Hochschulen, an denen studiert wurde; Anzahl der Auslandssemester; Anzahl der Fachsemester bis zum Studienabschluss; Auswahlkriterien für die derzeit besuchte Universität; Beschreibung der Kontakthäufigkeit zu Studenten des eigenen Faches bzw. anderer Fächer, zu Assistenten, Professoren und Personen im zukünftigen Berufsfeld sowie zu Personen ohne akademische Ausbildung; Zufriedenheit mit dem Kontakten zu Kommilitonen und Lehrenden.
Familiärer Hintergrund: Familienstand; Anzahl eigener Kinder; soziale Herkunft: Schulbildung, Ausbildungsfachrichtung und berufliche Stellung der Eltern; Schichtzugehörigkeit der Eltern; Selbsteinschätzung der Schichtzugehörigkeit in zehn Jahren; Universitätsbesuch der Großväter; Geschwisterzahl; Universitätsbesuch von Geschwistern.
Anforderungen und Möglichkeiten im Studium: Charakterisierung des eigenen Hauptstudienfaches und der gestellten Anforderungen; Bewertung dieser Anforderungen; Charakterisierung von Lehrenden und Studierenden des eigenen Fachbereichs; Fachcharakterisierung (spezielle Ausrichtung, elitärer Anspruch, politische Rivalitäten unter den Studenten, Strenge in Prüfungen, hoher intellektueller Anspruch, Benachteiligung weiblicher Studierender, gute Beziehungen zwischen Studenten und Lehrenden).
Lernen und Arbeiten: aufgewendete Stunden für den Besuch von Lehrveranstaltungen; zusätzlicher wöchentlicher Zeitaufwand für das Studium; Intensität des Studierens in verschiedenen Phasen des Studiums; mehr Fachliteratur gelesen als empfohlen; kritisches Lesen; eigene Interessenschwerpunkte gesetzt; Entwicklung eigener Gedanken zur Problemlösung; Versuch, Forschungsergebnisse nachzuvollziehen; eigene Untersuchung durchgeführt; Inanspruchnahme der Studienberatung des Faches; Übereinstimmung des Studiums mit eigenen Interessen und Neigungen; Anzahl zusätzlich besuchter fachfremder Lehrveranstaltungen im sozialwissenschaftlichen, geisteswissenschaftlichen und naturwissenschaftlichen Bereich; Interesse für Mathematik, Naturwissenschaft, Medizin, Sprachen, Geschichte, Literatur/Philosophie, Wirtschaft, Soziologie/Politikwissenschaft, Pädagogik/Psychologie, Technik, künstlerisch-musischer Bereich (Skalometer); Lernmotivation (Skala: gemeinsames Lernen, erfolgversprechende Perspektive, neuer Stoff, praktische Anwendbarkeit des Gelernten, selbstbestimmtes Lernen, vor Prüfungen, lernen ohne Druck, Anerkennung durch Lehrende); Charakterisierung des eigenen Verhaltens anhand von Gegensatzpaaren (Problemlösungssicherheit bei neuen und bei komplizierten Aufgaben, Prüfungsangst, Nervosität bei Gesprächen mit Lehrenden und in Prüfungssituationen); Lern- und Leistungsorientierung; Durchschnittsnote des Abiturzeugnisses und der Zwischenprüfung bzw. des Vordiploms; Zufriedenheit mit den bisherigen Noten im Studium; Einschätzung der Chancen auf einen guten Studienabschluss; Wichtigkeit der Prüfungsergebnisse für die beruflichen Chancen; Gedanken an Hauptfachwechsel oder Studienabbruch; erneute Entscheidung für das gleiche Studium, ein anderes Fach oder eine andere Ausbildung und Art dieser Ausbildungsfächer; empfundene persönliche Belastung durch: Leistungsanforderungen im Studium, finanzielle Situation, unsichere Berufsaussichten, Anonymität an der Hochschule, bevorstehende Prüfungen, Wohnsituation, die Situation als Student generell); empfundene Benachteiligung von Frauen an der Universität; Interesse an hochschulpolitischen Fragen; Interesse für ausgewählte Hochschulgruppen; erfahrene Förderung der eigenen Persönlichkeit im Studium in ausgewählten Bereichen; Einschätzung der Nützlichkeit für die persönliche Entwicklung und die Verbesserung von Berufsaussichten von: Hochschulwechsel, Forschungspraktika, Auslandsstudium, Spezialisierung, fachübergreifendes Studium, Anwendung theoretischen Wissens auf Alltagsprobleme, praktische Arbeitserfahrung außerhalb der Hochschule, hochschulpolitisches Engagement, schneller Studienabschluss; praktische Erfahrungen im zukünftigen Beruf vor bzw. während des Studiums; Einfluss dieser Erfahrungen auf die Berufswahl; Nutzen des Hochschulstudiums für den späteren Beruf; Vergleich von zukünftigem Beruf und Studium hinsichtlich verlangter Fähigkeiten; geplante Promotion, Zweitstudium, Referendariat, Trainee bzw. Berufstätigkeit nach dem ersten Studienabschluss; Zuversicht oder Befürchtungen für die Zeit nach dem Studium; Charakterisierung der Gesellschaft der BRD, der Universität sowie des zukünftigen Berufsfeldes anhand von Eigenschaften (human, fortschrittlich, autoritär, reformbedürftig, unbeweglich, leistungsfähig und anonym).
Beruf: Entscheidung über eigene zukünftige Berufswahl getroffen; angestrebter Tätigkeitsbereich; Zeitpunkt dieser Entscheidung; Informiertheit über ausgewählte Aspekte der zukünftigen Berufstätigkeit; Berufsaussichten; berufliche Wertvorstellungen (Skala); erwartete Übereinstimmung dieser Wertvorstellungen mit dem zukünftigen Beruf; Erwartungen an den zukünftigen Beruf (Arbeitszufriedenheit, Möglichkeit anderen zu helfen, Verwirklichung eigener Ideen, wissenschaftliche Tätigkeit, hohes Einkommen, gute Aufstiegsmöglichkeiten); erwartetes Anfangsgehalt und monatliches Bruttogehalt nach zehn Jahren Berufstätigkeit; erwartete Anforderungen an Berufsanfänger im künftigen Berufsfeld; erwartetes Zurechtkommen im voraussichtlichen Beruf; erwartete Schwierigkeiten zu Berufsbeginn (Skala); Einstellung zur Rolle der Frau zwischen Familie und Beruf; Eignungsvergleich von Frau und Mann hinsichtlich: Aufgaben mit eigenen Ideen, berufliche Führungspositionen, Eingehen auf andere Menschen, politische Betätigung, wissenschaftliche Forschung; Einschätzung gesellschaftlicher Gleichstellung bzw. Benachteiligung der Frau in Ausbildung, Beruf, Politik, Führungspositionen sowie in der Familie; Beurteilung von Wertvorstellung und Einstellung anhand von Gegensatzpaaren zu: Emotionen als Schwäche, Bestrafung bei Gesetzesverstößen, Meinungsfreiheit, impulsivem Handeln, Wahrheitsfindung durch Identifikation, Menschen sind grundsätzlich gut; gefestigte Wertvorstellungen über: Zusammenleben der Menschen, drängende soziale Probleme der Gesellschaft, politische Ziele, Bereiche eigener Leistungsfähigkeit, persönlicher Einsatz, gesellschaftlicher Erfolg, Ziele und Aufgaben der Wissenschaft, Bedeutung von Bildung; Beurteilung der eigenen Kompetenz hinsichtlich ausgewählter gesellschaftlicher Probleme im Vergleich zur Gesamtbevölkerung (Skala: Parteienbeurteilung, Vorteile und Nachteile der Marktwirtschaft, Lage der dritten Welt und der Entwicklungsländer, Erklären und Lösen der Probleme der Jugendkriminalität, Notwendigkeit und Grenzen der Meinungsfreiheit in der Demokratie, wichtigste Reformen im Bildungswesen, Rolle der Wissenschaftler für menschliche und gesellschaftliche Entwicklung, Humanisierung der Arbeitswelt, Möglichkeit und Folgen der Gleichberechtigung, Möglichkeiten eigene politische Interessen zu vertreten); Zweck wissenschaftlichen Denkens und Arbeitens: gesicherte Wahrheit versus Interpretationen der Wirklichkeit, eigene Erkenntnis versus praktische Problemlösung; Rangfolge der wichtigsten Aufgabengebiete der Wissenschaft (technischer Fortschritt und Wohlstand, gegen Unterdrückung arbeiten, geistige Aufklärung und kulturelle Entwicklung); Einstellung zur Wissenschaft und zu Wissenschaftlern (Skala: Gesellschaftsentwicklung hängt vom wissenschaftlichen Fortschritt ab, wissenschaftliche Forschungsergebnisse hauptsächlich zugunsten der Wirtschaft, Forschungsergebnisse auch Laien vermitteln zeichnet guten Wissenschaftler aus, zu großer Einfluss auf das tägliche Leben, hauptsächlich Wissenschaftler profitieren von wissenschaftlicher Forschung, Wissenschaftler stehen gesellschaftlichen Tatbeständen kritisch gegenüber, wichtigste Wissenschaften sind die Naturwissenschaften, Wissenschaftler können frei ihre Forschungsthemen bestimmen); Forderungen an Wissenschaftler und die Wissenschaft (Skala); tatsächliche und gewünschte Wichtigkeit ausgewählter Aufgaben der Universität; Akademiker haben besondere Verantwortung gegenüber der Allgemeinheit aufgrund ihrer Universitätsausbildung; besondere Eigenschaften und Fähigkeiten unterscheiden Akademiker von Nicht-Akademikern; Vergleich ausgewählter Eigenschaften von Akademikern im Vergleich zu Nicht-Akademikern; Beurteilung der Ganztags-Berufstätigkeit einer verheirateten und finanziell abgesicherten Mutter bei Unterbringung ihres einjährigen Kindes bei einer Tagesmutter; Einstellung zu ausgewählten Motiven für sowie gegen das Verhalten der Mutter; Einschätzung der vorgenannten Problematik als rechtliches, familiäres, moralisches, finanzielles oder gesellschaftliches Problem; Beurteilung des Verhaltens eines Arztes, der einer todkranken Patientin auf deren Wunsch Sterbehilfe leistet; Einstellung zu ausgewählten Gründen für bzw. gegen das Verhalten des Arztes; Beurteilung von Sterbehilfe als rechtliches, religiöses, moralisches, humanitäres, wissenschaftliches oder gesellschaftliches Problem.
Gesellschaft: Bewertung der sozialen Unterschiede in der BRD als groß sowie als ungerecht; Einschätzung der Schichtanteile der deutschen Bevölkerung anhand von vier Skizzen; Verringerung der sozialen Unterschiede im Land ist möglich; Einstellung zur Verringerung sozialer Unterschiede; perzipierte Möglichkeit der Abschaffung der sozialen Unterschiede; Gründe gegen die Abschaffung der sozialen Unterschiede (Skala); Einstellung zu ausgewählten gesellschaftspolitischen Aussagen: soziale Unterschiede führen zu Konflikten zwischen Oben und Unten in der Gesellschaft, Erfolg durch individuellen Aufstieg statt Solidarität der unteren Schichten, Abhängigkeit der individuellen politischen Meinung von der gesellschaftlichen Stellung, Wettbewerb zerstört Solidarität, faire Chance für gesellschaftlichen Aufstieg in der BRD, ohne Wettbewerb kein gesellschaftlicher Fortschritt, Widerspruch zwischen Wirtschaft und Gesellschaft, ohne Wettbewerb keine Leistung, rechtliche Benachteiligung der sozialen Unterschicht; Entwicklung der gesellschaftlichen Aufstiegschancen in der BRD; Wichtigkeit ausgewählter Faktoren für gesellschaftlichen Erfolg; Vergleich von Akademikern und Nicht-Akademikern im Bezug auf höheres Einkommen, höheres Ansehen und größeren politischen Einfluss; Rechtfertigung von höherem Einkommen, höherem Ansehen und größerem politischen Einfluss von Akademikern im Vergleich zu Nicht-Akademikern; Beurteilung der nachfolgenden Aussagen: Forderung nach bildungs- sowie leistungsabhängiger Entlohnung, gleiches Einkommen für alle; Forderung nach Aktionen (z.B. Streiks) der sozial Benachteiligten, der Wert eines Menschen an seiner Leistung bemessen, Reformen lösen keine Probleme, Demokratisierung aller Lebensbereiche, gewaltfreie Durchsetzung von Reformen; Machtverteilung in der BRD (Gruppen, Elite, Großkapital); derzeitig verwirklichte gesellschaftliche Ziele in der BRD (materieller Wohlstand, soziale Gleichheit, individuelle Freiheit, sozialer Frieden, demokratische Mitbestimmung, soziale Sicherheit); individuelle Freiheit versus soziale Gleichheit, soziale Gleichheit versus materieller Wohlstand, materieller Wohlstand versus individuelle Freiheit; Meinung zum Verhältnis der Ziele Freiheit und Gleichheit.
Politik: Politikinteresse (international, national, lokal, studentische Politik); Art der eigenen politischen Partizipation; Einstellung zur politischen Partizipation (Skala: derzeitige Möglichkeiten sind zufriedenstellend, Gleichgültigkeit gegenüber Politik ist verantwortungslos, Normalbürger hat nicht genug Gelegenheit zu politischer Einflussnahme, politische Aktivität ist Privatsache, Neigung zum politischen Protest bei Fehlentscheidungen, Politiker sind unfair und unehrlich, keine Beurteilung komplexer politischer Probleme möglich); politische Selbsteinschätzung links/rechts im Vergleich zu den Mitbürgern, den Kommilitonen und den Eltern sowie im Vergleich zu vor 2 Jahren; Einstellung zu politischen Zielen (Bewahren der Familie, harte Bestrafung der Kriminalität, Stabilität der sozialen und wirtschaftlichen Verhältnisse, volle Mitbestimmung der Arbeitnehmer, Förderung technologischer Entwicklung, Festlegung einer Einkommenshöchstgrenze, Gleichstellung der Frau, Abschaffung des Privateigentums an Industrieunternehmen und Banken, gleiche Bildungschancen durch Reform des Schulwesens, Sicherung der freien Marktwirtschaft); Einstellung zu Toleranz und wissenschaftlichem Denken: Experten ohne eindeutige Antwort fehlt es an Kompetenz, Dankbarkeit für ruhiges, geregeltes Leben, Präferenz für Menschen mit gleicher Meinung, alle sollten gleiche Werte annehmen, schematisches Leben kostet Lebensfreude, Interesse an unkonventionellen Menschen, Ja-/Nein-Antworten sind zu einfach, Präferenz für Aufgabenstellungen, die Kreativität zulassen.
Lebensbereiche und Selbstbild: Wichtigkeit ausgewählter Lebensbereiche; Wichtigkeit ausgewählter Erziehungsziele; Selbstcharakterisierung anhand einer Eigenschaftenliste (Selbstbild); Einschätzung der Chancen auf Selbstbestimmung oder Abhängigkeit von gesellschaftlichen Anforderungen; persönliche Eigenschaften oder Zufälligkeiten als lebensbestimmend (externe Kontrolle); Einfluss des Hochschulstudiums auf die eigene Einstellung zur Politik, Wissenschaft, die eigene Zukunft, die Gesellschaft, sich selbst und Religion; Beeinflussung der eigenen Orientierung durch die Hochschullehrer, Kommilitonen, Lehrinhalt des Fachstudiums, Fachinhalte anderer Studiengebiete bzw. durch das studentische Leben allgemein; empfundener Gruppendruck an der eigenen Universität; Freude am Studentendasein.
Zusätzlich verkodet wurde: Verständnisprobleme beim Ausfüllen des Fragebogens; problemtische Antwortvorgaben; Unsicherheit bei der Beantwortung der Fragen; Diskussion mit anderen über die Fragen.
Demographie: Alter (Geburtsjahr); Geschlecht; erstes und zweites Hauptfach; erstes und zweites Nebenfach; Tätigkeit nach dem Abitur (Bundeswehr, Ersatzdienst, Direktstudium; anderes Studium und Studienart; Semesterzahl; Studienabschluss; andere Ausbildung und Art dieser Ausbildung; Ausbildungsdauer; Ausbildungsabschluss; Berufstätigkeit und Dauer der Berufstätigkeit; Jahr des Abiturs; Hochschulsemester; Fachsemester.
2. Welle: Derzeitige Tätigkeit; Beendigung des Hauptstudiums; Anzahl der Fachsemester bis zum Abschluss; Promotionsabsicht; Wechsel des Hauptfachs nach dem Wintersemester 1979/80; erstes und zweites Hauptfach; retrospektiv gesehen: erneute Entscheidung für das gleiche Studium, ein anderes Fach oder eine andere Ausbildung und Art dieser Ausbildungsfächer; Durchschnittsnote der Hauptprüfung bzw. des Diploms; Zufriedenheit mit dem Ergebnis der Abschlussprüfung; erfahrene Förderung der eigenen Persönlichkeit im Studium in ausgewählten Bereichen; retrospektive Zufriedenheit mit der Art des Aufbaus des Fachstudiums; Einschätzung der Nützlichkeit für die persönliche Entwicklung und die Verbesserung von Berufsaussichten, durch: Hochschulwechsel, Forschungspraktika, Auslandsstudium, Spezialisierung, fachübergreifendes Studium, Anwendung theoretischen Wissens auf Alltagsprobleme, praktische Arbeitserfahrung außerhalb der Hochschule, hochschulpolitisches Engagement, schnellen Studienabschluss.
Beruf: Sicherheit der bereits getroffenen Berufswahl; angestrebte Tätigkeitsbereiche; Einschätzung der Berufsaussichten; geschätzte Anzahl weiterer Studiensemester; empfundene persönliche Belastung durch: die eigene finanzielle Situation, unsichere Berufsaussichten, Leistungsanforderungen im Studium, bevorstehende Prüfungen, Anonymität an der Hochschule, Wohnsituation, die Situation als Student generell; Art der Beschäftigung; Art des Arbeitsverhältnisses; derzeitige Tätigkeit entspricht dem angestrebten Beruf; Tätigkeitsbereich; Dauer der jetzigen Tätigkeit; Berufs- oder Stellenwechsel seit Studienabschluss; Arbeitslosigkeit seit Abgang von der Hochschule und Arbeitslosigkeitsdauer; Schwierigkeiten beim Übergang in den Beruf; Möglichkeit einer besseren beruflichen Stellung in 5 Jahren (Karriereerwartung); persönliche Schwierigkeiten durch die Berufstätigkeit (Lebensweise als Berufstätiger, Kollegen, Vorgesetzte, Leistungsanforderungen, Einbringen eigener Interessen, veränderte Arbeitsweise, Vereinbarkeit von Beruf und Familie); Vergleich der Anforderungen im Studium und im Beruf (Kreativität, Fleiß, Kritikfähigkeit, Selbständigkeit, Selbstbewusstsein und Durchsetzungsfähigkeit, Kooperationsfähigkeit, Verantwortungsbereitschaft, Anpassungsfähigkeit und Zuverlässigkeit); berufliche Anforderungen und deren Bewertung durch den Befragten; allgemeine Bewertung des eigenen Berufseinstiegs; Charakterisierung der derzeitigen Berufstätigkeit hinsichtlich: Arbeitszufriedenheit, Möglichkeit anderen zu helfen, Verwirklichung eigener Ideen, wissenschaftliche Tätigkeit, hohes Einkommen, gute Aufstiegsmöglichkeiten, Arbeitsplatzsicherheit, Arbeitsbelastung, Anwendung fachlicher Fähigkeiten); Nutzen des Studiums für den Beruf; Änderung der Berufspläne in den letzen zwei Jahren; Zuversicht oder Befürchtungen für die berufliche Zukunft; Einschätzung des Arbeitslosigkeitsrisikos von Absolventen der eigenen Fachrichtung; vermutete Benachteiligung von Frauen bei der Anstellung im eigenen Berufsfeld; Präferenz für neigungsorientiertes oder an späteren Berufschancen orientiertes Studium; Höhe des monatlichen Bruttogehalts einschließlich BAföG; erwartetes monatliches Bruttogehalt nach zehn Jahren Berufstätigkeit.
Berufliche Wertvorstellungen (Skala); erwartete Übereinstimmung dieser Wertvorstellungen mit dem zukünftigen Beruf; Charakterisierung des eigenen Verhaltens anhand von Gegensatzpaaren (Bewältigung neuer und komplizierter Aufgaben, Prüfungsangst, Gespräche mit Lehrenden, Prüfungssituation); Charakterisierung der Gesellschaft der BRD, der Universität sowie des eigenen Berufsfeldes anhand von Eigenschaften (human, fortschrittlich, autoritär, reformbedürftig, unbeweglich, leistungsfähig und anonym); Schichtzugehörigkeit der Eltern und Selbsteinschätzung der Schichtzugehörigkeit in zehn Jahren (Oben-Unten-Skala); Einstellung zur Vereinbarkeit von Familie und Beruf für Frauen; Eignungsvergleich von Frau und Mann hinsichtlich: Aufgaben mit eigenen Ideen, berufliche Führungspositionen, Eingehen auf andere Menschen, politische Betätigung, wissenschaftliche Forschung; gesellschaftliche Gleichstellung bzw. Benachteiligung der Frau in der Hochschule, in anderen Ausbildungen, im Beruf, in der Politik, in Führungspositionen sowie in der Familie; Bewertung von Aussagen anhand von Gegensatzpaaren zu: Emotionen als Indikator für Schwäche, Bestrafung bei Gesetzesverstößen, Meinungsfreiheit, impulsivem Handeln, Wahrheitsfindung durch Identifikation, Menschen sind grundsätzlich gut; Unsicherheit bzw. feste Vorstellungen über: wichtigste Werte für das Zusammenleben der Menschen, drängende soziale Probleme der Gesellschaft, Unterstützung politischer Ziele, Bereiche eigener Leistungsfähigkeit, persönlicher Einsatz im Leben, Kriterien für gesellschaftlichen Erfolg, Ziele wissenschaftlichen Arbeitens; Bedeutung von Lernen und Bildung für den Einzelnen, Anforderungen im Berufsleben, Rolle der Akademiker in der Gesellschaft; Beurteilung der eigenen Kompetenz hinsichtlich der Bewertung ausgewählter gesellschaftlicher Fragestellungen im Vergleich zur Gesamtbevölkerung (Skala: politische Ziele der Parteien in der BRD beurteilen, Vorteile und Nachteile der Marktwirtschaft, Lage der dritten Welt und der Entwicklungsländer, Erklären und Lösen der Probleme der Jugendkriminalität, Notwendigkeit und Grenzen der Meinungsfreiheit in der Demokratie, wichtigste Reformen im Bildungswesen, Rolle der Wissenschaft für die menschliche und gesellschaftliche Entwicklung, Humanisierung der Arbeitswelt, Möglichkeit und Folgen der Gleichberechtigung, Möglichkeiten eigene politische Interessen zu vertreten); Selbstcharakterisierung hinsichtlich: breites Allgemeinwissen, kritisch und problembewusst, logisches und analytisches Denken, ordentliches und pünktliches Arbeiten, Bevorzugung verantwortungsbewusster Aufgaben, Fähigkeit eine leitende Position einzunehmen.
Wissenschaft und Akademiker: Zweck wissenschaftlichen Denkens und Arbeitens: gesicherte Wahrheit versus Interpretationen der Wirklichkeit, Grundlagenforschung versus praktische Problemlösung; Einstellung zur Wissenschaft und zu Wissenschaftlern (Skala: Gesellschaftsentwicklung hängt vom wissenschaftlichen Fortschritt ab, wissenschaftliche Forschungsergebnisse hauptsächlich zugunsten der Wirtschaft, Forschungsergebnisse auch Laien vermitteln zeichnet guten Wissenschaftler aus, zu großer Einfluss auf das tägliche Leben, hauptsächlich Wissenschaftler profitieren von wissenschaftlicher Forschung, Wissenschaftler stehen gesellschaftlichen Tatbeständen kritisch gegenüber, wichtigste Wissenschaften sind die Naturwissenschaften, Wissenschaftler können frei ihre Forschungsthemen bestimmen); Aussagen der Wissenschaftler sind zu widersprüchlich um gesellschaftlich hilfreich zu sein; Rangfolge der wichtigsten Aufgabengebiete der Wissenschaft (Wohlstand durch technischen Fortschritt, gegen Unterdrückung arbeiten, geistige und kulturelle Entwicklung); Forderungen an Wissenschaftler und die Wissenschaft (Skala); tatsächliche und gewünschte Wichtigkeit ausgewählter Aufgaben der Universität; Einstellung zu Toleranz und wissenschaftlichem Denken: Experten ohne eindeutige Antwort fehlt es an Kompetenz, Interesse an unkonventionellen Menschen, Präferenz für Menschen mit gleicher Meinung, Ja-/Nein-Antworten sind zu einfach, schematisches Leben kostet Lebensfreude, Wunsch nach ruhigem, geregeltem Leben, alle sollten gleiche Werte annehmen, Präferenz für Aufgabenstellungen, die Kreativität zulassen; besondere Verantwortung Akademiker gegenüber der Allgemeinheit aufgrund ihrer Universitätsausbildung; besondere Eigenschaften und Fähigkeiten unterscheiden Akademiker von Nicht-Akademikern; Vergleich ausgewählter Eigenschaften von Akademikern im Vergleich zu Nicht-Akademikern (Selbstbild); Vorbereitung von Akademikern im Vergleich zu Nicht-Akademikern für ausgewählte Aufgaben: Formulierung gesellschaftlicher Ziele, Beurteilung politischer Ereignisse und Verhältnisse, Entwicklung neuer Ideen, Führungspositionen einnehmen, Meistern schwieriger Situationen im Beruf, Aufklärung der Bevölkerung über sozialpolitische Entwicklungen; Rolle der Frau: Beurteilung der Ganztags-Berufstätigkeit einer verheirateten und finanziell abgesicherten Mutter bei Unterbringung ihres einjährigen Kindes bei einer Tagesmutter; Beurteilung dieses Verhaltens fällt leicht oder schwer; Einstellung zu ausgewählten Gründen für sowie gegen das Verhalten der Mutter; Beurteilung des Verhaltens eines Arztes, der einer todkranken Patientin auf deren Wunsch Sterbehilfe leistet; Beurteilung dieses Verhaltens fällt leicht oder schwer; Einstellung zu ausgewählten Gründen für bzw. gegen das Verhalten des Arztes.
Gesellschaft: Bewertung der sozialen Unterschiede in der BRD als groß sowie als ungerecht; Einschätzung der Schichtanteile in der deutschen Bevölkerung anhand von vier Skizzen; perzipierte Chance zur Verringerung der sozialen Unterschiede; Einstellung zu einer Verringerung sozialer Unterschiede; Abschaffung der sozialen Unterschiede im Land wird als möglich eingeschätzt; Einstellung zu ausgewählten Gründen gegen die Abschaffung der sozialen Unterschiede (Skala); Einstellung zu ausgewählten gesellschaftspolitischen Aussagen: soziale Unterschiede führen zu Konflikten zwischen Oben und Unten in der Gesellschaft, Erfolg durch individuellen Aufstieg statt Solidarität der unteren Schichten, Abhängigkeit der politischen Meinung von der gesellschaftlichen Stellung, Wettbewerb zerstört Solidarität, faire Chance für gesellschaftlichen Aufstieg in der BRD, ohne Wettbewerb kein gesellschaftlicher Fortschritt, Widerspruch zwischen Wirtschaft und Gesellschaft, ohne Wettbewerb keine Leistung, rechtliche Benachteiligung der sozialen Unterschicht; Entwicklung der gesellschaftlichen Aufstiegschancen in der BRD; Wichtigkeit ausgewählter Faktoren für gesellschaftlichen Erfolg; Vergleich von Akademikern und Nicht-Akademikern im Bezug auf Einkommen, Ansehen und politischen Einfluss; höheres Einkommen, höheres Ansehen und größerer politischer Einfluss von Akademikern im Vergleich zu Nicht-Akademikern sind gerechtfertigt; Beurteilung der Aussagen: Forderung nach bildungs- sowie leistungsabhängiger Entlohnung, gleiches Einkommen für alle, direkte Aktionen (z.B. Streiks) der sozial Benachteiligten, den Wert eines Menschen an seiner Leistung bemessen, Reformen lösen keine Probleme, Demokratisierung aller Lebensbereiche, gewaltfreie Durchsetzung von Reformen; Machtverteilung in der BRD (Gruppen, Elite, Großkapital); derzeitige Verwirklichung gesellschaftlicher Ziele in der BRD (materieller Wohlstand, soziale Gleichheit, individuelle Freiheit, sozialer Frieden, demokratische Mitbestimmung, soziale Sicherheit); Abwägung der Gegensätze: individuelle Freiheit versus soziale Gleichheit, soziale Gleichheit versus materieller Wohlstand, materieller Wohlstand versus individuelle Freiheit; Meinung zum Verhältnis der Ziele Freiheit und Gleichheit.
Politik: Politikinteresse (international, national, lokal, Hochschulpolitik); Art der selbst praktizierten politischen Partizipation; Einstellung zur politischen Partizipation (Skala: derzeitige Möglichkeiten sind zufriedenstellend, Gleichgültigkeit gegenüber Politik ist verantwortungslos, Normalbürger hat nicht genug Gelegenheit zu politischer Einflussnahme, politische Aktivität ist Privatsache, Neigung zum politischen Protest bei Fehlentscheidungen, Politiker sind unfair und unehrlich, keine Beurteilung komplexer politischer Probleme möglich); politische Selbsteinschätzung auf einem Links-Rechts-Kontinuum im Vergleich zur Allgemeinheit im Land, den Kollegen, den Eltern sowie im Vergleich zu der Zeit vor zwei Jahren; Einstellung zu politischen Zielen (Bewahren der Familie, harte Bestrafung der Kriminalität, Stabilität der sozialen und wirtschaftlichen Verhältnisse, volle Mitbestimmung der Arbeitnehmer, Förderung technologischer Entwicklung, Festlegung einer Einkommenshöchstgrenze, Gleichstellung der Frau, Abschaffung des Privateigentums an Industrieunternehmen und Banken, gleiche Bildungschancen durch Reform des Schulwesens, Sicherung der freien Marktwirtschaft und des privaten Unternehmertums, Erhöhung der Verteidigung und der militärischen Anstrengungen sowie Priorität des Umweltschutzes vor wirtschaftlichem Wachstum); Wichtigkeit ausgewählter Erziehungsziele.
Lebensbereiche und Selbstbild: Wichtigkeit ausgewählter Lebensbereiche; Selbstcharakterisierung anhand einer Eigenschaftsliste; Einschätzung der Chance auf Selbstbestimmung oder Abhängigkeit von gesellschaftlichen Anforderungen; persönlichen Eigenschaften oder Zufälligkeiten als lebensbestimmend (externe Kontrolle); Einfluss des Hochschulstudiums auf die eigene Einstellung zu Politik, Wissenschaft, die eigene Zukunft, die Gesellschaft, sich selbst und Religion; Beeinflussung der eigenen Orientierungen durch die Hochschullehrer, Kommilitonen, Lehrinhaltes des Fachstudiums, Fachinhalte anderer Studiengebiete bzw. durch das studentische Leben allgemein; Freude am Studentendasein; Forschungsbericht über dieses Projekt bereits gelesen; Beurteilung des Forschungsberichts.
Demographie: Familienstand; Anzahl der Kinder.
Zusätzlich verkodet wurde: Interviewnummer.
3. Welle: Beendigung des Hauptstudiums; Anzahl der Fachsemester bis zum Abschluss; derzeitige Tätigkeit; Promotionspläne; Studium und Studienzeit; Hauptfachwechsel nach dem Wintersemester 1981/1982; Zweit- oder Aufbaustudium beendet; erstes bzw. zweites Hauptfach; erneute Entscheidung für das gleiche Studium, ein anderes Fach oder eine andere Ausbildung aus der Rückschau und Art der dann bevorzugten Ausbildungsfächer; Durchschnittsnote der Abschlussprüfung bzw. des Diploms; Zufriedenheit mit dem Ergebnis der Abschlussprüfung; erfahrene Förderung der eigenen Persönlichkeit im Studium in ausgewählten Bereichen; Einschätzung der Nützlichkeit für die persönliche Entwicklung und die Verbesserung von Berufsaussichten durch: Hochschulwechsel, Forschungspraktika, Auslandsstudium, Spezialisierung, fachübergreifendes Studium , Anwendung theoretischen Wissens auf Alltagsprobleme, praktische Arbeitserfahrung außerhalb der Hochschule, hochschulpolitisches Engagement, schneller Studienabschluss; Selbstkritik zum eigenen Studienverlauf; Sicherheit der Entscheidung über die eigene zukünftige Berufswahl; angestrebter Tätigkeitsbereich; Einschätzung der Berufsaussichten; persönliche Belastung durch die eigene finanzielle Lage bzw. unsichere Berufsaussichten; voraussichtliche restliche Semesterzahl; Beschäftigungsstatus (Vollzeit, Teilzeit oder Gelegenheitstätigkeit) und Art des Befristungsverhältnisses; derzeitige Tätigkeit entspricht dem angestrebten Beruf; Tätigkeitsbereich; Tätigkeitsdauer; Berufs- oder Stellenwechsel seit Studienabschluss; arbeitslos bzw. arbeitssuchend seit Ende des Hochschulstudiums und Arbeitslosigkeitsdauer; Erfahrungen beim Übergang in den Beruf; Zeitraum vom Examen bis zur ersten Stelle in Monaten; Anzahl der Bewerbungen bis zur ersten Stelle; Möglichkeit einer besseren beruflichen Stellung in 5 Jahren (Karriereerwartung); Vergleich der Anforderungen im Studium und im Beruf (Kreativität, Fleiß, Kritikfähigkeit, Selbständigkeit, Selbstbewusstsein und Durchsetzungsfähigkeit, Kooperationsfähigkeit, Verantwortungsbereitschaft, Anpassungsfähigkeit, Zuverlässigkeit); berufliche Anforderungen und deren Bewertung durch den Befragten; persönliche Schwierigkeiten bei der Anpassung an die Berufstätigkeit (Lebensweise als Berufstätiger, Kollegen, Vorgesetzte, Leistungsanforderungen, Einbringen eigener Interessen, veränderte Arbeitsweise, Vereinbarkeit von Beruf und Familie); leichter oder schwerer Berufseinstieg; Nutzen des Studiums für den Beruf; Änderung der Berufspläne in den letzten zwei Jahren; Zuversicht; Befürchtungen für die berufliche Zukunft; Einschätzung des Arbeitslosigkeitsrisikos von Absolventen der eigenen Fachrichtung; Benachteiligung von Frauen bei der Anstellung im eigenen Beruf; Präferenz für neigungsorientiertes oder an späteren Berufschancen orientiertem Studium; Höhe des monatlichen Bruttogehalts und erwartetes monatliches Bruttoeinkommen nach zehn Jahren Berufstätigkeit; berufliche Wertvorstellungen; erwartete Übereinstimmung dieser Wertvorstellungen mit dem Beruf; Charakterisierung der derzeitigen bzw. zukünftigen Berufstätigkeit hinsichtlich: Arbeitszufriedenheit, Möglichkeit anderen zu helfen, Verwirklichung eigener Ideen, wissenschaftliche Tätigkeit, hohes Einkommen, gute Aufstiegsmöglichkeiten, Arbeitsplatzsicherheit, Arbeitsbelastung, Anwendbarkeit fachlicher Fähigkeiten); Charakterisierung der Gesellschaft der BRD, der Universität sowie des eigenen Berufsfeldes anhand von Eigenschaften (human, fortschrittlich, autoritär, reformbedürftig, unbeweglich, leistungsfähig und anonym); Schichtzugehörigkeit der Eltern; Selbsteinschätzung der Schichtzugehörigkeit in zehn Jahren (Oben-Unten-Skala); Einstellung zur Vereinbarkeit von Familie und Beruf für Frauen; Eignungsvergleich von Frau und Mann hinsichtlich: Aufgaben mit eigenen Ideen, berufliche Führungspositionen, Eingehen auf andere Menschen, politische Betätigung, wissenschaftliche Forschung; Einschätzung der gesellschaftlichen Gleichstellung bzw. Benachteiligung der Frau in der Hochschule, in der Ausbildung, Berufswelt, Politik, Führungspositionen sowie in der Familie; Bewertung von Aussagen anhand von Gegensatzpaaren: Emotionen als Indikator für Schwäche, Bestrafung bei Gesetzesverstößen, Meinungsfreiheit, impulsivem Handeln, Wahrheitsfindung durch Identifikation, Menschen sind grundsätzlich gut; Unsicherheit bzw. feste Vorstellungen über: wichtigste Werte für das Zusammenleben der Menschen, drängende soziale Probleme der Gesellschaft, Unterstützung politischer Ziele, Bereiche eigener Leistungsfähigkeit, persönlicher Einsatz im Leben, Kriterien für gesellschaftlichen Erfolg, Ziele wissenschaftlichen Denkens, Bedeutung von Bildung für den Einzelnen, Anforderungen im Berufsleben, Rolle von Akademikern in der Gesellschaft; Beurteilung der eigenen Kompetenz hinsichtlich der Bewertung ausgewählter gesellschaftlicher Fragestellungen im Vergleich zur Gesamtbevölkerung (Skala: politische Ziele der Parteien in der BRD, Vorteile und Nachteile der Marktwirtschaft, Lage der dritten Welt und der Entwicklungsländer, Erklären und Lösen der Probleme der Jugendkriminalität, Notwendigkeit und Grenzen der Meinungsfreiheit in der Demokratie, wichtigste Reformen im Bildungswesen, Rolle der Wissenschaft für die menschliche und gesellschaftliche Entwicklung, Humanisierung der Arbeitswelt, Möglichkeit und Folgen der Gleichberechtigung, Möglichkeiten eigene politische Interessen zu vertreten); Selbstcharakterisierung: breites Allgemeinwissen, kritisch und problembewusst, logisches und analytisches Denken, ordentliches und pünktliches Arbeiten, Bevorzugung verantwortungsbewusster Aufgaben, Fähigkeit zu einer leitenden Position.
Wissenschaft und Akademiker: Zweck wissenschaftlichen Denkens und Arbeitens: gesicherte Wahrheit versus Interpretationen der Wirklichkeit, Grundlagenforschung versus praktische Problemlösung; Einstellung zur Wissenschaft und zu Wissenschaftlern (Skala: Gesellschaftsentwicklung hängt vom wissenschaftlichen Fortschritt ab, wissenschaftliche Forschungsergebnisse hauptsächlich zugunsten der Wirtschaft, zu großer Einfluss auf das tägliche Leben, widersprüchliche Aussagen von Wissenschaftlern sind wenig hilfreich für gesellschaftliche Entwicklung); Forderung nach Orientierung der wissenschaftlichen Forschung an: Sammlung objektiver Daten, Konzentration auf Theorien und Hypothesen, die objektiv überprüfbar sind bzw. auf direkte Erfahrung und unmittelbare Einsicht; Rangfolge der wichtigsten Aufgabengebiete der Wissenschaft (Wohlstand durch technischen Fortschritt, gegen Unterdrückung arbeiten, geistige und kulturelle Entwicklung); Forderungen an Wissenschaftler und die Wissenschaft (Skala); tatsächliche und gewünschte Wichtigkeit ausgewählter Aufgaben der Universität; Einstellung zu Toleranz und wissenschaftlichem Denken: Experten ohne eindeutige Antwort fehlt es an Kompetenz, Interesse an unventionellen Menschen, Präferenz für Menschen mit gleicher Meinung, Ja-/Nein-Antworten sind zu einfach, schematisches Leben kostet Lebensfreude, Wunsch nach ruhigem, geregeltem Leben, alle sollten gleiche Werte annehmen; Präferenz für Aufgabenstellungen, die Kreativität zulassen; besondere Verantwortung von Akademikern gegenüber der Allgemeinheit aufgrund ihrer Universitätsausbildung; besondere Eigenschaften und Fähigkeiten unterscheiden Akademiker von Nicht-Akademikern; Vergleich ausgewählter Eigenschaften von Akademikern im Vergleich zu Nicht-Akademikern (Selbstbild); Vorbereitung von Akademikern im Vergleich zu Nicht-Akademikern für ausgewählte Aufgaben: Formulierung gesellschaftlicher Ziele, Beurteilung politischer Ereignisse und Verhältnisse, Entwicklung neuer Ideen, Führungspositionen einnehmen, Meistern schwieriger Situationen im Beruf, Aufklärung der Bevölkerung über sozialpolitische Entwicklungen; Beurteilung der Ganztags-Berufstätigkeit einer verheirateten und finanziell abgesicherten Mutter bei Unterbringung ihres einjährigen Kindes bei einer Tagesmutter; Einstellung zu ausgewählten Gründen für sowie gegen das Verhalten der Mutter; Einschätzung der vorgenannten Problematik als rechtliches, familiäres, moralisches, finanzielles oder gesellschaftliches Problem; Beurteilung des Verhaltens eines Arztes, der einer todkranken Patientin auf deren Wunsch Sterbehilfe leistet; Einstellung zu ausgewählten Gründen für bzw. gegen das Verhalten des Arztes; Beurteilung von Sterbehilfe als rechtliches, religiöses, moralisches, humanitäres, wissenschaftliches oder gesellschaftliches Problem.
Gesellschaft: Bewertung der sozialen Unterschiede in der BRD als groß sowie als ungerecht; Einschätzung der Schichtanteile der deutschen Bevölkerung anhand von vier Skizzen; perzipierte Chance zur Verringerung der sozialen Unterschiede; Einstellung zu einer Verringerung sozialer Unterschiede; Abschaffung der sozialen Unterschiede im Land ist möglich; Einstellung zu ausgewählten Gründen gegen die Abschaffung der sozialen Unterschiede (Skala); Einstellung zu ausgewählten gesellschaftspolitischen Aussagen: soziale Unterschiede führen zu Konflikten zwischen Oben und Unten in der Gesellschaft, Erfolg durch individuellen Aufstieg statt Solidarität der unteren Schichten, Abhängigkeit der politischen Meinung von der gesellschaftlichen Stellung, Wettbewerb zerstört Solidarität, faire Chance für gesellschaftlichen Aufstieg in der BRD, ohne Wettbewerb kein gesellschaftlicher Fortschritt, Widerspruch zwischen Wirtschaft und Gesellschaft, ohne Wettbewerb keine Leistung, rechtliche Benachteiligung der sozialen Unterschicht; Einkommen richtet sich vor allem nach Leistung; Entwicklung der gesellschaftlichen Aufstiegschancen in der BRD; Wichtigkeit ausgewählter Faktoren für gesellschaftlichen Erfolg; Vergleich von Akademikern und Nicht-Akademikern im Bezug auf höheres Einkommen, höheres Ansehen und größeren politischen Einfluss; höheres Einkommen, höheres Ansehen und größerer politischer Einfluss von Akademikern im Vergleich zu Nicht-Akademikern sind gerechtfertigt; Beurteilung der Aussagen: Forderung nach bildungs- sowie leistungsabhängiger Entlohnung; gleiches Einkommen für alle; direkte Aktionen (z.B. Streiks) der sozial Benachteiligten; den Wert eines Menschen an seiner Leistung bemessen, Reformen lösen keine Probleme; gewaltfreie Durchsetzung von Reformen; Machtverteilung in der BRD (Gruppen, Elite, Großkapital); perzipierte Verwirklichung gesellschaftlicher Ziele in der BRD (materieller Wohlstand, soziale Gleichheit, individuelle Freiheit, sozialer Frieden, demokratische Mitbestimmung, soziale Sicherheit); Abwägen der Gegensätze: individuelle Freiheit versus soziale Gleichheit, soziale Gleichheit versus materieller Wohlstand, materieller Wohlstand versus individuelle Freiheit; Meinung zum Verhältnis der Ziele Freiheit und Gleichheit.
Politik: Politikinteresse (international, nationalpolitisch, lokalpolitisch, studentische Politik); Art der selbst praktizierten politischen Partizipation; Einstellung zur politischen Partizipation (Skala: derzeitige Möglichkeiten sind zufriedenstellend, Gleichgültigkeit gegenüber Politik ist verantwortungslos, Normalbürger hat nicht genug Gelegenheit zu politischer Einflussnahme, politische Aktivität ist Privatsache, Neigung zum politischen Protest bei Fehlentscheidungen, Politiker sind unfair und unehrlich, keine Beurteilung komplexer politischer Probleme möglich); politische Selbsteinschätzung auf einem Links-Rechts-Kontinuum im Vergleich mit der Allgemeinheit im Land und den Kollegen sowie im Vergleich zu vor zwei Jahren; Einstellung zu politischen Zielen (Bewahren der Familie, harte Bestrafung der Kriminalität, Stabilität der sozialen und wirtschaftlichen Verhältnisse, volle Mitbestimmung der Arbeitnehmer, Förderung technologischer Entwicklung, Festlegung einer Einkommenshöchstgrenze, Gleichstellung der Frau, Abschaffung des Privateigentums an Industrieunternehmen, gleiche Bildungschancen durch Reform des Schulwesens, Sicherung der freien Marktwirtschaft, Erhöhung der Verteidigungskraft und der militärischen Anstrengungen, Priorität von Umweltschutz vor Wirtschaftswachstum).
Lebensbereiche und Selbstbild: Erziehungsziele; Wichtigkeit ausgewählter Lebensbereiche; Selbstcharakterisierung anhand einer Eigenschaftsliste (Selbstbild); Charakterisierung des eigenen Verhaltens anhand von Gegensatzpaaren (Bewältigung neuer und komplizierter Aufgaben, Prüfungsangst, Gespräche mit Lehrenden, Prüfungssituation); Einschätzung der Chancen auf Selbstbestimmung sowie Abhängigkeit von gesellschaftlichen Anforderungen, persönlichen Eigenschaften oder Zufälligkeiten als lebensbestimmend (externe Kontrolle); Einfluss des Hochschulstudiums auf die eigene Einstellung zur Politik, Wissenschaft, die eigene Zukunft, die Gesellschaft, sich selbst und Religion; Beeinflussung der eigenen Orientierungen durch die Hochschullehrer, Kommilitonen, Lehrinhaltes des Fachstudiums, Fachinhalte anderer Studiengebiete durch das studentische Leben allgemein und durch die Berufserfahrung; Freude am Studentendasein; Forschungsbericht über dieses Projekt bereits gelesen.
In: Gratchev , D A 2004 , ' Problematika termina abstraktnyj avtor i charakternye certy abstraktnych avtorov v russkich bol'sich narrativach 20-30-ch godov XX veka ' , Doctor of Philosophy .
This study is based on the twin exigencies of introducing the concept of abstract author into the scheme of narrative construction, and distinguishing sharply between this object of analysis and the concepts of concrete author and narrator. In accordance with the definition advanced by Wolf Schmid, whose vision on the issues of narrative instances appears most judicious, the abstract author ('der abstrakte Autor') can be defined as 'the principle that, in a work, determines the articulatory layer, the semantic layer, and the layer of the objectivity deployed, as well as the aesthetic organisation and the hierarchy of these layers in the total structure in one specific way' ('dasjenige Prinzip, das in einem Werk die sprachlautliche Schicht, die Bedeutungsschicht und die Schicht der dargestellten Gegenständlichkeiten sowie die ästhetische Organisation und Hierarchie dieser Schichten in der Gesamtstruktur so und nicht anders beschaffen sein lässt', Schmid 1973. S.24). More succinctly and generally, the abstract author (henceforth: AA) is the principle according to which the meaning of a literary work is constructed. If we wish to switch from phenomenological to structuralist terminology, we can define the AA as the construction principle of the paradigmatic elements of the work. Thus the AA is fundamentally distinguished from both the concrete author and from the narrator in whose name (voice) the story is being told – itself a creation of the AA. This means that the latter is not directly represented in the text, in view of the fact that it is a reconstructed virtual construction. Naturally, this aspect of the AA considerably complicates a study devoted to the reconstruction of various types of AAs as regards concrete literary texts (in our case, great Russian prose forms from the 1920s and 1930s) in view of the fact that it cannot be based on the principle of the reconstruction according to which the AA must be reconstructed. Taking into account that a) no single reconstruction principle could ever be exhaustively explained, and b) various interpretations of facts and motives are possible even within a single analytical doctrine, the final result of this kind of reconstruction will unavoidably contain fairly controversial or debatable aspects. In principle, a certain objectivity could be achieved by blending a large number of different analytical strategies in order to arrive at a reconstruction of the AA, but in view of the fact that this kind of undertaking is not able to be carried out within the framework of a dissertation project, one is obliged to accept a priori a certain sketchiness in the results obtained. As regards methodology, we considered it better to base our undertaking on a structuralistic approach. This does not mean, however, that we regard structuralism as a methodological panacea. Our choice was ultimately determined by the fact that the conclusions reached on the basis of structuralistic analysis are highly illustrative, in the sense that the mechanism of deduction can be represented in the form of logically unambiguous causality. At points where the conclusions of the structuralistic approach appeared to us to be incomplete representations of a work's meaning, we resorted to other approaches. In order to analyse texts from the period in question (the 1920s and 1930s) we applied an analysis model first presented by B. A. Uspensky, and subsequently elaborated by W. Schmid, albeit it with a few specifications, which will be discussed shortly. The Uspensky-Schmid model is based on the division and analysis of the narrative into five levels: spatial, temporal, phraseological, psychological and ideological. It is a rather economic and practical scheme which provides a thorough analysis. Our refinement refers only to the last, ideological, level. We recognize J. Lintvelt's view (Lintvelt 1981) which does not see this as a separate layer, basing his argument on its intertwining with other levels. However, W. Schmid insisted on its retention, indicating that it could also manifest itself independently of the other levels, namely, as a direct, explicit evaluation. In this case the ideological level is then a facultative phenomenon only functional in the narrative scheme of the text when there are explicit ideological utterances. We propose using an old definition of ideology set down by A. J. Greimas and J. Courtés, who, in Sémiotique. Dictionnaire raisonné de la théorie du langue (1979), define ideology as the syntagmatic aspect of the taxonomic concept of axiology. The acceptance of this definition brings with it a number of important consequences: 1) In view of the fact that the narrative text, a product of subjective consciousness, inevitably consists of axiologically meaningful relationships, the axiological level is an immanent element of every narrative text, independent of explicitly manifested ideological rhetoric. 2a) Regardless of its intertwining with the syntagmatics of other narrative levels, there is still the possibility of a paradigmatic reconstruction of the ideology, based on the axiomatics of these narrative levels. 2b) If the analysis of the other four levels is correctly executed, the ideology component will inevitably be the most concise, since it merely summarises all the conclusions that are drawn from analyses of the other levels and brings them into the required equilibrium. After all, to formulate it slightly differently, analysis means the exposure of the axiologically meaningful relationships that have been imposed on the text by the abstract author. Additionally, the mutual hierarchy of the narrative instances must be further determined, a specification one must consistently take into account as one reconstructs the AA. The point at issue here is the more detailed determination of the hierarchical dispositions of instances of abstract author and abstract reader due to Bely's death? Should Moscow be supplemented by the novel Petersburg by the same author because it is apparently symmetrical to Moscow? In that case, should we not also expand the notion of the analysed text to include the novel The silver dove, the first part of an unwritten trilogy of which the novel Petersburg is the second part, etc.? Such questions are allied to the concept of text itself and can arise in infinite shapes and quantities; it is clear that the AA's structure depends on how we respond to them. In our opinion the answers to such questions fall within the competency of the abstract reader who is, par excellence, sensitive to the literary work's nuances in meaning. For this reason we suggest representing the relationship between the abstract author and the abstract reader as an opposition between the principle to be reconstructed and the reconstructing principle, which presupposes a corresponding hierarchical disposition between both. Furthermore, more precision is needed with respect to the analytical methods used in this study. Taking into account the fact that, ideally, the perfectly accurate researcher should concur with the abstract reader, as outlined above, it is useful to call to mind the following aspects: a) the infinitely great competency of the abstract reader with regard to all intertextual connections of a given work and with regard to all meaningful connections, in all their variations, of the work with the extra-literary world – from social-political realia to the psychic circumstances of the concrete author. b) the infinite analytical flexibility of the abstract reader who uses the greatest possible quantity of analytical methods in his interpretative strategy, aiming at the most complete reconstruction of the AA. In view of the fact that, within the framework of a rather restricted study, it is not possible to present a more or less complete description of the AA of even a single work by means of the methodology of even a single analytical approach, it is advisable to limit the analysis to a single feature, albeit one that is shared by the majority of the chosen texts. This means we have mainly confined our efforts to the particular construction which governed the generation of the selected individual texts and which we could provisionally indicate as the abstract meta-author. We believe that the principle of negative anthropology, which – at least regarding Russian literature – was new in the first third of the twentieth century and which contains the denial or explicit 'denigration' of all manifestations of the specifically human, constitutes this kind of integral concept. We must emphasis that this concept – at least in its basic features – is not a twentieth-century invention. However, it does form a sharp contrast with literature of the nineteenth century imbued with humanism. For the analysis of this attitude, large-scale works of prose (novels, short stories) were chosen as the most representative for the 1920s and 1930s. The basis of the selection was the pursuit of maximum diversity with regard to ideology (in the narrowest sense of the word), genre and stylistics, and pragmatics. Taking their fundamental principles into account, the texts were chosen from the following literary movements or paradigms: (post)symbolism (Bely, Moscow), skaz (Klyèkov, Èertuxinskij balakir'), (post)modernism (Nabokov, The Gift), socialist realism (Gaidar, The Tale of the Military Secret). During the course of the analysis it became clear that the following two fundamental constructive principles that nourish the concept of negative anthropology could be identified in the above-mentioned texts. The essence of the matter is that W. Booth (Booth 1961) recognised the usefulness of designing a system of narrative hierarchy within communicative interaction. He defined a receptive side for each of the positions: in his scheme, the concrete author (Flesh-and-Blood Author) was correlated to the concrete reader (Fleshand- Blood Re-Creator), the narrator (or, in his terminology, Teller of This Story) was correlated to the fictive reader (Credulous Listener), and, finally, the abstract author (Implied Author) was correlated to the Postulated Reader, or the 'abstract reader', as Wolf Schmid would refer to him later. In Schmid's view, the abstract reader is the 'ideal recipient of the author', a definition with which we entirely agree. In our opinion, however, this does not apply to the phylogenetic constituent of this concept as Schmid tends to present it. In his view, the picture of the abstract reader seems to be determined in advance by the corresponding structural configurations of the work; in other words, it is a more or less passive communicative duplication of the AA. However, further examination indicates that in the reasoning in question the objectivity of the semantic configurations in the text is implicitly postulated; in other words, there is a presumption that the full (all-embracing) meaning of the work is not only given a priori but is also materially present in the text components themselves. In reality, however, the full meaning (and here we concur with W. Iser) is realised by the reader who fills in, as it were, the gaps in meaning intentionally or unintentionally embedded in the work by the author. In theory, there are an infinitely large number of such gaps and, correspondingly, every time a reader fills in a different number or group of gaps one can speak of a different structure of the total meaning of the work. Only God is capable of filling in all the gaps, making Him the most ideal recipient to figure in all models of narrative instances according to the communicative model. Nonetheless, we must also take into consideration the possibly less obvious fact that the text whose meaning is to be reconstructed in the analysis is not a protoplasmic entity but the product of certain conventions or analytic procedures. Both the conventions and the analytic procedures applied to the text belong to the competencies of the abstract reader. We shall explain this in more detail below. When dealing with, for example, Pushkin's novel Yevgeny Onegin, it is clear that the text itself provides no answer to the question whether this work has been completed. Our decision to regard this work as finished or unfinished affects its significance and, correspondingly, the picture of the AA. In our opinion, the instance of the abstract reader is responsible for the decision concerning the boundaries of the text; in other words, the decision to limit interpretative activity to eight chapters, or ten, or to state, as a matter of principle, that the work has only one boundary – a beginning. In each of these cases, the complete meaning of the work will have a different structure. The same argument can be applied with regard to varying editions of one and the same work. Consider the case of collected stories. How can one correctly determine this text's boundaries? Should we reconstruct each story's AA, so that something like a portrait gallery is created, or is it more sensible to regard a collection of stories as a single text and to reconstruct an integral AA on the basis of all the stories? Or, as in the case of the novel Moscow by Andrei Bely analysed in this dissertation: is it valid to regard the three sections of this work as separate texts – after all, they were published as separate books at different times, and the stylistic variations are evident? Is it valid to speak about an AA as a self-contained concept in view of the fact that the novel actually remained unfinished 1. Space destabilisation In view of the fact that it is only through history that man realises himself as an intrinsic integrity, he is most easily marginalised in the most unequivocal, i.e., most effective, way in a universe in which history in the usual sense of the term is seriously problematised by spatio-temporal ambivalence. The spatio-temporal continuum evaporates in this set-up, which may manifest itself in various ways but essentially involves the same mechanism. In some texts, normally seen as belonging to the modernistic paradigms (in our case, Moscow, Èertuxinskij balakir', The Gift), a destabilisation of the normal world view has occurred and this is more or less evident to the reader: the attributes of a certain point in space can easily belong to a different point, just as the attributes of a certain object can turn out to be the attributes of a different object. One spatial area can be projected upon a different spatial area, and, in such cases, the boundaries between the areas become so transparent that distinction between them is no longer possible. All objects and points in this kind of space enter, as it were, into relationships of mutual equivalence, or if we regard it in semiotic terms, all objects enter into relationships of crosswise reference without having an unambiguously phraseable singular denotation. Another way to destabilise space, however paradoxical it may sound, is by structuring space by means of mythopoetic patterns. We believe that mythopoetic structures occur in every narrative text, which seems largely self-evident. In view of the fact that in narrative texts we deal with subjectivity pur sang, it is perfectly logical that this subjectivity will lend varying axiological colour to the different segments of space. In conjunction with our cognitive schemes, i.e., the structure of our brains, this colour is generated according to the principle of binary opposition. In this way each narrative space has an axiological marking on the basis of duality (high-low, here-there, citycountry, etc.), for which in historical terms the priority lies with the myth as the first (spontaneous) project in human history to be given structure. The issue is merely one concerning the extent to which this mythopoetic – or as one may prefer, quasimythopoetic – scheme becomes manifest, and even the rather confined analysis we have performed demonstrates that this is largely the situation in Russian prose of the 1920s and 1930s. It is understandable that in both cases space destabilisation results in the elimination of the human subject. In the former case, when space is characterised by a high degree of relativity, man adopts in a metonymic way space's capacity to undergo all kinds of metamorphoses whose degree of radicalness can vary: from the possibility of metempsychosis, as in the case of the reincarnated protagonists in Nabokov's The Gift, to the division of protagonists in a synchronous system of look-alikes, of which each one has a role in the distinction of meaning and which only begin to acquire consolidated meaning when they have been conceptually united (cf. the Korobkin brothers, Mandro – Dromarden, Lizaša – Leonora, and Kierko – Titelev in Moscow; Ul'jana – Maria in Èertuxinskij balakir'; the whole herd of doubles in The Gift). In the latter case, when space has been structured according to the myth, for a number of reasons man is also eliminated: a) man, as we know him, necessarily realises himself in history (only God realises himself in infinity), whereas myth knows no linearity and therefore no history. Thus only a certain notion of man or a model of subjectivity can possibly realise itself in myth, but not man as such b) the concept of realisation itself (of man or of other objects that occupy mythical space) is weakened here by virtue of the fact that determinism rules in myth – a genuine paradigmatic formation – which substantially weakens the independence and the responsibility of the protagonists somehow engaged in realising themselves c) which also directly combines points a) and b): myth, which does not recognise the singularity of here and now, does not accommodate the aspect of subjectivity, which is a constitutive element of man (and without this relationship, there can be no subjectivity). 2. Theatricalisation of narrative space An important factor in the construction of the great narrative forms of this period is the theatricalisation of space: in some cases the accent is placed on an analogous segmentation of space (Gaidar) when, for example, the entire adventurous part of the narrative is linked to a concrete topos, while the lyrical part, as a whole, is connected to another area, etc.; in other words, the narrative space, just as in theatre space, is divided into semiologically clearly delineated segments. In other cases the theatricalisation can be achieved by assigning purely dramatic characteristics to the protagonists. In this latter case there is a strikingly varied list of procedures that can be applied to create a 'theatrical text' in which the majority of the protagonists, or even all of them, are assigned a role. The most prominent technique is the construction of a character on the basis of a marionette or automatic dummy (Bely) with the corresponding imitation of its expressiveness and speech which become isomorphous with the discrete, emphatically affected expressiveness of a doll, where the character disintegrates into disassociated sememes and is only held together by the context. In such cases, to emphasise the artificiality a complicated, deviating syntax and an extremely extensive vocabulary of occasionalisms is employed. A less conspicuous strategy (as in Gaidar and also in many social-realist authors of the 1920s and 1930s) consists of a return to the constructive configurations of pre-realistic theatre in which the only possible actors are masks or, to use a more recent term, types, whose dynamics are determined entirely by fable and not by any intrinsic structure or stratification of character. Each of them has an ontologically determined role (of course, this concerns only the ontology of that specific space) and the mode of existence here is such that there are no a priori opportunities to switch roles; this space simply does not enable this kind of transformation. A strictly natural effect of this type of situation is the extremely normative behaviour of the characters in both their actions and their verbal expressions. Another method of desecrating narrative space is rooted in the symbolistic paradigm (or to be more precise, in the paradigm of early Russian symbolism) which is typified by the representation of this world as a close-knit semiotic universe whose characters refer to a supratextual substance that governs this world. A consequence of this worldview is the acceptance of fairly strict definitions of determinism and its unavoidable companion destiny. The concept of destiny assumes a certain marked role for each of the characters; after all, a complete behavioural paradigm (as regards destiny) can be created for a (marked) role, whereas this is impossible for the vital realisation of a person in his existence: in this latter case only the syntagmatic logical coherence can be determined, and that coherence is incomplete by definition. The narrative in The Gift (as in several other of Nabokov's novels) is constructed in this way, i.e., in functional-behavioural terms of destiny. This is also the case in Èertuxinskij balakir' by Klyèkov, in which the centre of the narrative is occupied by a kind of minus type: a character that not only lacks psychology (in as much as this kind of reduction is possible for humans), but also every manifestation of his own will which could testify to even an illusory independence from the functional universe. We must consider that a person's dramatic accessories (e.g., a person on stage) are essentially emancipated from existence and as a result revealingly attest to the nature of the processes that eliminate humans from the prose of the era. The observation of AA structures in 1920s and 1930s Russian prose thus offers the opportunity to bring to light a collection of these texts' implicit features, which manifest themselves in the first third of the twentieth century and which consequently enabled radical qualitative change in the entire structure of Russian prose. If executed with sufficient accuracy, the reconstruction of AAs in works from different periods can offer new insight into the history of literature. In more precise terms, it can open a new history of literature, a history engaged in the diachronous modification of the models according to which creative texts are generated at a certain points in time.
Invariablemente, y aunque no haya sido su propósito, en muchas ocasiones, en distintos estudios que hay sobre narrativa criminal, policíaca, el espionaje y el thriller se observa un hecho innegable: una confusión teórica sobre lo que son estas cuatro literaturas. Esto ha derivado en una prolongada discusión que no ha ayudado a disipar dicha confusión, sino todo lo contrario, la ha acentuado. Como bien apunta Rodríguez Joulia Saint Cyr (1970: 9) gran parte de los críticos y teóricos reúnen bajo la denominación de una serie de géneros y subgéneros que no corresponden a él. De ahí que dentro de la literatura hispanoamericana se considere novelas policíaca a Ensayo de un crimen (1943-1944) de Rodolfo Usigli, El túnel (1948) de Ernesto Sábato, Yo maté a Kennedy (1972) de Manuel Vázquez Montalbán, La cabeza de la hidra (1978) de Carlos Fuentes o Linda 67: historia de un crimen (1995) de Fernando del Paso, cuando ninguna de ellas lo es. Pero ¿por qué se da esta situación de confusión? Este conjunto de textos, junto a otros más, poseen un gran intercambio de tipologías discursivo-textuales criminales, policíacas, de espionaje y del thriller traspasando las fronteras de estas cuatro literaturas y provocando la ruptura del límite entre lo criminal, policíaco, espionaje y thriller, lo que, finalmente, lleva a toda una serie de confusiones y dudas: si un texto tiene como investigador a un criminal ¿es policíaco? Es indudable que la confusión entre estas cuatro narrativas tiene causas que van más allá de una lectura inadecuada por parte de los lectores: el problema se encuentra a un nivel profundo, en la enorme dificultad por delimitar las fronteras genéricas de ellos y de analizar debidamente las fluctuaciones de los elementos genéricos de cada una. Por tanto, se abre la posibilidad de estudiar el problema del límite entre lo criminal, lo policíaco, el espionaje y el thriller. Sin embargo, ¿es necesario un estudio de este problema? El problema de la ruptura de las fronteras de las literaturas criminal, policíaca, de espionaje y thriller ha sido estudiado de manera secundaria y casi desapercibida, ya que el denominado «género policíaco» ha «monopolizado» buena parte de los estudios como podemos ver a continuación "The Art of the Detective Story" (1924) de Austin Freeman, Le detectitte novel, et l'influence de la pensée sciéntifique (1929) de Regis Messac, Le roman policier (1941) Roger Caillois, The Art of the Mystery Story (1946) de Howard Haycraft, Petite histoire du roman policier (1956) de Fereydoun Hoveyda, Breve storia del romanzo poliziesco (1962) de Alberto del Monte, Le roman policier (1964) de Thomas Narcejac y Pierre Boileau, "Typology du roman policier" (1966) de Tzvetan Todorov, The Pursuit of Crime (1981) de Dennis Porter o Histoire du roman policier (1996) de Jean Bourdier, entre muchos otros. Mientras tanto, en lengua española se observan trabajos como "Leyes de la narración policial" (1933) y "Los laberintos policiales y Chesterton" (1935) de Jorge Luis Borges, Ensayo sobre la novela policial (1947), el prólogo a Los mejores cuentos policiales mexicanos (1955) y "Qué es lo policíaco en la narrativa" (1987) de María Elvira Bermúdez, Biografía de la novela policíaca (1956) de Juan José Mira, La novela policíaca: síntesis a través de sus autores, sus personajes y sus obras (1973) de César E. Díaz, De la novela policíaca a la novela negra (1986) y La novela policíaca en España (1993) de Salvador Vázquez de Parga, La novela policíaca actual (1990) de Carmen García Pardo, La novela criminal española (1991) de José Valles Calatrava, así como su prólogo "La novela criminal" que realizó Sánchez Trigueros, La novela policíaca española. Teoría e historia crítica (1994) de José T. Colmeiro, El cadáver en la cocina: la novela criminal en la cultura del desencanto (1997) de Joan Ramón Resina, Los héroes de la novela policíaca (2006) de Sergi Echaburu Soler o Poética del relato policíaco: de Edgar Allan Poe a Raymond Chandler (2006) de Iván Martín Cerezo, entre otros. Sin embargo, es posible apreciar investigaciones sobre lo criminal, el espionaje y el thriller: La novela de intriga (1970) de Carlos Rodríguez Joulia St.- Cyr, Bloody Murder. From the Detective Story to the Crimen Novel (1972) de Julian Symons, Thrillers, la novela de misterio (1978) de Jerry Palmer, Le Roman d'espionnage (1983) de Gabriel Veraldi, Panorama du roman d'espionnage contemporain (1986) de Jean-Paul Schweighaeuser, Diccionario de la novela negra norteamericana (1986) y La novela negra (1986) de Javier Coma, The literature of crime and detection: an illustrated history from antiquity to the present (1988) de Waltraud Woeller y Bruce Cassiday o La novela de espías y los espías de novela (1991) de Juan Antonio de Blas. Ahora bien, ya sea en lo criminal, policíaco, espionaje o thriller una gran parte de estas investigaciones se orientan a revisiones historiográficas –sobre todo de lo policíaco– e intentos por definir estas literaturas. Si bien, es cierto que en algunos de ellas existen análisis socio-críticos, semánticos y pragmáticos, sin olvidar algunos hermenéuticos, intertextuales o paratextuales. Realmente son pocos los estudios, y algunos muy desconocidos, respecto a las continuas fluctuaciones de elementos entre lo criminal, lo policíaco, el espionaje y el thriller. Su evolución ha propiciado que los límites establecidos en ellos se hayan ido desdibujando, en gran medida por el «realismo noir norteamericano», el polar y «neopolar francés» y por disrupciones entre las cuatro narrativas que ha llevado a la aparición de vertientes como la literatura policíaca metafísica, la narrativa psicológica crimino-policíaca, el nuevo realismo socio-crítico criminal o policíaco, el thriller político o la nueva narrativa de espionaje, pero también por narrativas nacionales como la alemana, la escandinava, la italiana, la española, la japonesa, la mexicana, la argentina, entre muchas otras, las cuales han aportado o variado los elementos de lo criminal, lo policíaco, el espionaje y el thriller a tal punto que difícilmente se percibe una marca divisoria clara y precisa entre ellos cuatro. El hecho concreto es que con estas nuevas vertientes en lo criminal, lo policíaco, el espionaje y el thriller, los distintos elementos discursivo-textuales que los componen van a transitar libremente entre uno y otro género, violando continuamente la «frontera genérica» entre ellos. El enigma ya no se referirá exclusivamente a quién era el asesino o si el espía/agente secreto podría trastocar los planes del enemigo. Las motivaciones psicológicas, la crítica social, lo fantástico o la metafísica influirán notablemente en ellos. Ahora bien, el propósito de esta investigación se centra en varios objetivos. Primero, un estudio que incluya lo criminal, policíaco, espionaje y thriller dentro de un concepto que hemos denominado «narrativa sensacional de suspense», aunque este esfuerzo no es el primero que se realiza. Ya en el 1970, Carlos Rodríguez Joulia St.- Cyr lo había intentado con La novela de intriga, un estudio de lo policíaco, lo criminal, el espionaje y el misterio, en el cual el propio investigador deja ver un hecho indiscutible: la confusión en torno a qué es lo criminal, lo policíaco, el espionaje y el misterio, y la cercanía que hay entre estas cuatro narrativas. Sin embargo, Rodríguez Joulia St.- Cyr se concentra de manera exclusiva en buscar los orígenes literarios, así como su desarrollo a nivel histórico. Dos años más tarde, el británico Julian Symons en Bloody Murder realiza interesantes apuntes y acotaciones en torno a lo que llama «sensational literature» y que engloba a textos con "violent ends in a sensational way" Symons (1992: 4) y en el que encontramos textos criminales, policíacos, de espionaje y thrillers, así como nuevos híbridos literarios. Desgraciadamente, Symons no lo estudió con mayor detalle. Hay que precisar que son los estudios de este investigador y autor británico los que sirven como punto de arranque de este estudio. El diseño y empleo de un término como «narrativa sensacional de suspense» no es al azar, responde a una necesidad que aparece debido a una serie de confusiones que se dan alrededor de las definiciones que hay en torno a lo criminal, lo policíaco, el espionaje y el thriller. En más de una ocasión se hace mención al denominado «género negro» sin especificar debidamente qué es o confundiéndolo: ¿Se trata de la literatura sensacional norteamericana de la primera mitad del siglo XX que incluye la obra de autores como Dashiell Hammett, Raymond Chandler, James M. Cain o Mickey Spillane? ¿O, tal vez, es un híbrido literario, producto de las fluctuaciones y combinaciones tipológicas criminales, policíacas, del espionaje y del thriller? El hecho es que ese clima de confusión ha llegado a tal punto que, incluso, se ha llegado a considerar la obra de autores clásicos, como Sir Arthur Conan Doyle, como olvidando el verdadero significado que Todorov (1966) acuña y que se relaciona directamente con la literatura norteamericana sensacional de la primera mitad del siglo XX. Es decir, se cae en un grave error al denominar la obra de Poe, Gaboriau, Christie o Wallace como novela negra, ya que no poseen ninguna característica de esta. A esta confusión se le suma el desconcierto que plantea la narrativa de espionaje y el thriller: ¿dónde incluirlos, en lo policíaco o en la llamada «novela negra» como varios estudios hacen, o es posible plantear que se trata de narrativas con características históricas, semánticas, pragmáticas y genéricas propias? El segundo objetivo es dejar de lado las confusiones en torno al empleo del término «novela negra» al cual sustituiremos por «realismo noir norteamericano». El primero hace referencia a esa literatura norteamericana sensacional que comienza a gestarse a principios de los veinte, y se ajusta al concepto de «realismo» que Raymond Chandler señala en su artículo The Simple Art of Murder (1950) y hace referencia directa a la denominación noir acuñado en la Série Noire, dirigida por Duhamel, a finales de la década de los cuarenta del siglo pasado. El tercer objetivo se centra en una serie de necesidades de la teoría literaria que solo en ocasiones, y de manera secundaria y casi desapercibida, han sido analizadas: la distinción conceptual entre lo criminal, lo policíaco, el espionaje y el thriller que lleva, inexorablemente a otro objetivo: al problema del límite y las fluctuaciones fronterizas en la «narrativa sensacional de suspense», es decir entre lo criminal, lo policíaco, el espionaje y el thriller, sin olvidar los nuevos híbridos literarios tales como el thriller de espionaje o policíaco o la narrativa psicológica crimino-policíaca. A través de un grupo de obras estudiadas observaremos cómo lo que denominamos «límites fronterizos genéricos» son traspasados en dichos textos por las continuas fluctuaciones comunicacionales de los elementos genéricos canónicos que componen lo criminal, policíaco, espionaje y al thriller. No obstante, es necesario establecer ciertos límites al conjunto de textos por analizar, ya que de lo contrario se correría el riesgo de exceder la propia investigación. Son siete las novelas elegidas: El complot mongol (1969) de Rafael Bernal, Noviembre sin violetas (1995) de Lorenzo Silva, Plenilunio (1997) de Antonio Muñoz Molina, Deudas pendientes (2005) de Antonio Jiménez Barca, Ojos de agua (2007) de Domingo Villar, El baile ha terminado (2009) de Julián Ibáñez y La soledad de Patricia (2010) de Carles Quílez, las cuales comparten un elemento temático en común: la investigación. La obra del mexicano Rafael Bernal se extiende a lo largo de más de veintiocho años de trabajo y en él queda constancia de sus grandes inquietudes: el mar, al cual plasma en el libro de relatos Gente de mar (1950) y en El gran océano –inédito hasta 1992–; la selva, la cual cobra vida en el libro de relatos Trópico (1946), en las novelas Su nombre era muerte (1947), Caribal, el infierno verde (1955) y en Tierra de gracia (1963); y lo policíaco, aunque, paradójicamente, este fuera una simple distracción para este autor, ya que solo le dedicaba ciertos momentos para descansar de proyectos más serios, desde su punto de vista. No obstante, Bernal puede ser considerado, con toda justicia, como una de las piedras fundamentales en la aparición y desarrollo de la narrativa policíaca mexicana, sin olvidar el crimen, el thriller y el espionaje, comenzando su periplo en la revista mexicana Selecciones Policías y de Misterio, fundada en 1946 por Antonio Helú, donde se publicarían relatos suyos como La muerte poética o La muerte madrugadora, sin olvidar otros cuentos como Un muerto en la tumba (1946) y La media hora de Sebastián Constantino (1946). Asimismo, Bernal nos presenta a uno de los primeros personajes investigadores amateurs mexicanos: Teódulo Batanes. En Un muerto en la tumba (1946) se descubre en la zona arqueológica Montealban el cadáver de un senador con un puñal de pedernal clavado en el pecho. Uno de los antropólogos, Batanes, es el encargado de resolver el misterio. Resulta curioso observar a este detective miope, desgarbado y que tiene el vicio de usar sinónimos de cuanta cosa dice. Un personaje basado, indudablemente, en la figura del padre Brown de G.K. Chesterton y que aparecería, nuevamente, en la novela corta De muerte natural (1948), en donde Batanes esclarece el homicidio, en un hospital, de una adinerada viuda. Otros textos policíacos de Bernal son El extraño caso de Aloysius Hand y El heroico Serafín, ambas incluidas, junto a De muerte natural, en el libro Tres novelas policíacas, las cuales observan ese estilo clásico de la «novela enigma». Es en 1969 cuando Bernal cambia radicalmente su estilo, alejándose de los esquemas clásicos gracias a la influencia del «realismo noir norteamericano», ofreciendo la obra maestra del thriller de espionaje mexicano: El complot mongol. Respecto a Lorenzo Silva su nombre es ya reconocido dentro de la literatura policíaca gracias a la pareja de guardias civiles conformada por el brigada Rubén «Vila» Bevilacqua, y la sargento Virginia Chamorro, una singular pareja de frustrados: el primero, un psicólogo que jamás logró ejercer como tal; la segunda, hija de un militar, que no logró acceder a ninguna de las academias de los ejércitos –tierra, mar y aire– y que encontró en la Guardia Civil el único resquicio para salvar la tradición militar familiar. El lejano país de los estanques (1998) es el nacimiento de la sociedad conformada por el entonces sargento «Vila» y la novata guardia Chamorro que deberán esclarecer el asesinato de una adinerada joven austriaca en los ambientes nocturnos de un pequeño centro turístico de Mallorca. La pareja aparece de nuevo en El alquimista impaciente (2000) en donde exploran el tema de la corrupción urbanística. En La niebla y la doncella (2002) Vila y Chamorro parten hacia la isla canaria de La Gomera para resolver el asesinato de un joven y que destapará un escándalo para la Guardia Civil. En la antología de cuentos Nadie vale más que otro (2004) Vila y Chamorro se enfrentan a cuatro distintos asesinatos que lo único que les demuestra es que el crimen se da por las situaciones más simple y absurdas. En La reina sin espejo (2005) la pareja de guardias civiles se enfrentan a un caso multipublicitado: el asesinato de una célebre periodista de Barcelona casada con un consagrado escritor catalán. Un caso que abandona los terrenos del crimen pasional y que lleva a Vila y Chamorro por los entresijos de la pornografía, la prostitución y la trata de blancas en Barcelona. La estrategia del agua (2010) nos enseña a un Rubén Bevilacqua ya ascendido a brigada, pero también profundamente decepcionado del sistema judicial español, que tiene que investigar, junto a la también ascendida sargento Virgina Chamorro, el asesinato de un criminal de poca monta y que entraña profundos lados oscuros que deberán averiguar los dos guardias civiles, acompañados de un nuevo compañero: el guardia Arnau. Sin embargo, el contacto de Lorenzo Silva con lo policíaco, y en general con la , no se da exclusivamente con la serie protagonizada por Vila y Chamorro. En La sustancia interior (1996) observamos un thriller histórico, mientras que en Muerte en el "reality show" (2007) dos nuevos investigadores aparecen: la juez Tortosa y el comisario Fonseca, los cuales deberán esclarecer un asesinato cometido «en directo». Asimismo otro texto del escritor madrileño sobresale enormemente: su primera novela Noviembre sin violetas (1995) la cual mantiene un pulso intertextual con La llave de cristal (1931) de Dashiell Hammett. Beatus Ille (1986), la primera novela de Muñoz Molina, recorre ampliamente los terrenos policíacos gracias a su discurso de investigación. No obstante, el texto no pertenece al género policíaco. La interdiscursividad que se presenta en este caso, por sí sola, no es elemento de peso para considerar Beatus Ille una novela policíaca. Hacen falta personajes, temática, ambientación, atmósfera y otros elementos para considerar el texto dentro de lo policíaco. Todo lo contrario sucede en El invierno en Lisboa (1987). Esta novela presenta características mucho más cercanas a lo criminal y a lo policíaco: hechos, acciones, personajes y temática, entre otros elementos, van construyendo una historia que, sin embargo, presenta serias dificultades: ¿es criminal o policíaca? Indudablemente la novela recuerda mucho los antiguos textos del «realismo noir norteamericano», como Cosecha roja o El halcón maltés de Dashiell Hammett, que, en muchas ocasiones, son tan difíciles de definir y clasificar. Una situación que se repetirá en Beltenebros (1989) solo que con mayores dificultades: el texto discurrirá entre lo policíaco, lo criminal, el thriller político y la narrativa de espionaje. En el caso de Los misterios de Madrid (1992) Muñoz Molina ofrecerá una parodia de lo policíaco a partir de un investigador –Lorencito Quesada– que poco o nada tiene que ver con los legendarios private eyes del «realismo noir» o del polar francés. El dueño del secreto(1994) regresa a la problemática presentada en El invierno en Lisboa y Beltenebros: ¿es un texto criminal o policíaco? Cualquier afirmación tajante puede estar errada, ya que, aunque posee algunos elementos propios de ambos géneros, como el discurso, la ambientación y la atmósfera, la novela está en estrecho contacto con la narrativa de espionaje y el thriller político, haciendo muy difícil una clasificación. Dentro de la obra de Muñoz Molina relacionada con lo criminal y lo policíaco, así como con otros géneros afines, encontramos los cuentos Te golpeare sin cólera (1983), El hombre sombra (1983), La colina de los sacrificios (1993), La poseída (1993), Borrador de una historia (1993), La gentileza de los desconocidos (1993) y la novela corta Nada del otro mundo (1993). Pues bien, con Plenilunio (1997) el escritor giennense explora el relato criminal y policíaco de un modo complejo: se adentra en el conflicto psicológico del investigador y del criminal, como lo lleva a cabo el norteamericano Thomas Harris en El dragón rojo (1980-1981) y El silencio de los corderos (1988), pero enlazando también elementos del thriller, el espionaje y el terrorismo. Por lo que se refiere al periodista Antonio Jiménez Barca su obra literaria se traduce en una sola novela: Deudas pendientes (2006), un texto que encierra ciertas complejidades propias del thriller y de lo policíaco. Domingo Villar es un autor gallego que saltó a la palestra en el año 2006 con la publicación de Ojos de agua, protagonizada por el inspector de policía Leo Caldas. Un texto que, como la siguiente aventura de Caldas, La playa de los ahogados (2009), mantiene un esquema clásico: un crimen se ha cometido y es necesario investigarlo y solucionarlo. No es de llamar la atención que este esquema siga siendo popular en la narrativa policíaca en general, ya que dicho esquema es actualizado por los escritores y adaptado a las necesidades de cada texto. Finalmente, la narrativa policíaca en este siglo XXI sigue manteniendo la máxima clásica de . Así pues, tanto en el caso del asesinato del músico Luís Reigosa como el del marinero Justo Costelo, el inspector Caldas continúa con los esquemas clásicos, pero lo interesante es que Domingo Villar le ofrece al lector una visión del complejo entramado psicológico gallego. Es interesante señalar dentro de la obra de Villar el cuento Las hojas secas, incluido en la antología de cuentos La lista negra (2009), compilada por Àlex Martín Escribà y Javier Sánchez Zapatero. En pocas ocasiones se tiene la oportunidad de escribir sobre el personaje-arquetipo del testigo. Pues bien, Domingo Villar es de los pocos que logra hacerlo a través de un ex-presidiario, testigo involuntario de un crimen que lo acosará hasta el día de su muerte. El santanderino Julián Ibáñez comienza en 1980 su andadura por el «sensacional de suspense» con la novela La triple dama, protagonizada por Ramón Ferreol, una antigua estrella de fútbol, un texto que se mueve entre el thriller y lo policíaco. Al año siguiente Ibáñez entregaría La recompensa polaca, pero es en 1983, con No des la espalda a la paloma, cuando Ramón Ferreol vuelve a aparecer en medio del suicidio de un agente de aduanas. En 1986, con Tirar al vuelo, Ibáñez sorprende con un investigador que se aleja totalmente de las convenciones policíacas respecto al personaje del investigador, ya que Novoa no se acerca en lo mínimo a ello. Él es un simple ciudadano común y corriente, un contable, que ve cómo el peligro se aproxima y tiene que tomar cartas en el asunto. Un personaje que protagonizaría Llámala Siboney (1988), Mi nombre es Novoa (1994) y ¿Y a ti, dónde te entierro, hermano? En la década de los noventa, Julián Ibáñez abordaría el espionaje gracias a Bar Babilonia (1991) y continuaría con otras dos novelas policíacas: Doña Lola (1991) y No hay semáforos para los pumas (1995). Ya en el año 2001, Ibáñez ofrece dos nuevos textos. En Manuela Scarface el escritor santanderino aborda la temática criminal de los asaltos bancarios a través de Paco Peña, un joven que trabaja en una sucursal de la Caixa, que una mañana de finales de agosto se ve sorprendido, junto al resto de empleados y clientes, por unos atracadores, por una banda de asaltantes. Pero la verdadera sorpresa de Paco será la de reconocer, a pesar de los disfraces de los delincuentes, a su novia Manuela. Una situación que puede hundirlo, ya que la policía y sus compañeros lo considerarían un cómplice. Mientras tanto, en Entre trago y trago observamos el bajo mundo del crimen, con sus ambientes turbios y corruptos, a través de Maza, un delincuente de poca monta que regenta El Oasis, un club de mala muerte perdido en una carretera de la Mancha. Un texto que nos recuerda los ambientes sórdidos del «realismo noir norteamericano» y el polar francés de los cincuenta. Resulta interesante ver esos ambientes deprimentes en la siguiente novela de Ibáñez: La miel y el cuchillo (2003), de la mano de otro delincuente menor, Florín, un cuarentón con humor crudo perteneciente a ese Madrid tenebroso, por el que este personaje deambulará golpeando y robando. En Los gorilas no bromean con la corbata (2006) observamos a Viriato Ansorena Ruiz, un chico común y corriente que por las noches se transforma en un fotoperiodista de sucesos que busca la noticia que lo encumbre a él y a su padre, sin pensar siquiera que ese descubrimiento puede costarle la vida. Por su parte, Que siga el baile (2006) es un regreso a esa temática policíaca híbrida, en la que el policía Barquín, testigo directo del extraño robo al bar Boom Boom, se verá implicado en una peligrosa investigación, en la búsqueda de las dos extrañas atracadoras. Con Crimen supertranquilo (2007), Ibáñez parece adoptar las convenciones del best-seller: quinientos años después de la expulsión de los judíos de Sefarad –la España hebrea– Rebeca viaja con su padre a Toledo en busca de la casa de sus antepasados. Pero, sorpresivamente, el hombre muere en el Servicio de Urgencias del Hospital. La historia se complica ya que existe la posibilidad de que el padre de Rebeca haya sido asesinado por causa de una antigua llave de oro que se encontraba entre sus pertenencias, robadas, supuestamente, por Pedro, el celador del hospital donde murió el viejo judío. El baile ha terminado (2009) muestra a Ruano Peredo, un policía del Grupo de Localización de Fugitivos, con sede en Gijón, que se verá envuelto en una compleja trama de espionaje en el que estarán involucradas la Guardia Civil, la Ertzaintza y ETA. En El beso del samurái (2009) la temática policíaca continúa dentro de la obra de Ibáñez. Pedro, el ayudante del detective de un hotel, se hace amigo de Helga, una joven alemana. Una amistad que le llevará a involucrarse en una misteriosa trama criminal. La búsqueda de Julián Ibáñez por romper los esquema y paradigmas policíacos la encontramos en Perro vagabundo busca a quién morder (2009) un extraño relato policíaco que, aparentemente, no encierra ningún crimen dentro de la forzada investigación que realiza el misterioso . En 2010, Ibáñez entrega tres nuevos textos en donde la investigación y el crimen se entrelazan de la mano de policías corruptos y delincuentes pragmáticos: Giley, un relato que explota al personaje del sospechoso, encarnado en el policía Cobos; Calle intranquilidad, un viaje hacia ese Bilbao testigo del tráfico de inmigrantes y el negocio de la prostitución y El invierno oscuro, la visión de un joven inmerso en el peligroso mundo de la kale borroka etarra. Por lo que respecta al barcelonés Carles Quílez, su acercamiento a lo «sensacional de suspense» comienza con Atracadores (2002) una antología en la que se observan once distintos cuentos basados, en clave periodística, en los crímenes de las principales bandas de atracadores de Barcelona en los últimos veinticinco años. Una interesante antología que nos enseña una ciudad oculta y sombría, que nada tiene que ver con el destino turístico que de ella se presenta. En Asalto a la virreina (2004), Quílez saca a relucir su identidad periodística al reconstruir un evento criminal sucedido en Barcelona en 1991: el intento de robo de la colección de monedas del Gabinet Numismàtic de Catalunya, instalado en el palacio de la Virreina. Ese rasgo del escritor barcelonés por reconstruir historias a partir de una visión periodística se repite en dos de sus siguientes novelas: Psicópata: un relato basado en personajes y situaciones (2005), en donde un periodista recibe el encargo de componer la historia de un psicópata encarcelado, un trabajo que se transforma en un sombrío reto que nos acerca a la problemática psiquiátrica de los asesinos seriales y su complejo mundo interno y La soledad de Patricia (2010), un texto que se mueve entre el espionaje y el thriller. Piel de policía (2006) se ajusta más a lo policíaco. Lacruz, ex policía que regenta un bar de mala muerte en Barcelona, ve cómo su vida cambia radicalmente a partir del asesinato de Castán, su ex compañero en la policía. Así pues, la elección de El complot mongol (1969), de Rafael Bernal, Noviembre sin violetas (1995), de Lorenzo Silva, Plenilunio (1997), de Antonio Muñoz Molina, Deudas pendientes (2005), de Antonio Jiménez Barca, Ojos de agua (2007), de Domingo Villar, El baile ha terminado (2009), de Julián Ibáñez y La soledad de Patricia (2010), de Carlos Quílez, no es al azar, sino meditada. En estas novelas se puede observar el traspaso de las diferentes fronteras que «separan» lo criminal, lo policíaco, el thriller y el espionaje, es decir la «narrativa sensacional de suspense», lo cual plantea la posibilidad de que no exista alguna frontera. Y, aunque en Ojos de agua se aprecia el esquema policíaco clásico, esto se debe a una razón: es necesario un texto policíaco para que pueda compararse este con uno criminal, un thriller o uno de espionaje y se ponga en evidencia las diferencias entras estas narrativas. Ahora bien, ante la situación de traspaso de fronteras genéricas por parte del grupo de novelas seleccionadas, surge una duda en especial ¿cómo llevar a cabo esta investigación? Una gran cantidad de hipótesis aparecen de inmediato, pero lo cierto es que lo más importante es poseer un método. Generalmente, muchos estudios de lo criminal y lo policíaco, sin olvidar los del espionaje y el thriller, son históricos, compendios a través de los cuales observamos la historia literaria de ambos géneros, así como su desarrollo y evolución. Investigaciones interesantes y valiosas, dado que rastrean obras y autores que habían sido olvidados o estaban ocultos bajo algún seudónimo. Sin embargo, una visión histórica no es suficiente para abordar un problema como el del límite entre lo criminal, lo policíaco, el espionaje y el thriller que se plantea a partir de El complot mongol, Noviembre sin violetas, Plenilunio, Deudas pendientes, Ojos de agua, El baile ha terminado y La soledad de Patricia. Para ello son necesarias más herramientas de investigación y por eso emplearemos directrices y pautas de análisis histórico, pragmático-hermenéutico, discursivo-textual, semántico y de la teoría del género. En el primer capítulo reflexionaremos sobre los aspectos históricos y para eso se llevará a cabo una revisión histórica literaria de lo criminal, lo policíaco, el espionaje y el thriller, solo que de una manera algo distinta: separando estas cuatro narrativas Como ya hemos señalado, existe una confusión entre ellas que puede llevar a pensar, como de hecho ocurre, que criminal es sinónimo de policíaco o viceversa, o que el espionaje está supeditado a lo policíaco, todo esto falso. A partir de esta visión histórica apreciaremos cómo se gesta cada narrativa de manera independiente haciendo ver que se trata de manifestaciones literarias distintas. Esto nos permitirá, por un lado, ver dónde se sitúan las novelas estudiadas, es decir, de dónde vienen, cuáles han sido los antecedentes históricos, sus antepasados literarios. Por otro lado, vamos a observar cómo una idea que venimos gestando desde hace varios años ve la luz. La inmensa mayoría de los críticos e investigadores consideran a Edgar Allan Poe como el padre de la novela policíaca, pero se olvidan o no le dan la importancia a un nombre clave sin el que el género, muy probablemente, no habría comenzado a popularizarse y establecerse: Charles Dickens. La labor de Dickens es enorme y, aunque desgraciadamente no podemos analizar su obra criminal y policíaca, es un objetivo claro revalidar su enorme labor haciendo mención de su trabajo. En el segundo capítulo emplearemos la pragmática-hermenéutica como uno de los pilares de análisis del problema del límite de la «narrativa sensacional de suspense» y la fluctuación tipológica en las novelas estudiadas, lo cual hará ver cuáles de estos textos se acercan más a formas híbridas. De igual modo, la pragmática-hermenéutica nos ayudará en otros dos objetivos: analizar las relaciones intratextuales de las novelas de Rafael Bernal, Lorenzo Silva, Antonio Muñoz Molina, Antonio Jiménez Barca, Domingo Villar, Julián Ibáñez y Carles Quílez, pero también las extratextuales, aquellas en las cuales se puede generar la confusión, en las relaciones que mantendrá el texto no solo con el lector, sino con mediadores que pueden resultar nocivos en el proceso comunicacional al generar dicha confusión. Asimismo, y aunque no realizaremos un profundo análisis comparativo, estableceremos relaciones comparativas entre los siete textos elegidos con el fin de evidenciar las diferencias entre lo criminal, lo policíaco, el espionaje y el thriller. Por lo que se refiere al capítulo dedicado al discurso y al texto es necesario aclarar que se transita por terrenos en los que no hay acuerdos respecto a la definición de ambos conceptos. No es nuestro propósito buscar una definición de ellos, sino reflexionar sobre ambos en base a las definiciones de un grupo de especialistas, y de este modo abordar el problema del límite en base a una confusión ya algo antigua: ¿existe un discurso policíaco, uno criminal o uno de espionaje? ¿Si es así ¿por qué un texto con un discurso policíaco como El maestro de San Petersburgo (1994) de Coetzee, no puede ser catalogado como policíaco? Nuestro interés se centrará en analizar el discurso criminal, policíaco, de espionaje y del thriller y ponerlo en referencia a El complot mongol, Noviembre sin violetas, Plenilunio, Deudas pendientes, Ojos de agua, El baile ha terminado y La soledad de Patricia junto a otros textos para observar cómo aparece el problema del límite, de la mano de una serie de elementos textuales que se mueven de una narrativa –lo policíaco– a otra –el thriller–. Otro pilar fundamental para esta investigación es la semántica. Empleando la semántica de «mundos posibles» y dos teorías de ella, la de Tomás Albaladejo y Lubomír Doležel, se observará cómo se va construyendo un texto ficcional, en este caso las novelas estudiadas, a partir de parámetros comunicacionales. Gracias a este análisis se confirmarán las impresiones pragmáticas: las novelas de Bernal, Silva, Muñoz Molina, Jiménez Barca, Villar, Ibáñez y Quílez se construyen a partir de eventos diametralmente opuestos: el crimen e investigación, terrorismo y espionaje contraterrorista, amenaza y seguridad, pero no bajo regímenes estrictos, sino como un texto en el que dos submundos, de acuerdo a la terminología de Albaladejo, el de los protagonistas y antagonistas de las obras estudiadas se enfrentan. Es imposible cerrar esta investigación sin tocar un tema espinoso en el que no hay grandes acuerdos: el del género. En el último capítulo tenemos el propósito de señalar los elementos genéricos de lo criminal, lo policíaco, el espionaje y el thriller y ver cómo se combinan, ofreciendo las señales del desplazamiento de la frontera entre estas narrativas y el problema de la confusión. También, y gracias a dos modelos genérico-comunicacionales, el de Kurt Spang y el de Jean Marie Schaeffer, tendremos la ocasión de vislumbrar cómo, de manera genérica, tratamos de ubicar las obras estudiadas y de confirmar su carácter híbrido. No obstante, es inevitable que en este capítulo hagamos mención al problema de la definición del género. Es claro que no se pretende dar una respuesta a dicho problema, ya que esto es imposible, pero lo que sí se llevará a cabo será, gracias a las propuestas de Spang, Schaeffer, García Berrio y Huerta Calvo, construir una definición que sea práctica para esta investigación. Igual de importante será observar en este último capítulo un concepto diseñado para esta investigación: el «sensacional de suspense». En ningún momento buscaremos defenestrar a la «novela negra», pero sí analizaremos el problema que aparece al utilizar dicho término, y las bondades que hay en torno al concepto «sensacional de suspense». Hay que aclarar que este estudio no está divido en dos secciones, una de metodología y otra de aplicación. Por el contrario, lo llevaremos a cabo in sito, es decir realizando la metodología y la aplicación conjuntamente. El motivo de esta elección es de carácter práctico, pues en anteriores trabajos de investigación nos ha funcionado correctamente.
Issue 48.3 of the Review for Religious, May/June 1989. ; R~z,.'n~w vor R~.t~3~oos (ISSN 0034-639X) is publishcd bi-monthly at St. Louis University by thc Mis- ¯ souri Province Educational Institute of the Society of Jesus; Editorial Office: 3601 Lindcll Blvd. Rm. 428: SI. l.x~uis. MO 63108-3393. Sccond-class postagc paid at St. Lxmis MO. Single copies $3.00. Subscriptions: $12.00 pcr year: $22.00 for two years. Other countries: for surface mail. add U.S. $5.00 per year; for airmail, add U.S. $20.00 per year. For subscription orders or changc of address, write: R~,.'u~w voa R~t.~Gous: P.O. Box 6070: Duluth. MN 55806. POSTMASTER: Send address changes to Rv:vtv:w v(m REI.I(;IOtJS; P.O. Box 6070; Duluth, MN 55806. David L. Fleming, S.J. Iris Ann Ledden, S.S.N.D. Richard A. Hill, S.J. Jean Read Mary Ann Foppe Editor Associate Editor Contributing Editor Assistant Editors Ma\'/June 1989 Volume 48 Number 3 Manuscripts, books fnr review and correspnndence with the editor should be sent to REvtEw wm Rr:t,t(;mt~s; 3601 Lindell Blvd.; St. la~uis, MO 63108-3393. Correspondence about the department "Canonical Counsel" should be addressed to Rich-ard A. Hill, S.J.; J.S.T.B.; 1735 l~eRoy Ave.; Berkeley, CA 94709-1193. Back issues and reprints shnuld be nrdered from R~:\'t~:w vo~ R~:~,nntms; 3601Lindell Blvd.; St. la~uis, MO 63108-3393. "Out nf print" issues are available frnm University Micrnfilms International; 300 N. Zeeb Rd.; Ann Arbor, MI 48106. A major pnrtion of each issue is also available on cassette recordings as a service for the visually impaired. Write to the Xavier Snciety fnr the Blind; 154 East 23rd Street; New York, NY 10010. PRISMS . Color plays an important role in our human lives. Before modem psy-chological studies were done about color and its effect upon our human psyche, the Church emphasized color to highlight liturgical seasons and to enhance individual feast-day celebrations. Both the colors for deco-rating altar, tabernacle, and sanctuary and the colors for priestly vest-ments and stoles conveyed a mood or feeling of the season or feast. REVIEW FOR RELIGIOUS over the past ten years has distinguished its is-sues within any one volume by color. Willy-nilly, whether by foresight or only upon reflection, color for us, too, tends to have a certain sym-bolic relationship to the seasonal and liturgical placement of an issue. An obvious point can be made with the blue cover of this issue--a blue which is associated with Mary, Mother of God and Mother of the Church, and with her special identification with the month of May. In more recent times, the popular place of Mary in the devotional lives of Catholics has dimmed. The Vatican II renewal of our liturgy and sacramental celebrations necessarily focused our attention and re-education upon the central mysteries of our faith-life. Devotions in their myriad forms of litanies, novenas, vigils or holy hours, and various other pious practices--whether in honor of Mary or of any of the saints-- naturally received less attention during this period. Our time and ,our en-ergies were being re-directed so that we could recapture the Eucharistic celebration and the other celebrations of sacraments with all the fervor and participation that marked our popular devotions. It sometimes appeared that, with popular devotions less emphasized, Mary and the saints were also losing their place in Catholic life. Instead, this has been a time of nurturing fresh growth, with new insights and em-phases to invigorate and renew our faith-lives. The recent Marian year stands as a proclamation of the renewed understanding of Mary's place in the life of the Christian faithful. In this issue, we look through four different prisms at Mary. The first article is "Mary in Contemporary Culture" by Father Stan Parmisano, O.P. Just as Mary has played a distinctive role in the various ages of the Church, for example, in the "lady" ideal of the Middle Ages culture, so we need to ask how our relation to Mary facilitates our Christian re-sponse to.the issues and values prevalent in culture today. The author 321 399 / Review for Religious, May-June 1989 stimulates our own thinking about the hidden ways in which Mary might be said to be prevalent in our culture. The second article in this issue is "Through Mary" by Ms. Hilda Montalvo. As wife, mother, and teacher, Ms. Montalvo calls us all into a personal reflection upon what the dogmas about Mary mean to us. She points the way to seeing how Marian dogmas are necessarily Christian dogmas, helping us to clarify our own relationship with God and to en-rich the meaning of our human lives. Sister Mary Eileen Foley, R.G.S., writes the third article on Mary, raising the question in her title, "Reflections on Mary, Bridge to Ecu-menism?" In view of an existing Reformation tradition in which the honor given to Mary continues to divide Roman and Eastern Catholic and Orthodox Christian from the majority of other Christian churches, Sis-ter Mary Eileen suggests ways of seeing how a new understanding of Mary may well be in our day a true ecumenical bridge. The fourth article allows us all to pursue further at our leisure the most recent writings on Mary. Father Thomas Bourque, T.O.R., pro-vides us with a selected bibliography of writings about Mary which have been published between the time of Paul VI's exhortation, Devotion to the Blessed Virgin Mary, and John Paul II's encyclical, Mother of the Redeemer. Hopefully this compact bibliography can serve as a helpful resource for a fresh and renewed understanding of Mary's role in the lives of Christian peoples. Finally, I will note that in a newly added section to our Book and Cassette Reviews area, called "For the Bookshelf," we have briefly noted the contents of a few books about Mary just recently published. I hope that you will find the occasional addition of this section to Re-views a help in highlighting those recently published books, which we want to note and can often group around certain themes or issues. David L. Fleming, S.J. Mary In Contemporary Culture Stan Parmisano, O.P. Father Stan Parmisano, O.P., is Regent of Studies for the Western Dominican Prov-ince. He teaches at the Graduate Theological Union in Berkeley, California in the area of Religion and the Arts. His address is 5877 Birch Court; Oakland, California 94618. ~ have been asked to specify the difference Mary, the Mother of Jesus, makes or can make in our contemporary culture. Let me first propose some principles, or basic thinking, that may help toward a fruitful dis-cussion of the complex of issues and subjects involved in the question. Afterwards, we may consider some of these particulars in terms of Mary and her possible role within them. We think of the presence or absence of Mary, as of Jesus, in terms of visibility or of imaginable or intelligible content. Thus if there is a dearth of "thinking" about Mary or of images of her, we would say that she is absent in our time; on the contrary, we would say that she was pre-sent in former times, especially in the medieval and early renaissance worlds, when she was quite "visible" in the content of theology, art, architecture, poetry, music. But there is another kind of presence: invis-ible, unconscious, the presence of form rather than content, the kind of presence we are asked to look for, say, in non-representational art or in music, or in poetry where the music or rhythm precedes idea and image and helps create them. t This is a presence of thrust, of dynamic, of spirit ¯ . . like that of the Spirit of God (ruach Elohim) hovering over the yet unformed waters of chaos and warming them toward visibility and life. I want to suggest that perhaps Mary is present here and there in our time in this last manner, and that we should strive to promote her more universal presence in this direction as well as in that of visible content. In fact, this is the direction in which we should seek to define culture 323 324 / Review for Religious, May-June 1989 itself. Culture is not a matter of any one specific content or subject or activity nor of all taken en masse. Rather, it is the inherited dynamism or spirit or form that produces each of them in all their various nuances, though it itself is affected and reshaped by them.z The same is true with regard to God and Jesus: it is not so much the content of our thought about them, not the images we have of them that is telling, but what un-derlies these, beyond thought and image, inspiring and shaping the con-tent of our belief. I would regard Mary in a similar way. In the earliest Church there was not, perhaps, much content or visibility of Mary, at least when com-pared to Jesus and his male disciples, to Paul and his entourage. But, to borrow an image from one of her later lovers, I would suggest that she was there from beginning to end as "atmosphere," as "world-mothering air, air wild," as form or spirit shaping the emerging thought and action of the Church.3 Certainly it was in her modest context, her "atmosphere," that Christ was preserved from mere myth and acknowl-edged as substantially and earthily human (so Paul's almost casual aside: "born of a woman"). By the late Middle Ages and early Renaissance that spirit had blossomed into a fullness of content. Then that content be-gan to harden till in some instances and locales it quenched the moving spirit and became identified with Mary. And could it be that Vatican II tried to recover her spirit, the "form" of Mary? If so, we must not mis-take what it had to say about Mary for the fullness of Mary but, with its beginnings, refocus on the thrust of Mary in our time and beyond. In speaking of Mary's presence in this way I would hope to suggest another presence, that of the Holy Spirit. Saint Maximilian Kolbe spoke boldly of Mary as the quasi-incarnation of the Holy Spirit, emphasizing the latter part of this hyphenation. Since then, less venturesome theolo-gians have accentuated the quasi.4 In any case few Catholic theologians will deny Mary's special and intimate relationship with the Spirit. They go hand in loving hand, indissolubly Wedded--not only because they were cooperatively together at the conception of Christ and later at the birth of the Church, but because they have a kind of natural affinity. Both are hidden, in the background as it were, but dynamically so, strik-ingly reemerging at critical moments in Jesus's adult years--as when the Spirit leads Jesus into the desert to prepare him for his ministry, and when Mary, waiting for Jesus "apart from the crowd," inspires in him the revolutionary declaration as to his true and lasting kindred (Mk 3:31 - 35). There are other shared characteristics. These are discoverable in cer-tain movements or thrusts of our time, and I suggest that we look here Mary in Contemporary Culture / 395 for the presence of Mary/Spirit in our time as well as in any explicit Marian theology or devotion. Some of these revelatory movements are as follows. The interiorization of religion. Certainly emphasis today is on the sub-jective aspect of belief and morality. Even those who rightly uphold the objectivity of belief and morals are concerned more than ever with lib-erty of conscience, personal and cultural limitations of understanding, the virtue of prudence and its largely intuitive functioning, the unique-ness of a given "situation," the restoration in one form or another of casuistry(the individual case). But interiorization, subjectivity, intuition are of the unpredictable Spirit "who blows where he wills" and of the traditionally feminine rather than of the predictably and predicting ra-tional and the traditionally masculine. Purged of all excess and distor-tion, they are, in other words, of the Holy Spirit and Mary. Contemplative prayer. In the last twenty to thirty years there has been in the western world a mounting interest in and practice of medita-tive prayer, sparked by eastern imports such as TM, Zen, Yoga, and now developed along lines of traditional Christian contemplation. This prayer is seen now to be not just for the select few, mainly among nuns and monks, but for all in whatever walk of life. Here is obviously another aspect of interiorization and the letting go of content in favor of a poised and expectant darkness. It is not a looking to what is outside (image, word, symbol, creed) but to what is within, to the private, personal "reve-lation," to what God is "saying" to me here and now--like a pregnant woman turned inward, quietly aware of the mystery growing within her. Here again is the Holy Spirit praying within us when, as St. Paul tells us (Rm 8:26-27), we do not know what to pray for (that is, when all con-tent is surrendered) and here is Mary, the silent, surrendering contem-plative par excellence. Unseen, unfelt, they are at the heart of so many today who are trying to pray such prayer, and so many others desper-ately in need of it if only to avoid being torn apart and scattered by the noise and confusion of a world off-center. Ecumenism. Another mark, and need, of the contemporary Church is ecumenism, conceived now as the unification not just of the various Christian churches but of the worldreligions as well. Again we may see here the stirring of.the Spirit who is the bond of love, the vinculum cari-tatis, uniting Father and Son, the one hovering over the deep bringing, at the Father's Word, order out of chaos, the one forming and securing the one Church in the beginning. And as Mar~,, with and in the Spirit, brought to birth the one undivided Christ, so is her labor today with re- 326 / Review for Religious, May-June 1989 gard to the Church. It is the opinion of many Catholic theologians that Mary should be downplayed today so as not to offend our Protestant broth-ers and sisters and thereby impede ecumenism. I should think it would be just the opposite, providing the depth of Mary is presented, which is her spirit, her form more than her traditional content; yet the latter, in the purity of Church teaching and practice, is of marked importance, too, for itself and for what it reveals of her spirit and the new directions that spirit may take, for all the churches, in the future.5 Social Justice. Whereas in former times we would speak of charity and the works of charity, now the cry is for justice and the doing of jus-tice: we do for the poor not so much out of our love and their need as out of our sense of justice and their rights. Again, in the past justice has been in the main the province of the male, the one actively engaged in the world, in politics, business, civil defense, and so forth. But women are more and more coming to the fore in it, seeking justice for themselves and for the marginal and oppressed in general. Here we may note a fresh dynamic of Mary--the seed of which, however, was there from the be-ginning. Thus those writing of Mary today, particularly women, view her in the context of the women of justice in the ancient Hebrew world-- Esther, Deborah, Judith--and see a whole theology of social justice in Mary's Magnificat.6 And if the movement toward social justice is of the Holy Spirit, who as creative Love seeks balance, harmony, substantial peace and concord, then, yes we can find, if we look, the Spirit's spouse at work with the Spirit toward the same goal. Mary, while drawing us within in contemplative stillness, also directs us outward to the Christ who lived and lives in our objective, tangible world and identified him-self with the quite visible poor and needy. She points to this Christ dwell-ing outside us as well as within, just as does the Holy Spirit who, as the gospel tells us, is there to remind us continually of all Christ has visibly done and audibly spoken. Perhaps part of the new "content" of Mary today is this visibility of the woman in works of justice and peace, not as having lost the interiorization, the contemplative spirit, the gentle, mothering love of her past, but as gaining something in addition: the hid-den life while, paradoxically still remaining hidden, come forth openly to help heal the world. Mary remains what she was in the past and there-fore under the press of current need becomes someone new for the pre-sent. When considering Mary in her relationship to women, past and pre-sent, we must be cautious. Christ is male; his maleness is part of his his-tory, and history is important in the religion known as Christianity. But Mary in Contemporary Culture / 327 his maleness is meant mainly as a means of access to his humanity and person which are neither male nor female. Christ is equally for both men and women, though, of course, in different ways according to different psychologies and cultures. However, the h~stoncai fact of Christ s male-ness has often dominated our thinking about him, with regretful results; as when, in spite of changes in psychologies and culture it is used to jus-tify an ongoing exclusive male ecclesiastical leadership. Similarly with Mary. Her femininity is a providential part of her history, but it is as a human being and person that she is of greater moment. Accordingly she is for the man as well as the woman; she serves both equally and both are equally to learn from her, though, again, in different ways. Yet her femininity has had its influence, for good and bad. For bad." it has tended to limit our ideal of the Christian woman to what it was in Mary's own day and to which, accordingly, she herself was in good measure bound. For good: it has softened our conception of God and so made our ap-proach to God easier, more inviting, loving rather than fearful. In and through the gospels, past art and poetry and drama, seeing God in the arms and in the care and "power" of this then insignificant Jewish woman--quiet, gentle, lowly, we find some of that same womanhood rubbing off, as it were, on Father God. A fair part of the accessibility of Jesus himself, his merciful compassion, is the fact that he has Mary as his flesh and blood mother. Without her, would we be altogether con-vinced of the mercy of God and the understanding compassion of Jesus? Here is one way in which the "content" or dogma of Mary has affected us in the past, with its mark still upon us, thankfully. In the present thrust of woman toward justice, with Mary behind (and before) her, it would be tragic if this content were surrendered in favor of one that is hard, merely active, superficially and imitatively masculine. Eventually God himself might regress into the terror and cruelty of past and present dark religions. Mary, the Spirit, and Christ Above I recalled the bold but, to my mind, accurate Mariology of St. Maximilian Kolbe. Mary is the spouse of the Holy Spirit in a unique way, such that we can speak of her as the very incarnation of the Spirit, with some reservation (quasi). As indicated above, some Catholic theo-logians are embarrassed by this as by much else in the Church's past the-ology and practice concerning Mary. They think it an exaggeration of the biblical teaching and find it an impediment to union with our Protes-tant sister churches. As to the first objection we must insist that Scripture was not meant Review for Religious, May-June 1989 to stand alone: it sprung up out of the Church (community of believers) and its seeds are meant to grow within the Church under the care of the same Spirit who once inspired it. There was an initial content, to be re-spected as the Spirit's word through all time; but there were also drives, dynamisms within the original word, forms yet to find their specific con-tent or matter. Thus the gospels' powerful presentations, lovingly and carefully lingered over, of the relationship between Mary, Jesus, and the Holy Spirit cry out for meditation and penetration and so the revelation of truths beneath the surface. Thus we have the doctrines of the Immacu-late Conception, Assumption, the Queenship of Mary, and so forth; and her quasi-incarnation of the Spirit. This last is not to make a god of Mary. The gospels are clear on this score: Mary is the handmaid of the Lord, his lowly servant. Rather it is to point up something in God--the femininity, womanhood,, motherhood of God. Mary can be looked upon in two ways: as an historical person, flesh and blood, the daughter of Anna and Joachim (or of whomever), the physi-cal, natural mother of Jesus. Here she is all and only human. But she must also be seen as symbol, but the special kin~ of symbol that makes what is symbolized present in very reality. Thus as the Eucharist does not simply remind us of Christ but makes him really present upon our altars, so Mary does not simply recall the Holy Spirit to our minds and point us in the Spirit's direction; she makes the Spirit. really present among and within us. Seeing her we see the Spirit, as seeing the Eucha-rist we see Christ himself. This is a good and legitimate reason for ad-dressing the Spirit as feminine--not as a sop for the marginal woman but simply because as there are reasons for addressing God as Father or Son there is this equally cogent reason for addressing God as Mother.7 As in time, in the mystery of the Incarnation there is eternal Father, mother Mary, and Son Jesus, so in eternity there is Father and Son with mother-ing Spirit as their bond of Love. As for the difficulties such teaching may hold for ecumenism, they may be only initial difficulties. As suggested above, if we view Mary and present her in terms of form, thrust, spirit, and not just as already shaped content, and if we continually move deeper within this content in context of present needs and lawful desire, perhaps Protestants will eventually come to see what Catholic belief and theology have long since held as truth and will thank us for having led the way back home, as we have reason to thank them for having helped bring us back to much that had been lost. One final remark before considering some of the specifics of our sub- Mary in Contemporary Culture / 329 ject: it has to do with Mary's relationship with Christ. Again, in sensi-tivity to Protestant criticism and in reaction to exaggerated statements about Mary and misguided devotion to her, Vatican II and ecclesiastical documents and theology since have been most careful to insist upon the subjection of Mary to Christ. Salvation is through Christ alone; he is the one mediator between God and humankind. There is little if any talk about what formerly there was lots of talk about, namely of Mary as co-redeemer and mediatrix of all graces. Such theologizing, it is believed, and the devotion arising from (or producing) it detracts from the power and mission of Christ. But I wonder if we are not here misconceiving power and the whole matter of Christ's redemptive work. We seem to be equating Christ's (God's) power with power as we ordinarily think of it: dominating rule, often exclusive. But Christ's power is not univo-cal with ours, and he himself quite literally took the greatest pains to turn the tables in the matter: "You know how those who exercise authority among the gentiles lord it over them . It cannot be like that with you. Anyone among you who aspires to greatness must serve the rest . Such is the case with the Son of Man who has come, not to be served by others, but to serve" (Mt 20:25-28). And what about the power of love, which is Christ's power, or that of helplessness: the power of the sick to draw upon the strengths of oth-ers to heal and console, the power of the ignorant to create scholars and teachers, and so forth? I have often observed that the one with most power in a family is not the father or mother but the newly born baby, the whole life of the family revolving around the child precisely because of its powerful helplessness. If this seems farfetched relative to God, we have only to think of the Christ child in the crib at Bethlehem and the adult Christ upon the cross on Calvary. And what of the power of one who knows how to share his or her power, which requires greater strength, ability, "power" than to keep it all to oneself? I should think the great power of Christ, of God himself, is most manifest in the power to empower, to raise others to his very life and level. Jesus at the Last Supper remarked: "I solemnly assure you, the one who has faith in me will do the works I do, and greater far than these" (Jn 14:12). Not ex-clusive but inclusive--such is the power of Christ. Though our Holy Father in Redemptoris Mater follows Lumen Gen-tium in insisting upon Mary's subordination to Christ, h~, together with the Vatican II document, reiterates an old principle we ought to consider with equal care: "The maternal role of Mary towards people in no way obscures or diminishes the unique mediation of Christ, but rather shows 330 / Review for Religious, May-June 1989 its power" (emphasis mine). Why not assert this aspect of Christ's power and see Mary as true queen "at the side of her Son," as the encyclical expresses it? Indeed, for centuries and still today, at least in our Christ-mas liturgies and devotions, we see the King rather in the power of his mother and in her arms, enfolded by her who gives him to the nations: "and so entering the house, (they) found the child with Mary his mother. Who am I that the mother of my Lord should come to me . He went down with them then, and came to Nazareth, and was obedient to them . Figlia del tuo figlio, queen of heaven" (Mt 2:1 I ; Lk 1:43; Lk 2:51; T. S. Eliot, Dry Salvages, after Dante's Paradiso, xxxiii). In one mariological conference that I attended the speakers were in-sistent that we not view Mary apart from Christ. I kept thinking yes, but might not the reverse also be true: we must not view Christ apart from Mary. In Redemptoris Mater, John Paul several times reminds us of the indissolubility of the bond between Mary and Jesus and explicitly de-clares that "from the very first moment the Church 'looked at' Mary through Jesus, just as she 'looked at' Jesus through Mary." Christ does not want to be viewed in splendid isolation with everyone insisting that everything and everyone else is subordinated to him. His own image of himself is of one who serves, just as Mary's self-image is of the Lord's handmaid, neither thought less of their dignity for that: "Behold, all gen-erations shall call me blessed" (Lk 1:48). Mary is the first-fruits of the redemption, the Church in promised fulfillment, the Mother of the Re-deemer, of God himself, the spouse of the Holy Spirit and the effective symbol of the Spirit's presence and action in the world--this woman who embodies the very motherhood of God holds the new creation in her arms and nurtures it, just as she did her divine Son centuries ago. She has a greater, more powerful (loving) role in the work of redemption than much of our present theology is prepared to concede or any of us begin to imagine.8 At the conclusion of Redemptoris Mater we read: ". the Church is called not only to remember everything in her past that testifies to the special maternal cooperation of the Mother of God in the work of salva-tion in Christ the Lord, but also, on her own part, to prepare for the fu-ture the paths of this cooperation. For the end of the second Christian millennium opens up as a new prospect." Our Holy Father also calls for "a new and more careful reading of what the Council said about the Blessed Virgin Mary, Mother of God, in the mystery of Christ and the Church . " Renewed thinking about Mary and action relative to her Mary in Contemporary Culture / 33"1 are called for.9 But we are to do our thinking and acting in the context of both Scripture and the wider tradition, and of current need. We are to listen to the living Spirit as "she" shows within this treasure, Mary, both the old and the new. Mary and Some Specifics of Culture: Psychology In light of the above generalized reflections on Mary and contempo-rary culture I would like to comment briefly upon several segments of our culture in terms of Mary's possible role within them. In the area of psychology, so overwhelmingly influential in the shaping of our contem-porary culture and such an intimate part of it, it depends on what psy-chology we are talking about. If it is Jungian depth psychology, we need not look long or far to find Mary's place within it. Much of the work has already been done by the master and his disciple. Jung maintained that ideas and archetypes such as the anima, the intuitive, the dark, the yin--in general, the feminine--are underdeveloped in our western cul-ture, with disastrous results. His psychology must go even further today and add they are also on the wane in much of the eastern world in com-petition now with the west in its masculine drives toward action and domi-nance, rational knowledge and acquisition. This psychology's percep-tion, then, of the need for Mary or some equivalent dynamic is evident. Jung himself expressly spoke of the need in terms of Mary. He rejoiced over the definition of the doctrine of Mary's assumption, declaring it to be "the most important religious event since the Reformation." At last the feminine was given the exaltation it requires and deserves.~° However, as suggested above, and as Jungian psychology insists, we must not think of the feminine exclusively in terms of the woman. In the past maybe so, and in our present world still many women may be said to possess more of the "feminine" than do men. But feminine charac-teristics are meant to be part of the male psychology as masculine ones of the female, and cases abound where dominance in one or the other is reversed. I think of the two great sixteenth-century Carmelites. Both Teresa of Avila and John of the Cross had the organizational skills and drives and other "masculine" traits appropriate to founders and reform-ers of religious orders, and in these Teresa, as evidenced in her numer-ous religious foundations and governance thereof, may be said to have surpassed John. Again, both were richly passive, intuitive, contempla-tive, steeped in dark and mystery and in cleaving, passionate love, all notable feminine characteristics. Yet it is John, at least as revealed in his poetry, who appears the more feminine: he is the anima, the woman pas-sive under the strong and passionately active love of a quite virile God. 332 / Review for Religious, May-June 1989 To what extent, therefore, the feminine characteristics are de facto ¯ found in women more than in men may be moot. But they are definitely the major component of the psyche of the woman Mary as she appears in the gospels. Mary's strong, paradoxically active passivity (she brings .forth the Word as she receives it), her alert and watchful hiddenness, her concern and compassion for those in need (Cana) and for the suffering (Calvary), her motherhood (of Christ and the Church), her deep, loving fidelity (from thefiat of Nazareth and before to that of Calvary and be-yond) are purposely emphasized that both men and women might real-ize their indispensability in each life that would be Christ's. They are also underscored to draw our attention to the feminine in Christ, whom oth-erwise we might tend to view simply as masculine: visibly out front, ac-tive in his preaching, teaching, healing, immersed in religious contro-versy-- a male among a world of males. In the context of his mother (and the other women who surround him), Jesus is still masculine but we are forced to attend to the deep roots of his masculinity, which is his femi-nine Spirit: his passivity (his prayer and passion), his hidden life even as he actively encountered the world, his cleaving love and compassion unto death, his motherhood (Mt 23:37; Lk 13:34). In Mary's presence, her "atmosphere," such qualities of Christ are not simply seen, but they are seen to be the best of him. Jesus was so powerfully and creatively masculine--such a leader for his time as for all time--because his mas-culinity was rooted in and suffused by the feminine, the Spirit. It is Mary who as his mother nurtured him in this, and who helps draw our atten-tion to it. It is she, then, who as our mother nurtures us in the same Spirit and in a similar way. As for other psychologies suffice it here to say that Mary should be looked for behind and within any therapy working toward healing and wholeness. Again, it is Christ who is the healer, but it is Mary who in-itiates the process by bringing Christ to birth, in the world at large and in each individual. Mary, one with the Spirit, struggles and groans in each of us to bring us to the wholeness, the sanity of Christ. Like her, and with her, we concentrated on the activefiat that allows it all to hap-pen. Politics, Economics, Sociology In the political, economic, and sociological concerns of our time Mary points up the need for the hidden, the contemplative, and for uni-versal justice (as in her Magnificat), and, though unnoticed, she is be-hind and within all creative efforts toward these ends. The absence of the contemplative, of the feminine in general, in contemporary politics Mary in Contemporary Culture / 333 is evident, and results have been tragic. Because they lack roots, our poli-tics, both domestic and foreign, change even as they are being formed; and this condition is aggravated by lack of goals other than immediate and pragmatic. But it is the contemplative spirit that gives depth and con-stancy and lights up the future and beyond. Also, our current concentration is upon superficial differences and divisions (my need, my race, my country, my self) rather than on our deeper oneness, which only contemplation, in the one God-centered form or another, can reveal and promote. Further, the disturbance we experi-ence within and among nations may well have as its root cause the fail-ure of the contemplative, the fruit of which is "the peace that surpasses understanding." And so we find divisions among us, the growth of fear, the expan-sion of military might to safeguard our "own" war or the cold threat of war. We look, then, to Mary, universal Mother and Queen of peace, for political healing. She is already there, in this felt social need, but also in those religious orders of men and women whose main concern is con-templation. One of the concrete ways in which the state might help work its own remedy, and so implicitly acknowledge Mary in its functioning, is itself to encourage and promote contemplative communities within its boundaries. These would help make up for the failure of prayer else-where and would be invitation and incentive for the rest of us to unite ourselves with them, at least from time to time, and so help bring our nation and the world to greater depth, unity, and peace. If the need for Mary and what she represents is obvious in politics, it is more so in the field of economics. Here the masculine dominates to the complete exclusion of the feminine, and material concerns have been so isolated from the spiritual that never the twain do meet. This is especially disturbing when we realize that it is economics that determines even our politics. Science too, as technology, is subordinated to it and dominated by it. Indeed, economics has become the dominant factor of our culture or a-culture; it is our pseudo-religion, often becoming, in fact if not in theory, the determining force in more legitimate and traditional religion. If, then, Jesus needs to be born into our world today, it is cer-tainly here in our economic systems and practice. And if born here, he may begin to penetrate the rest of our world. So once again we look to Mary to mother Jesus where he is most needed and we do what we can to help her in the birthing. To see sociology in terms of Mary is to reconsider love. Whatever the other theories as to the origin of society, from the Christian perspec- 334 / Review for Religious, May-June 1989 tive it is love that first brings us together and, accordingly, it is love that is society's fundamental problem. So from its beginnings Christianity has taught that the basic unit of society is not the individual but the family which (ideally) is the product of love; and social workers, I believe, would readily agree that it is the lack of love, with the resulting fear and loneliness, that is their chief concern. But today love which is meant to unite is itself fragmented. Sex, in-tended to be integral with love, has been divided from it and made to function alone with all the consequent evils, both mental and physical, that plague our society. The inward-outward directions of love have also been severed, so that now it is either love of self (inward) to the exclu-sion of others or the love of others (outward) to the neglect and loss of self. One of the results of this is the breakup (further division) of the fam-ily which, accordingly, is now challenged by sociologists as the de facto basic unit of society. Mary can and, in secret ways, does have a curative place in all of this. Her love was integral. It reached out to others in and through Christ's large love; indeed, she brought that very love to birth. But she also reached deep within herself to the Spirit of love wherein she found her personal growth and happiness: "All generations will call me blessed." True, she "knew not man." But this does not mean her love was sexless. It is the myopia of our time that sees sex as having but one kind of expression. Mary can alert us to look for the depth in sex and sexual love and so open to us new possibilities of love. And love restored to wholeness should work toward the restoration of the centrality of fam-ily with consequent diminution of fear and loneliness. The Arts and Sciences Mary can have, and has, her place in those areas of our culture known as the arts and sciences. In any presentation or exercise of the hu-man, as in the arts and sciences, we are to see Christ, of course, but also Mary who, in her Immaculate Conception and her conception and birth-ing of Christ, was the first to bring the human to perfection. But as in Christ the human is perfected in and through the divine (Christ's person and divine nature) so also we find Mary bringing the human to perfec-tion in, through, and toward the divine. Again, it is a matter of whole-ness, which our contemporary world tends always to divide. Apart from the divine the human can only degenerate into the inhuman; but with the divine all of its gifted potential is realized. It is in this sense that the only true humanism is Christian humanism. Thus in the arts and sciences Mary is present as they express and promote the human, and she is dy- Mar), in Contemporary Culture / 335 namically present, moving them forward and deeper into the divine to become divinely human. Christ alone might be said to suffice for this: he is the one who in his very person brings the human to perfection. But Mary gives assurance of and added emphasis to Christ's humanity (he is of herflesh) and his divinity (she is Mother of God) and is responsible for the becoming of these in our world (she conceives and nurtures the perfect human being). She is behind the process of the arts and sciences. Here, then, as elsewhere in our contemporary world, Mary, together with her Son, may be found, not just as a possibility, but as actively engaged in shaping a reemerging culture. Our concern ought to be to look for them together and, having found them, enter into their work. NOTES ~ "I know that a poem, or a passage of a poem, may tend to realize itself first as a particular rhythm before it reaches expression in words, and that this rhythm may bring to birth the idea and the image; and I do not believe that this is an experience peculiar to myself." T. S. Eliot. "The Music of Poetry" in On Poetry and Poets (New York: 1957), p. 32. z Eliot again: "Culture cannot altogether be brought to consciousness; and the cul-ture of which we are wholly conscious is never the whole of culture: the effective culture is that which is directing the activities of those who are manipulating that which they call culture." Christianity and Culture (New York: 1949), p. 184. For Eliot's summary definition of culture see p. 198. 3 Gerard Manley Hopkins in "The Blessed Virgin compared to the Air We Breathe." 4 Ren~ Laurentin, indeed, disapproves of the expression altogether, reserving the term "incarnation" for that bf Christ alone~ However, he proceeds to speak of Mary as "pure transparency for the Spirit . . . she is wholly relative to the Spirit; this indeed is at the very core of her deep relationship to Christ and the Father." "Mary and the Holy Spirit," in Mary in Faith and Life in the New Age of the Church (Ndola- Zambia: 1983),"pp. 287-288. 5 See note 9 below for C. Jung's defense of Mary, precisely as in Catholic dogma, as a remedy for a defective Protestantism. In a letter to The Tablet, Sept. 5, 1987, p. 944, Dora Bede Griffiths, writing from his ashram-in Tamil Nadu, South India, suggests a rapprochement, between eastern religions and Christianity through the femi-nine. He notes that in Hebrew the "word for the Spirit (ruach) is feminine and in the Syrian Church, which spoke a form of Aramaic, which is close to the Hebrew, reference was made to 'our Mother, the Holy Spirit.' " The same for the Hebrew word for Wisdom (hokmah): it too is feminine and "this Wisdom is described as 'coming forth from the mouth of the Most High' as a feminine form of the Word of God." He suggests the possible enrichment of our Christian tradition by contact with Hinduism which "has no difficulty in calling on God as 'My Father, my Mother' and with Mahayana Buddhism which conceives of the highest form of Wis-dom as a feminine figure. Dora Bede does not mention Mary here, but it is my sug-gestion that she it is who concretizes the divine feminine, gives it flesh. Thus she 336 / Review for Religious, May-June 1989 is the one who, rather than impede universal ecumenism, is meant to help in its re-alization. 6 There are the fine women theologians writing on Mary, such as E. S. Fiorenza and E. Moltmann-Wendel. But I am also thinking of the poets who perhaps do even more to deepen and broaden our knowledge and appreciation of Mary: a Caryll Houselan-der of the past generation and an Ann Johnson of the present. For the Magnificat especially, see the latter's Miryam of Nazareth: Woman of Strength and Wisdom (In-diana: Ave Maria Press, 1984). 7 In his essay "Sur la maternit~ en Dieu et la feminit6 du Saint-Esprit," Escritos del Vedat !I (1981), Yves Congar argues from Scripture and Tradition to the femi-ninity of the Holy Spirit, but is here silent as to Mary's role in the "sacramentiz-ing" of it. The essay may also be found in Theology Digest 30:2 (Summer, 1982) pp, 129-132. 8 Solus Christus, as solafides and sola scriptura, requires severe qualification. For centuries Catholic theologians have argued vigorously against ~he two latter formu-lae. They have been rightly suspicious of such exclusivity in view of the fullness of Christian revelation. For the same reason, perhaps, they should also challenge the solus Christus, this time in view of the fullness of Christ who is our revelation. 9 In an interview carried in America (June 6, 1987), pp. 457-458, Cardinal Suenens stressed the incompleteness of Vatican II's declaration on Mary. "I felt we needed to say more . She is not merely an historical figure; from the beginning she has been given an ongoing mission to bring Christ to the world." ~0 C. G. Jung, "Answer to Job," in Psychology and Religion: West and East, trans. by R. F. C. Hull, Bollinger Series XX (Pantheon Books, 1958), p. 464. Jung goes on to criticize Protestantism for its criticisms of the dogma. "Protestantism has ob-viously not given sufficient attention to the signs of the times which point to the equal-ity of women. But this equality requires to be metaphysically anchored in the figure of a 'divine' woman, the bride of Christ." Jung realizes that the dogma does not give Mary "the status of a goddess," still "her position (now) satisfies the need of the archetype." 1 don't know how this last can be, however, unless it is in and through Mary that we recognize that within the godhead itself the feminine is real-ized in the Person of the Spirit. Through Mary. Hilda S. Montalvo Hilda Montalvo is currently teaching at St. Vincent de Paul Regional Seminary in Boynton Beach, Florida. She is a wife and mother, currently a candidate for a Doc-torate in Ministry. She has completed the graduate program in Christian Spiritual Guid-ance from the Shalem Institute for Spiritual Formation in Washington, D.C. Her ad-dress is 7151 Pioneer Road; West Palm Beach, Florida 33413. The other day at a Lay Ministry workshop there was a spontaneous burst of applause when I shared my way of praying Mary's life. From the be-ginning of my spiritual journey over twenty years ago I have had an in-tuitive knowledge that the objective "facts" and titles about Mary were important not only because they honored and revered the mother of God but also because they spoke of my reality as a human being and a Chris-tian. These Marian dogmas have helped me to clarify and understand my basic assumptions of myself, my relationship with God, and the mean-ing of my life. I have always had a problem with original sin. To inherit Adam's sin is simply not fair, and so at seven I became an agnostic. The idea of a God that punishes and condemns innocent people--and I experi-enced myself as innocent--was repulsive and frightening. Christianity was not good news. If I was good, if ! kept the commandments, then God would love me. The dogma of the Immaculate Conception simply meant that God had wai.ved that evil from one person. To be born with original sin was bad enough but at least it was a shared human experi-ence and it explained (somewhat!) evil and death. But if Mary was born without it, not only was she not totally human but her "fiat" was pre-destined and she had no actual freedom. Christianity became good news when I realized that the fall/ redemption concept of original sin was simply one way of understand- 337 331~ / Review for Religious, May-June 1989 ing the Genesis story. The traditional interpretation of the story of Adam and Eve posits a paradise lost because of disobedience and the conse-quent punishment of suffering and death. But modern biblical interpret-ers such as Brueggemann are recognizing that the fundamental revela-tion of Genesis is that God's creation is good and that God is constantly gracing and blessing it. God made man and woman in "our" image and it was very good. That has to be the most important assumption of our spiritual life. Each person must come to a personal conviction of this truth that is not only an intellectual response but a lived, grounded ex-perience. The story of Adam and Eve is now being understood as that moment in history when human beings first become self-consciously aware, the first truly human act. Before that there was simply undifferentiated ex-istence; total unconscious dependence on environment and relationship, such as each baby.lives through his or her first year. The process of be-coming self-conscious, of becoming autonomous, in a child can be de-scribed a bit facetiously as the "terrible two's," in humankind, as the Fall. Original sin is not a 'thing' that we are born with: it simply de-scribes in mythological language our natural tendency for independence. Catholicism has always affirmed that grace builds on nature. Crea-tion spirituality, which has its origins in the earliest writer of the Bible, the Yahwist, emphasizes the constant presence and blessings of God in spite of the seeming sinfulness of his creatures. The main thrust of the whole Yahwist Saga which culminates in that beautiful and simple story of Balaam and the talking ass (Nb 22:25) is to celebrate God's refusal to curse his people and his insistence of unconditional love and bless-ing. We, like Balaam, are blinded by our needs and expectations. Per-haps .the Immaculate Conception is yet another reminder of our innate gracefulness? Could not this be the fundamental celebration of baptism? Jesus experienced the unconditional love of his Father at his baptism; we celebrate this same unconditional love and our acceptance into a lov-ing community at our baptism. Mary's Immaculate Conception could be the reminder of God's unconditional covenant with each one of us and the celebration of his covenant through one individual. It is not a nega-tive gift--but a positive statement: God is with us and for us. Original sin (and now I can begin to forgive God and Adam!) is the mythical explanation of our desire for independence from God and his creation--autonomy--with the inevitable consequence of alienation and death. Baptism is the celebration of the fact that God not only loves us unconditionally but is present within us and among us; it effects what it Through Mary / 339 signifies. The truth and hope beyond individualization is unity with God and interdependence with others--co-creators of the parousia, paradise, but now conscious and mature and in freedom. Mary is the archetype of this truth which has been named as Immaculate Conception. At the experiential level I resonate with Mary's "fiat." I also have experienced, am experiencing, the overshadowing of the Holy Spirit and have been afraid and anxious. I also wrestle with the "how" and "why" and the "why me." I also (carefully and tentatively) have said "fiat" and Christ has become incarnate, is now conceived, and contin-ues to be conceived in my life moment by moment. I also have felt com-pelled to go forth and share this good news with others. I give birth daily to Christ in my family, in my ministry. I also sing daily "My soul mag-nifies the Lord, my spirit exalts in God my savior." Mary's story is my story and every Christian's story. She is the ar-chetype of the Disciple as well as the archetype of Woman and Mother for both men and women. An archetype, in Jungian terms, is an image in thepsyche that when recognized and owned can serve to integrate be-liefs, feelings, and behavior. Unless one allows the Word to be con-ceived within one's very being, Christianity remains barren and lifeless, a moral code. It is onlywhen I become willing to accept the transform-ing gracefulness of God's love and presence in my life that I become ca-pable of writing my own Magnificat. As I journal the events of my life I become aware that God "has done great things for me," not least of which is to radically change my values and priorities. Mary is both virgin and mother. If this is understood only in the physi-cal sense, it is simply a faith statement that speaks exclusively of Mary. Mary "undefiled" stands above and beyond created reality, sexuality, and life itself. By implication, then, all persons who express their love sexually, even in stable and committed relationships, are impure, cor-rupted, polluted, tainted, or unclean. The list of synonyms in Roget's Thesaurus is much longer. But dogmas and doctrines speak of the truth of our nature and our relationship with God and with one another. Thus it behooves Catholic Christians to question what God is revealing through this dogma. Might it not mean that "perpetual virginity" means a life of integrity and innocence in any walk of life? Every disciple must conceive and birth Jesus; must be reborn; must be both virgin and mother regardless of his or her sex or sexuality. This way of perceiving Mary's virginity and motherhood can be especially fruitful for men who, in Jung's terms, project their ideal image of woman instead of accepting and owning their own femininity or anima. Mary Review for Religious, May-June 1989 within, for all disciples, symbolizes openness, receptivity, gentleness, gracefulness--many of those feminine virtues that have been lacking in our contemporary society. As a wife and mother I recognize and celebrate both the gift of moth-erhood and the wholeness and purity of my own life that is bespoken of through virginity. In and through motherhood I continue to be uncon-taminated, unprofaned, spotless, unblemished, andchaste. As I pray this dogma I become more comfortable with the paradoxical reality of my own inner being; I begin to name and own my authentic self; I become more open and vulnerable to the healing presence of Christ within. To meditate on the dogmas of Mary in this fashion helps us come in touch with the paradoxical nature of creation. It helps us to see be-yond the either/or stance that divides, judges, and creates conflict and war. It helps us to accept that much broader vision of both/and that is so freeing and encompassing. It helps us to see and understand the dif-ference between facts and Truth, between knowledge and wisdom. It is an invitation to live and enjoy mystery, to be surprised by newness and resurrection and Presence. Meditating on the dogma of the Assumption can be especially help-ful for us in recognizing our projections of the categories of time and space unto life after death. We were taught that heaven and hell were places for all time---eternity. Purgatory was a transient place of purifi-cation. The time and place one went to depended on one's choices. All very neat and logical--and totally contradictory to Revelation. The mag-nificence and mystery of the Spirit's presence in the Church is especially obvious in this dogma of the Assumption. Again we must take it seri-ously and symbolically--in the deepest sense of symbol which is to point beyond the literal sense to the mystery of which it speaks. Mary, the Dis-ciple, is assumed, taken up into heaven, body and soul, after her death. In mythological language she passes into timelessness and spacelessness. She simply is. Westerners tend to equate rational thought with knowledge, thus de-nying intuitive, imageless wisdom. The Assumption--as the Resurrec-tion- is revealed knowledge that goes beyond rational logical thought into mystery and Truth. But as finite human beings we factualize and ex-teriorize the nameless, misunderstand symbol, and live mystery as if it were actuality. The invitation of the dogma of the Assumption is to .let go of our need to understand, to know, to control, and simply trust the goodness and kindness of God. The invitation is to live this life to the fullest and trust that God will take care of our future--name it resurrec- Through Mary / 341 tion or assumption. The invitation is to experience beyond imagining and to live with the paradox of knowing but not understanding. My skepticism/agnosticism has served my faith in the sense that by doubting, questioning, and mistrusting religious experience I have not succumbed to superstition or fanaticism. On the other hand--as was pointed out to me by a wise fellow-traveler--skepticism was also an "ego defense, behind which lies a fear of change and loss of control that giving in to the religious experience may bring." Gifted with this insight I have consciously approached the dogma of the Assumption with as much of an attitude of "letting-go" and an open mind as possible. This has allowed me to see beyond the constricting barriers of space, time, matter and form. It has encouraged me to become open to mystery and surprise and to think in other terms than those of classical theology which comes to logical and rational conclusions about the mystery of God: "It is fitting and right." The Assumption means that when I die I become present. The.As-sumption means no more time, space, dualism, paradox. The Assump-tion means no more becoming. All the barriers to fullness of life that I have struggled with either because of environment or because of genes will disappear and I will become--I am, one with Christ. Catholics have traditionally prayed "through Mary to Jesus." This archetypal way of praying Mary, in fact, allows Jesus to become incar-nate in our very being. As I "ponder" the Immaculate Conception I be-come aware of the goodness of creation and my innate gracefulness; I conceive Jesus' within me by the power of the Holy Spirit; I give birth to him daily and discover him in others; I slowly let go of my need to control through power and knowledge. Through Mary belief statements become faith experiences; factual knowledge becomes lived Truth. I can then say with Paul: "I live now not with my own life but with the life of Christ who lives in me." Some Reflections On Mary, Bridge To Ecumenism? Mary Eileen Foley, R.G.S. Sister Mary Eileen Foley, R.G.S., has been teaching courses in Scripture in a par-ish and to her own Sisters, in addition to her free lance writing. She has been princi-pal and teacher of special needs of teenage girls. Her address is Convent of the Good Shepherd; Cushing Hill Drive; Marlboro, Massachusetts 01752. The hopeful days of ecumenism following Vatican Council II in the 1960s highlighted a maj6r difference between Catholics and Protestants, namely, devotion to Mary. For a long time after the Reformation in the sixteenth century, there was an absence of any productive or even respect-ful communication between us, and consequently there was little under-standing of each other's point of view, especially regarding the mother of Jesus. Historical Background Devotion to Mary, an outstanding characteristic of most Catholics, became the dividing line, with symbolic rather than logical origins. Mary represented Catholicism, against which the Reformers were protesting on the Continent. About the same time in England, the suppression of Catholicism un-der Henry VIII was more specifically directed against the papacy. The destruction of monasteries, however, depri red the people of religious in-struction and centers where Mary was honored; as a consequence, devo-tion to her almost died out. Elizabeth I, motivated politically rather than religiously, continued her father's efforts to dominate Ireland, capitalizing on the anti- Catholic movement by implementing the policy of "Anglicization 342 Mary, Bridge to Ecumenism? / 343 through Protestantization." In Ireland, the mere possession of a rosary was sufficient evidence of treason against the Crown, and was punish-able by death. Under Cromwell's dictatorship in England, Anglicanism, as well as Catholicism, was repressed, and even the celebration of Christmas was forbidden. "Where was the Blessed Mother in thought and practice if her son's birthday was repudiated by the law of the land?"~ Divinity vs. Discipleship Influenced by the history and the politics of the times, misunderstand-ings grew in regard to the Church's attitude toward Mary. Protestants were disturbed about the apparent centrality of devotion to Mary; it seemed to be taking something away from Christ. Non-Roman Catho-lics balk at giving Mary the title of "Co-Redemptrix," fearing that Christ will be displaced as unique mediator of salvation.2 In time, Catholics were able to hear Protestants voice their concern about our apparent "divinization" of Mary, yet countless explanations to the contrary did not seem to convince them, either to put their fears at rest or to allow them the comfort and friendship of the Mother of God. The Council actually approached the subject of Mary with the concerns of non-Catholics in mind, even over the objections of some of the bish-ops, who felt that ecumenism should not be the focus of a document on Mary. Some wished her to be declared Mediatrix of All Graces, but this did not happen at the Council. Actually no separate document on Mary materialized. In the final analysis, Mary appears in the context of the document on the Church. In a discussion of Christ (the Redeemer) and the Church (the Redeemed), she is very clearly identified with the Church, the people of God, rather than with Christ, the Son of God. The document portrays her, not as Christo-typical but as Ecclesio-typical. The implications of this decision were far-reaching indeed. First, this is a very different focus from that to which we have been accustomed. We have tended to see Jesus and Mary together, and while Mary was by no means deified, we did tend to .pray to them together. We looked up to them. Her stance now, however, is with us, the re-deemed, the beneficiaries of the passion and death of Christ. Discipleship Part of the reason for the change seems to be the emphasis on Mary's role in Scripture as disciple. As a hearer of God's word, she is an out-standing disciple of Christ, and she is logically first among his disciples :344 / Review for Religious, May-June 1989 and members of the Church. The concept of disciple, clearly presented in .the Scripture, seems to be more acceptable to our Protestant brethren and carries with it no overtones of divinity. All four Evangelists as a matter of fact paint her portrait as the faith-ful disciple, and in so doing, they reflect this role as seeming to surpass her title of Mother of God. "Blessed is the womb that bore you and the breasts that nursed you," cried a woman in the crowd, to whom Jesus responded, "Yea, blessed are they who hear the word of God and keep it" (Lk 12:27-28). "Your mother and brethren are outside, awaiting you," he was told, and he deftly responded with a question: "Who is my mother? Who are my brethren? He who does the will of my Father, is mother, brother, and sister to me" (Mk 3:31-35). Near the cross of Jesus stood his mother and the disciple whom Je-sus loved. "Woman, behold thy son," he said; then to John, "Behold thy mother" (Jn 19:25-27). Jesus is speaking to his ideal followers, who henceforth will model discipleship for all who desire to follow the Mas-ter. It struck me while comparing these Gospel passages that the Evan-gelists are at great pains to demonstrate that Mary's dignity comes from the fact that she was a woman of faith, which is the outstanding charac, teristic of a disciple. She was open to the word of God and completely obedient in carrying out whatever it called her to do. Whether it was ac-ceptance of the angelic message ("be it done unto me according to thy word," Lk i:38) or responding to the call to go to Bethlehem, then Egypt, and finally Calvary, she modeled clearly for us what the disciple of Christ should be. Grace and Discipleship No one, it seems, could be faulted for honoring one who followed Christ so perfectly. Yet, here again, differing beliefs on grace playa part. Protestants believe that salvation is effected by God alone, that hu-man nature plays no role. Protestants tend to view human nature as totally corrupted by sin, and grace as the merciful disposition of God to forgive and to treat the sin-ner as justified . To speak of human cooperation is to underestimate either the radical nature of human sin or the absolute gratuity of grace. In this perspective (from the Protestant point of view) the use of Mary's fiat becomes a primary example of Catholic presumption of God's sov-ereignty, making God dependent on humanity or making a creature mu-tually effective with God in the work of redemption.3 Mary, Bridge to Ecumenism? / 345 Resistance to the title "Co-Redemptrix" is related to this belief also. The Catholic point of view has been adequately stated, and to quote Tambasco again: "Mary's life simply reflects the fullest effects of grace which enable a faith-filled freedom that responds to and engages in the sovereign work of God in Christ .F.reedom does not substitute for grace, or grace, freedom."4 Because she is preeminent in carrying out his word, Mary's signifi-cance lies, according to the synoptics, in this characteristic of disci-pleship, more than the fact that she is Jesus's natural mother. At the foot of the cross, howe~,er, the beloved disciple, John, and the faithful disci-ple, Mary, seem to be called to discipleship in terms of a family rela-tionship, specifically that of mother and son. The role of disciple now seems to be expressed best in terms of mothering! Discipleship And Motherhood Actually, Mary conceived Jesus by means of an act of faith, the mark of the disciple: When the invitation to be Christ's mother is proposed to her, she says, "Behold the handmaid of the Lord; be it done unto me according to thy word" (Lk 1:38). And then the Word becomes flesh . Faith comes first, and then motherhood. John, too, is to carry out his discipleship in similar terms. In his First Letter, John's words are as tender as any mother's: "Remain in him now, little ones . See what love the Father has bestowed on us in letting us be called the children of God! Yet that is what we are' (1 Jn 2:28; 3:1). Mothering is what disciples do. Whatever our ministry is, we hope to bring to it compassion and caring. As a teacher l felt honored to be involved in nurturing the intellectual and spiritual growth of students. The Scriptures are full of mother images that apply not only to a disci-ple but were, in fact, chosen by the Lord for himself. The scriptural im-age of Christ weeping over Jerusalem is very explicit: "How often have I wanted to gather your children together as a mother bird collects her young under her wings, and you refused me!" (Lk 13:34). The disciple of Christ shares in his life-giving approach to those to whom he has been sent. Life-giving calls up images of motherhood, and lately it has been very popular to speak of God as Mother. Julian of Nor-wich often prayed to "Mother Jesus." Mary images motherhood for us, not only her own, but the motherhood of Christ as well. Even the Apos-tle Paul says: "You are my children, and you put me back in labor pains until Christ is formed in you" (Ga 4:!9). Finally the God of the Old Testament speaks through Isaiah: "Can 346 / Review for Religious, May-June 1989 a mother forget her infant, or a woman be without tenderness for the child of her womb? Yet even if she should forget, I will never forget you" (Is 49:15). It looks to me that, although Protestants accept the fact that Mary is the mother of.Jesus, they do not seem to see her as their mother, too. While we sometimes see ourselves in the role of mothering, at other times we, too, need to be nurtured or affirmed. The mother of Jesus seems to be a natural one to turn to, especially since we understand that she has been given to us in the words spoken to John, "Behold thy mother" (Jn 19:27). The motherly qualities so ~befitting a disciple are surely present in a special way in Mary, the paramount disciple of all. Doctrine, Scripture, And Tradition Another possible ecumenical barrier regarding Mary is the dogma of the Immaculate Conception (Mary conceived without sin) and the dogma of the Assumption (Mary taken into heaven, body and soul.) A dogma is a doctrine that has been presented for belief, and the idea of the evo-lution of dogma is an enlightening one for many, Catholics included. A doctrine emerges from tradition, which has been explained as follows: Tradition is the living faith experience of the Church which preserves the truths enunciated in the Scriptures but also explicates these truths, draws out what is hidden, and develops more fully insights consistent with but not wholly expressed in the biblical text.5 As has been better expressed above, sometimes a dogma affirms what was not known in complete form from the beginning, but devel-oped from reflections on, for example, the mystery of the Incarnation, and has been the constant teaching of the Church for centuries. Dogma may appear to have been imposed exteriorly, in a context that is a-historical. The vagueness of its scriptural basis is difficult for Protestants, who are biblically, and therefore, historically, oriented. Rootedness in history and Scripture, sources that are being mined assiduously by Catho-lics today, may well provide the undergirding necessary to place devo-tion to Mary in properperspective for all. The aforementioned dogmas on Mary were defined during what we now call the Marian Age (1850 to 1950), although they have been part of the tradition of the Church since the sixth century. Belief (in the Assumption) originated not from biblical evidence nor even patristic testimony but as the conclusion of a so-called argument from convenience or fittingness. It was fitting that Jesus should have res-cued his mother from the corruption of the flesh and so he must have Mary, Bridge to Ecumenism? / 347 taken her bodily into heaven.6 At the end of the sixth century, they began to celebrate the Immacu-late Conception in the East, but it remained unknown in the West until the eleventh century . To eastern ears, which had a different under-standing of original sin, it meant only freedom from mortality and genu-ine human weakness.7 Such doctrines are based on what has been described as "theology from above," or an understanding of the Incarnation as originating in the Trinity. When the Father sent his Son to earth to be born of the Vir-gin Mary, it was incompatible with his nature that the Son would inherit original sin, taught to be transmitted through birth into the human race. Therefore, it was appropriate that Mary be conceived immaculate. The honor is for the sake of Jesus, not Mary. The Communion Of Saints An understanding of the communion of saints, a belief shared by both Catholics and Protestants, may be helpful in seeing Mary's role more clearly. The idea seems to have originated with the martyrs who gave their lives for Christ, and, as a result, were believed to be enjoying his presence and the rewards of their sacrifice. Obviously, they would be in a unique position to be allowed by God to hear the prayers of those still struggling on and would be willing and able to offer these petitions for help to Christ himself, in whose presence they now live. The idea of intercessory prayer is accepted by most people, who pray not only to the saints who have distinguished themselves in the service of God, but to their own friends and relatives who led good lives on earth and as-suredly are still mindful of the needs of those they have left behind. Peo-ple who are still living are also asked to pray for the intentions of oth-ers! That people should present their petitions to Mary in order that she might intercede with her Son for them follows logically in this tradition. It would seem that he would be especially attentive to one who was his model disciple on earth, to one who spent, her life hearing his word and accomplishing it, especially if she were interceding for one who was ask-ing her help to be an effective disciple also. - In ordinary life we often speak to someone with influence in order to present our case. Such is the nature of intercessory prayer, not to be confused with praying directly to Mary,'as if she were able to grant these petitions herself. Protestants dislike seeing Mary in the role of Media-tor, since Jesus Christ is the one Mediator. A movement at the Council to declare Mary Mediatrix of all Graces was scrapped, although this be- Review for Religious, May-June 1989 lief has been part of the tradition of the Church since the eighth century. The ecumenical dimension of the Council reflected the Church's percep-tion of herself now as a world church, with respect for the truth possessed by all churches. Theology -From-Below The contributions of Karl Rahner to contemporary religious thought seem to have great value for the ecumenical movement. Rahner, consid-ered to be one of the greatest theologians of our time, is especially im-pressed with the sacramentality of creation--the fact that God himself is revealed in his works. When creation first came from the hand of God as recorded in Genesis, it was seen to be good--to be holy. God was in his creation from the beginning. Although it was good, it was not com-plete, and in the p.rogress of time, all creation moves to fulfillment, which is finally achieved in Jesus Christ. Rahner's idea is that Christ emerged naturally from God's creation, rather than emphasizing his "being sent down from heaven." He says things often like "the more one is like Christ, the more he is truly him- ~elf." To be like Christ is to approach being a perfect human being. Rahner's ideas allow for experiential learning on the part of Jesus, like any human person going through the normal stages of growth and de-velopment. This Christology is very attractive to a Catholic today, and perhaps it has been better known to Protestants all along. This Christology does not deny his divinity, of course, but the em-phasis is very different from the implications of the theology:from-above design, which seems to emphasize his divinity more, although it does not deny his humanity. One argument advanced was that since one is the mother of a person, rather than a nature, it seemed logical to em-phasize Mary as Mother of God. "In 451," writes Charles W. Dickson, a Lutheran pastor who has served as Chairman of the Commission on Ecumenical Relations of the North Carolina Council of Churches: the Council of Chalcedon dealt with the subject of dual natures by af-firming the inseparability of the two natures, each nature being pre-served and concurring in one person (prosopon) and one subsistence (hy-postasis). 8 Reverend Dickson continues: If this Chalcedonian formulation is given serious attention in contem-porary Protestant thought, some feel the human nature of Christ will not continue to suffer the devaluation of the past, nor will, therefore, its pre- Mary, Bridge to Ecumenism? / 349 cursor in the Incarnation--the Virgin Mary.9 The title, Mother of God, does seem to imply that Mary is divine, and although Protestants accept Mary as the mother of Jesus, tradition-ally they seem to resist the title of "Mother of God." In pagan mythol-ogy, the mother of the god or gods was considered to be a goddess. There seemed to be anxiety in New Testament times from the beginning not to equate Mary with the pagan goddesses, and although this distinc-tion has always been understood by Catholics, it may have looked to Prot-estants that we were divinizing Mary. Popular Religion - An Aid To Ecumenism? In view of the ecumenical dimension, the relationship between sym-bol, basic human need, and religion is very important. Clifford Geertz says that religious symbols provide not only the ability to comprehend the world but to endure it. Man depends upon symbols and symbol systems with a dependence so great as to be decisive for his creatural viability and, as a result, his sen-sitivity to even the remotest indication that they may prove unable to cope with one or another aspect of experience, raises within him the grav-est source of anxiety. ~0 In worship, people tend to clothe God with attributes that will meet their innermost needs. Sometimes in the past the abstract definitions of the theologians left people cold. God was oftentimes seen to be a dis-tant, transcendent God, and a judging God, who dispensed rewards and punishments in strict accordance with one's deeds. People were longing to see him as loving and compassionate, like a mother. If ordinary Catholics had been accustomed to reading the Scripture for themselves, as they are beginning to do now since Vatican II, they might have experienced firsthand the motherly concern of Jesus for the poor, the sick, and the scorned. Probing the Bible now, one is touched, for example, by his attitude toward women, especially disgraced women, regardless of the disapproval of males present. I do understand, however, that Bible reading for Catholics was sharply curtailed at the time of the Reformation due to so many people leaving the Church because of pri-vate interpretation of the Scripture. We understand now that in God there is a perfect balance of so-called masculine and feminine qualities; thanks to insightsfrom psychol-ogy, we are more theologically sophisticated than our predecessors. How-ever, in the early centuries of Christianity, people turned to the feminine Mary, in whom they felt that they had a ready-made mother who cared 350/Review for Religious, May-June 1989 about them. Based, no doubt, on the idea of the communion of saints and the practice of asking for the intercession of the martyrs, who were surely with God, there was a normal development of devotion to Mary, who, as the mother of Jesus, w,a_.,s seen to be more than willing to help those for whom her Son died such a cruel death. Popular Religion And The Apparitions When Catholics finally turn to the Scripture for news of Mary, they are amazed at how little is there! The immense body of material that is available on Mary derives from tradition and also from popular religion, which is based on Mary's relationship to Jesus ~nd the needs of people. Our knowledge of her has been shaped also by .accounts of her various appearances throughout the world. However, as Tambasco comments: ". (the) return to biblical and ecumenical considerations has rightly reduced these devotions to a minor role (p. 71)." Their value is in the Gospel teaching that each affirms. The Church moves very slowly in granting approval for belief in ap-paritions, and even when approval is received, there is no obligation to believe. The one important guideline in regard to any appearance is the fact that nothing is presented or ordered that is contrary to the constant teaching of the Church. An example would be when Mary reportedly appeared to Catherine Labour6 in France in 1830 and to Bernadette Soubirous in Lourdes, also in France, in 1858, she said, "I am the Immaculate Conception," a tra-dition in the Church since the sixth century. At LaSalette she insisted on the observance of the Lord's Day, which the people were ignoring, treating Sunday as any other day. She also re-proved them for blasphemy and taking the Lord's name in vain, thus un-derscoring the second and third commandments. At Fatima she asked them to do penance and to pray for peace. In 1879 at Knock, in County Mayo in Ireland, she said nothing at all! She appeared with St. Joseph and St. John, beside an altar sur-mounted by a lamb and a cross, over which angels hovered. The Irish saw in her appearance a message of comfort for the persecution they had suffered for their faith, dating back to the sixteenth century. They iden-tified the symbols with those of the heavenly liturgy in the Book of Reve-lation, seeing in them an affirmation of their fidelity to worship. Priests had risked their lives to offer the Sacrifice of the Mass, symbolized by the Lamb. St. John the Evangelist is holding the Gospel book in one hand, with the other hand raised, as if he is making a point in a sermon. Mary, Bridge to Ecumenism? / 35"1 The theme or instruction accompanying each visit was not a new teaching in any way, but an old teaching which needed a new emphasis, depending on the times. When I was at Knock in 1987, I remember think-ing to myself: it really doesn't matter whether Mary actually appeared here or not! All around me at the shrine there was evidence of faith, as people prayed, participated in the liturgy, reflected on the passion of Christ at the stations, or were merely kind and friendly to each other. I felt a renewal of my own spirituality in such a faith-filled atmosphere. The element of pilgrimage is, of course, very strong at Knock, and pil-grimage from the earliest days has been a vibrant expression of popular religion among people. Pilgrimage Pilgrimages stemming from the apparition at Lourdes are legendary. According to Victor and Edith Turner (Image & Pilgrimage in Christian Culture, New York, NY: Columbia University Press, 1978), who did an anthropological study on popular religion, people do not necessarily go on pilgrimage for the cure, but for the atmosphere in which their spiritu-ality is nourished. People see a pilgrimage, or a journey, as a symbol of the journey of life, and they value their association with fellow trav-elers oriented toward God in the service of neighbor. There is a leveling of classes on a pilgrimage; kings travel with ordinary folk, as will be the case in heaven. They volunteer as stretcher-bearers or wherever there is a need, and are energized in the role of service to their fellow human be-ings. In writing about pilgrimages to the shrine of Our Lady at Guadalupe, Segundo Galilea says that here the rich can discover the world of the poor and become sensitive to their need for justice and reconciliation. The movement towards Mary obliges the rich to go out of themselves and to meet the poor. It gives the poor a sense of security and allows them to meet the rich without apology, on an equal footing. Mary is, then, one of the rare symbols of integration in Latin America . ~ The apparition at Guadalupe in i 53 I, perhaps one of the first appa-ritions on record, is said to to be a large factor in popular religion in Latin America, and as a result, has given impetus to the liberation theology movement there. It has touched the hearts of the oppressed, making them feel that they are loved by God, and consequently raised in their own self-esteem, to the point where they are seriously struggling for self-determination in their living situation there. 352 / Review for Religious, May-June 1989 Mary and Liberation Theology A new reading of Luke's gospel, which emphasizes salvation his-tory, yields much that is pertinent today in regard to saving, or liberat-ing, the oppressed. Accustomed as we are to seeing Mary as queen, it is a new thing for us Catholics to see Mary as a peasant woman as she was at Guadalupe, and, indeed, at Nazareth. It is a challenge for us to take another look at the Magnificat, which we sing every day in the Liturgy of the Hours. There are places in South America where the recitation of the Magnifi-cat is forbidden, as being subversive. Mary's song begins with the praise of God. "My soul proclaims the glory of the Lord; my spirit rejoices in God my Savior." The use of the word Savior emphasizes her stance with us, in need of salvation. She re-fers to herself as his lowly handmaid, on whom he has looked with fa-vor. All generations will call her blessed because he, the mighty one, has done great things for her. In countries where there is no middle class, but only the poor and the rich, who possess all the wealth of the land, the poor hear Mary's Magnificat message in the Virgin of Guadalupe: He has shown might in his arm; he has scattered the proud in their con-ceit. He has cast down the mighty from their thrones and has lifted up the lowly. He has filled the hungry with good things and the rich he has sent away empty (Lk 1:51-53). They look to God for the mercy he promised to "our fathers,"-- and here all peoples sharing the Fatherhood of God and the brotherhood of Christ, unite in looking back even to the patriarchs, to whom God prom-ised mercy and liberation, which was accomplished first through Moses and eventually through Jesus Christ. And now there is hope for these poor also. The Exodus and Exile theme of liberation fit the situaiion to-day. A new look at Scripture will allow us to see Mary as homeless and as an exile, driveh out of her homeland to Egypt for the safety of her child. Popular religion often forges ahead of the theologians, and the hier-archy has only recently given its approval to the liberation theology move-ment in Latin America. A Latin American theologian says that the Mariology of Vatican II was more preoccupied by dialogue and relations with Protestants than with the simple people and popular Mariology. What is important now is to prolong the'deep and rich Mariological affirmations of Vatican II by a popular Mariology, a renewed Mariology . ~2 Mary, Bridge to Ecumenism? / 353 The basic idea of this renewed Mariology is that Mary is the sign and sacrament of the motherly mercy of God towards the poor, of the ten-derness of God who loves and defends the poor (Puebla, no. 291). ~3 (ital-ics mine) How will these considerations serve as an ecumenical bridge for us? By recognizing the need among peoples for freedom of conscience, free-dom from oppression, freedom of religion, justice for all. It is said that the problem with the doctrines presented for belief in former days was not with the dogmas themselves, but with authority. (Belief in the Im-maculate Conception predated the Reformation.) The wording was that he who did not believe, let him be anathema! Even Martin Luther did not deny the doctrines themselves, but pronounced them pious opinions. John XXIII insisted that there be no condemnations! He condemned no one. Evangelization itself must be an invitation, even a lure, to Christi-anity. No one is to be coerced in this matter in any way. John Paul II in Mother of the Redeemer.says that the Church's jour-ney now, near the end of the second Christian millennium, involves a renewed commitment to her mission. In the words of the Magnificat, the Church renews in herself the awareness that the truth about God who saves cannot be separated from his love of preference for the poor and humble, expressed in the word and works of Jesus. These points are di-rectly related to the Christian meaning of freedom and liberation' (p. 51 ). One must be free from oppression in order to respond to the call of Christ to do one's part toward the building up of the kingdom of God. In discussing Mary's role at the wedding feast at Cana, when she ad-vised Jesus that "they had no wine," the Pope sees this as expressing a new kind of motherhood according to the spirit and not just according to the flesh, that is to say, Mary's solicitude for human beings, her com-ing to th'em in the wide variety of their wants and needs (P. 30-1). I feel that the orientation toward ecumenism observed at Vatican Council II, especially in regard to Mary, has borne fruit and hopefully will continue to do so in the future. I am intrigued by the interpretation offered by Edward Yarnold in regard to reconciling Protestants and Catholics in regard to the Immacu-late Conception and the Assumption. It is possible that Christians disagree over the symbolic form of doctrine, while not disagreeing over the theological meaning. Thus, Roman Catho-lics could take literally that Mary was immaculately conceived and then assumed into heaven, but that is just the symbolic meaning. Protestants might not agree with that, but could accept the ultimate theological mean- 354/Review for Religious, May-June 1989 ing that says God's grace requires response, providers conditions for re-sponse, and results in sanctification even after death. There would thus be theological unity with a plurality regarding symbolic meaning. ~'~ When the late Rev. Arthur Carl Piepkorn, was professor at Concor-dia Seminary, St. Louis, he explained that "other Christians" (he did not refer to them as non-Catholics) have taken hope from references to Mary at Vatican II as follows: It may yet happen in our time that there will come about a happy bal-ance between excess ardor in the veneration of the Mother of God and in excessive coldness to the role that God himself has given her in the drama of human salvation. If it does, as I pray it will, we shall see in our time what the "Mag-nificat" placed on the lips of the mother of God--'All generations will count me blessed.' Other Christians feel that the more we esteem Mary, the more we honor her Son; when men (sic) refuse to honor Mary, they really do not believe in the Incarnation.~5 NOTES ~ William L. Lahey, "The Blessed Virgin Mary in the Theology and Devotion of the Seventeenth-Century Anglican Divines," Marian.Studies,,XXXVlll (1987), p. 143. 2 Anthony J. Tambasco, "Mary in Ecumenical Perspective," What Are They Say-ing About Mary? (Ramsey, N.J.: Paulist Press, 1984), p. 54. 3 lbid, p. 57. '~ lbid, p. 58. 5 lbid, p. 60. 6 Richard P. McBrien, Catholicism (Minneapolis: Winston Press Inc., 1980), p. 873. 7 Ibid. 8 Charles W. Dickson, Ph.'D., "Is a Protestant Mariology Possible?" Queen of All Hearts (Vol. XXXIX, No. 4) Nov./Dec. 1988, p. 26. Quoted from Willison Walker-- A History.of the Christian Church, p. 139. 9 lbid, p. 26. ~0 Clifford Geertz, "Religion as a Cultural System," Anthropological Approaches to the Study of Religion (London: Travistock Publications, Ltd., 1968), p. 13. ~ Segundo Galilea, "Mary in Latin American Liberation Theologies," ed. Bertrand de Margerie, S.J., Marian Studies, XXXVIII (1987), p. 57. ~2 Victor Codina, "Mary in Latin American Liberation Theologies," ed. Bertrand de Margerie, S.J., Marian Studies, XXXVIII (1987), p. 49. ~3 Ibid. 14 Quoted in Tambasco, What Are They Saying About Mary? p. 64. ~5 "Lutheran Hails Mary in Vatican ll's Words," The Boston Pilot (June 29, 1973), p. 2. Prayer and Devotion to Mary: A Bibliography Thomas G. Bourque, T.O.R. Father Thomas Bourque, T.O.R., is Chairperson of the Philosophical and Religious Studies Department of St. Francis College in Loretto, Pennsylvania. He has been involved in youth ministry, parish ministry, and the ministry of Catholic education and adul( education. His address is St. Francis College; Loretto, PA 15940. The Marian Year is meant to promote a new and more careful reading of what the Council said about the Blessed Virgin Mary, Mother of God, in the mystery of Christ and of the Church . We speak not only of the doctrine of faith but also of the life of faith, and thus of authentic "Marian spirituality," seen in the light of tradition, and especially the spirituality to which the Council exhorts us. Marian spirituality, like its corresponding devotion, finds a very rich source in the historical expe-rience of individuals and of the various Christian communities present among the different peoples and nations of the world. John Paul II Mother of the Redeemer, #48 ~,lohn Paul II invites all of us to reflect upon our.journey of faith with our Lord in light of our relationship with his Mother Mary. As many Catho-lics and Christians continue to question the role of Mary in the Church today, the Pope's encyclical is very timely. Solid devotion to Mary can only spring from an authentic knowledge of her role in salvation history. The Mariology of John Paul lI's encyc-lical, Mother of the Redeemer, as well as the Mariology of Paul Vl's ex-hortation, Devotion to the Blessed Virgin Mary, can truly be summed in the words of Paul VI: "In Mary, everything is relative to Christ and de-pendent upon him." Both pontiffs remind us that Mary is never to be 355 356 / Review for Religious, May-June 1989 considered in isolation. She must be seen in relationship to Christ, the head, and to his Body, the Church. Both Paul VI and John Paul II con-tinually link Mary to Christ, and not only is Mary Mother of Jesus, but also to the Church. The basic principle of Mariology is that Mary is Mother and Associ-ate of the Redeemer. She is a woman of faith, simplicity, loving avail-ability, and a disciple of faith. As a follow-up to the Marian year, the following selected bibliogra-phy is offered as an aid for reflection and prayer. This selected bibliog-raphy can serve as a guide to study and reflection on the contemporary devotion to Mary. The concentration of this work is a modern approach to Mariology from the time of the apostolic exhortation, Devotion to the Blessed Virgin Mary, to the time of promulgation of the encyclical let-ter, Mother of the Redeemer. The selected bibliography is divided into four sections. The first sec-tion consists of books which deal with Marian prayer, devotion and spiri-tuality. The second section lists articles from periodicals from the years 1974 to 1987. Encyclicals and pastoral letters are cited in the third sec-tion, while typescripts and tape cassettes of value are cited in the fourth section. Books and Pamphlets: Ashe, Geoffrey. The Virgin. London: Routledge and Paul, 1976. ¯ Bojorge, Horacio. The Image of Mary: According to the Evangelists. New York: Alba House, 1978. Branick, Vincent P., ed. Mary, the Saint and the Church. Ramsey, New Jersey: Paulist Press, 1980. Brown, Raymond E., ed. Mary in the New Testament. Philadelphia: Fortress Press, 1978. Buby, Bertrand. Mary: The Faithful Disciple~. New York: Paulist Press, 1985. Callahan, Sidney. The Magnificat: The Prayer of Mary. New York: Seabury Press, 1975. Carberry, John Cardinal. Mary Queen and Mother: Marian Pastoral Reflections. Boston: St. Paul Editions, 1979. Carretto, Carlo. Blessed Are You Who Believed. Maryknoll, New York: Orbis Books, 1982. Carroll, Eamon R. Understanding the Mother of Jesus. Wilmington, Delaware: Michael Glazier, Inc., 1979. Cunningham, Lawrence and Sapieha, Nicolas. Mother of God. San Francisco: Harper & Row, Publishers, 1982. A Mary Bibliography / 357 Deiss, Lucien. Mary, Daughter of Zion. Collegeville: Liturgical Press, 1972. Flanagan, Donal. In Praise of Mary. Dublin: Veritas Publications, 1975. --. The Theology of Mary. Hales Corner, Wisconsin: Clergy Book Service, 1976. Flannery, Austin P. The Documents of Vatican II. New York: Pillar Books, 1975. Graef, Hilda C. Mary: A History of Doctrine and Devotion. New York: Sheed and Ward, Two Volumes, (Volume I, 1963 and Volume II, 1965). --. The Devotion to Our Lady. Milwaukee: The Bruce Publishing Company, 1963. Greeley, Andrew M. The Mary Myth: On the Femininity of God. New York: Seabury Press, 1977. Griolet, Pierre. You Call Us Together." Prayers For the Christian As-sembly. Paramus, New Jersey: Paulist Press, 1974. Guste, Bob. Mary At My Side. Mystic: Twenty-Third Publications, 1986. Habig, Marion. The Franciscan Crown. Chicago: Franciscan Her-ald Press, 1976. Harrington, W. J. The Rosary: A Gospel Prayer. Canfield, Ohio: Alba House, 1975. Haughton, Rosemary. Feminine Spirituality: Reflections on the Mys-tery of the Rosary. Paramus, New Jersey: Paulist Press, 1976. Hertz, G. Following Mary Today. Huntington, Indiana: Our Sunday Visitor Press, 1979. Houselander, Caryil. Lift Up Your Hearts to Mary, Peace, Prayer, Love. New York: Arena Letters, 1978. Hurley, Dermot. Marian Devotion For Today. Dublin: C. G. Neale, 1971. Jegen, Carol Frances. Mary According To Women. Kansas City: Leaven Press, 1985. Jelly, Frederick. Madonna: Mary in the Catholic Tradition. Hunt-ington, Indiana: Our Sunday .Visitor Press, 1986. Johnson, Ann. Miryam of Judah: Witness in Truth and Tradition. Notre Dame: Ave Maria Press, 1987. --. Miryam of Nazareth. Notre Dame: Ave Maria Press, 1986. Jungman, Joseph A. Christian Prayer Through The Centuries. New York: Paulist Press, 1978. 351t/Review for Religious~ May-June 1989 Kern, Walter. New Liturgy and Old Devotions. Staten Island, New York: Alba House, 1979, 119-184. Kung, Hans and Moltmann, Jurgen. ed. Mary in the Churches. New York: Seabury Press, 1983, Concilium, volume 168. La Croix, Francois de. The Little Garden of Our Blessed Lady. Ilkley, England: Scholar Press, 1977. Long, Valentine. The Mother of God. Chicago: Franciscan Herald Press, 1976. Maestri, William. Mary: Model of Justice. New York: Alba House, 1987. Malinski, Mieczslaw. Joyful, Sorrowful, Glorious Reflections on Life and Rosary. Chicago: Claretian Publications, 1979. Maloney, George A. Mary: The Womb of God. Denville, New Jer-sey: Dimension Books, 1976. Moloney, John. Pilgrims With Mary. Dublin, Ireland: Irish Messen-ger, 1976. Obbard, Elizabeth Ruth. Magnificat: The Journey and the Song. New York: Paulist Press, 1986. Pelikan, Jaroslav. Flusser, David. Lang, Justin. Mary: Images of the Mother of Jesus in Jewish and Christian Perspective. Philadelphia: For-tress Press, 1986. Pennington, Basil. Daily We Touch Him. Garden City, New Jersey: Doubleday, 1977, 135-148. Rahner, Karl. Mary, Mother of the Lord. New York: Herder and Herder, 1963. Randall, John. Mary, Pathway To Fruitfulness. Locust Valley, New York: Living Flame Press, 1978. Ratzinger, Joseph. Daughter Zion: Meditations On The Church's Marian Belief. San Francisco: Ignatius Press, 1983. Rosage, David. Praying With Mary. Locust Valley, New York: Liv-ing Flame Press, 1980. Ruether, Rosemary Radford. Mary, the Feminine Face of the Church. Philadelphia: Westminster Press, 1977. Schillebeeckx, Edward. Mary, Mother of the Redemption. London: Sheed and Ward, 1964, 164ff. Sheed, Frank. The Instructed Heart--Soundings At Four Depths. Huntington, Indiana: Our Sunday Visitor Press, 1979. Stevens, Clifford. The Blessed Virgin: Her L~]'e & Her Role In Our Lives. Huntington, Indiana: Our Sunday Visitor Press, 1986. Tambasco, Anthony. What Are They Saying About Mary? New A Mary Bibliography / 359 York: Paulist Press, 1984. Unger, Dominic J. The Angelus. Chicago: Franciscan Herald Press, 1956. Viano, Joseph. Two Months With Mary. New York: Alba House, 1984. Wright, John Cardinal. Mary Our Hope. San Francisco: Ignatius Press, 1984. Articles: Abberton, J. "On the Parish: Marian Devotion." Clergy Review. 63 (April 1978), 147-150. Albrecht, Barbara. "Mary: Type and Model of the Church." REvtEw ~oR REt~tG~Ot~S. 36 (1977), 517-524. Alfaro, Juan. "The Marioiogy of the Fourth Gospel: Mary and the Struggles for Liberation." Biblical Theology Bulletin. 10 (January 1980), 3-16. Barrionveuo, C. "For A Better Rosary." Christ to the Christian World. 18 (I 979), 304-307. Billy, Dennis J. "The Marian Kernel." REview ~oR R~t.~ous. 43 (May/June 1983), 415-420. Blackburn, Robert E. "The Reed of God Continues To Flourish." U.S. Catholic. 47 (May 1982), 2. Browne, Dorothy. "Mary, the Contemplative." Spiritual Life. 23 (Spring 1977), 49-60. Buby, B. "The Biblical Prayer of Mary: Luke 2:19-51 ." R~v~w RE~.tG~Ot~S. 39 (July 1980), 577-581. Buono, Anthony M. "The Oldest Prayers to Mary." Catholic Di-gest. 48 (August 1984), 111-113. Burns, Robert E. "Don't Let Sleeping Devotions Lie." U.S. Catho-lic. 52 (January 1987), 2. Carberry, John Cardinal. "Marialis Cultis: A Priestly Treasure." Homiletic and Pastoral Review. 78 (May ! 978), 7-13. Carroll, Eamon. "A Survey of Recent Marioiogy." Marian Stud-ies. 36 (1985), 101-127. b. "A Survey of Recent Mariology." Marian Studies. 35 (1984), 157-187. --. "A Survey of Recent Marioiogy." Marian Studies. 31 (1980), 11-154 (Similar surveys may be found within volumes 24 to 31 of Marian Studies). b. "A Woman For All Seasons." U.S. Catholic. 39 (October 1974), 6-11. 360 / Review for Religious, May-June 1989 --. "In the Company of Mary." Modern Liturgy. 9 (May 1982), 4-10. -- "Mary After Vatican II." St. Anthony Messenger. 91 (May 1984), 36-40. --. "Mary and the Church: Trends in Marian Theology Since Vati-can II." New Catholic World. 229 (November-December 1986), 248- 250. --. "Mary, Blessed Virgin: Devotion." New Catholic Encyclope-dia. 9 (1967), 364-369. -- "Mary: The Woman Come Of Age." Marian Studies. 36 (1985), 136-160. --. "Prayer and Spirituality: The Blessed Virgin Mary in Catholic Prayer-Life." Today Catholic Teacher. 12 (March 1979), 40-41. Chantraine, George. "Prayer Within the Church." Communio. 12 (Fall 1985), 258-275. Ciappi, L. "The Blessed Virgin Mary Today and the Contemporary Appeal of the Rosary." Origins. 44 (October 30, 1975), 4. Clark, Allan. "Marialis Cultus." Tablet. 228 (April 6, 1974), 354- 356. Colavechio, X. "The Relevance of Mary." Priest. 36 (June 1980), 14-16. Coleman, William V. "A Peasant Woman Called to Guide the Church." Today's Parish. 13 (May-June 1981), 7. Coiledge, E. "The Church At Prayer: To The Mother of God." Way. 19 (July 1979), 230-239 and 19 (October 1979), 314-321. Conner, Paul. "The Rosary Old Or New?" Sisters Today. 59 (Oc-tober 1986), 108- I 10. Curran, Patricia. "Women Reclaim the Magnificat." Sisters Today. 55 (August-September 1983), 24-30. Daly, Anne Carson. "A Woman For All Ages." Homiletic and Pas-toral Review. 86 (May 1986), 19-22. Davies, Brian A. "Mary In Christian Practice." Doctrine and Life. 26 (June 1976), 403-407. Deak, Mary Ann. "Mary's Faith: A Model For Our Own." Catho-lic Update. UPD 108 (I 978). Dehne, Carl. "Roman Catholic Popular Devotions." Worship. 49 (October 1975), 446-460. Demarco, A. "Hail Mary." New Catholic Encyclopedia. 6 (1967), 898. Donnelly, Dorothy H. "Mary, Model of Personal Spirituality." A Mary Bibliography / 361 New Catholic World. 219 (March-April 1976), 64-68. Emery, Andree. "On Devotion To Mary." New Covenant. 11 (May 1982), 12-14. Finley, Mitchel. "Rediscovering The Rosary." America. 148 (May 7, 1983), 351. Fischer, Patricia. "The Scriptural Rosary: An Ancient Prayer Re-vived." Catechist. 20 (October 1986), 21. Flanagan, Donald. "The Veneration of Mary: A New Papal Docu-ment." Furrow. 25 (1974), 272-277. Frehen, H. "The Principles of Marian Devotion." The Marian Era. 10 (1971), 34-36 and 272-277. Foley, Leonard. "Mary: Woman Among Us." St. Anthony Messen-ger. 94 (May 1987), 12-16. Gabriele, Edward. "In Search of the Woman: Reformulating the Mary Symbol in Contemporary Spirituality." Priest. 42 (February 1986), 28-29. Gaffney, John P. "APortrait of Mary." Cross and Crown. 24 ~Spring 1975), 129-138. h. "Marialis Cultis: Guidelines to Effective Preaching." Priest. 38 (December 1982), 14-18. Galligan, John Sheila. "Mary: A Mosaic Joy." REw~wFoR R~L~G~Ot~S. 43 (January-February 1984), 82-92. Galot, Jean. "Why the Act of Consecration to Our Lady?" Origins. 3 (January 18, 1982), Galvin, John P. "A Portrait of Mary In the Theology of Karl Rahner." New Catholic World. 229 (November-December 1986), 280- 285. Gordon, Mary. "Coming To Terms With Mary." Commonweal. 109 (January 15, 1982), 1. Green, Austin~ "The Rosary: A Gospel Prayer." Cross and Crown. 28 (June 1976), 173-178. Grisdela, Catherine. "How May Processions Began." Religion Teacher's Journal. 18 (April-May 1984), 28. Gustafson, J. "A Woman For All Seasons." Modern Liturgy. 9 (May 1982), 4-10. Hamer, Jean Jerome Cardinal. "Mary, Our Foremost Model." Con-templative Life. 10 (1985), 173- i 74. Hanson, R. "The Cult of Mary as Development of Doctrine." Way ,Supplement. 51 (Fall 1984), 8-96. Hebblethwaite, P. "The Mariology of Three Popes." Way Supple- 369/Review for Religious, May-June 1989 merit. 51 (Fall 1984), 8-96. Herrera, Marina. "Mary of Nazareth in Cross-cultural Perspective." Professional Approaches For Christian Educators. 16 ( i 986), 236-240. Hinneburgh, W.A. "Rosary." New Catholic Encyclopedia. 12 (I 967), 667-670. Hofinger, Johannes. "Postconciliar Marian Devotions." Priest. 37 (January 1981), 43-45 and 37 (February 1981), 15-17. Hogan, Joseph. "Hail Mary." Sisters Today. 57 (January 1986), 258-261. Jegen, C. "Mary, Mother of a Renewing Church." Bible Today. 24 (May 1986), 143-166. Jelly, Frederick M. "Marian Dogmas Within Vatican II's Hierar-chy of Truths." Marian Studies. 27 (1976). --. "Marian Renewal Among Christians." 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Marian Studies. 31 (1980), 66-95. Krahan, Maria. "The Rosary." Mount Carmel. (Autumn 1977), 124-131. Kress, Robert. "Mariology and the Christian's Self-Concept." REVIEW ~OR RELiGiOUS. 31 (1972), 414-419. Lawrence, Claude. "The Rosary From the Beginning To Our Day." A Mary Bibliography / 363 Christian World. 28 (July-August 1983), 194-201. Leckey, Dolores. "The Rosary Time of My Life." Catholic Digest. 47 (October 1983), 57-58. Leskey, Roberta Ann. "Ways To Celebrate Mary." Religion Teacher's Journal. 17 (April-May 1983), 28-29. Lewela, M. Pauline. "Mary's Faith-Model Of Our Own: A Reflec-tion." Africa Theological Journal. 27 (April 1985), 92-98. Low, Charlotte. "The Madonna's Decline and Revival." Insight. (March 9, 1987), 61-63. MacDonald, Donald. "Mary: Our Encouragement In Christ." REviEw FOR REt.tG~Ot~S. 44 (May-June 1985), 350-359. -- "Our Lady of Wisdom." REvtzw FOR REt.~G~Ot~S. 46 (May-June 1986), 321-331. Main, John. "The Other-Centeredness of Mary." R~w~w FOR RELIG~Ot~S. 38 (March 1979), 267-278. Maloney, George A. "A New But Ancient Mariology." Diakonia. 8 (I 973). 303-305. -- "Do Not Be Afraid To Take Mary Home." Catholic Charis-matic. 1 (October-November 1976), 30-33. --. "Mary and the Church As Seen By the Early Fathers." Diakonia. 9 (1974). Marino, Eugene A. "Mary: The Link Between Liturgy and Doc-trine." Origins. 14 (December 27, 1984), 467-471. Marshner, William H. "Criteria For Doctrinal Development in Marian Dogmas." Marian Studies. 28 (1977), 47-97. "Mary and the Saints." National Bulletin on Liturgy. 12 (Septem-ber- October ! 979), 178-183. Mary Francis. "Blessed Mary: Model of Contemplative Life." Homi-letic and Pastoral Review. 8 i (Mary 1981), 6-12. Mary of the Sacred Heart. "Remember the Rosary." Religion Teacher's Journal. 20 (October 1986),39-40. McAteer, Joan. "What the Rosary Means to Me." Ligourian. 72 (October 1984), 16-20. McCarry, Vincent P. "Mary, Teach Us To Pray." Catholic Digest. 50 (May 1986), 40-43. McDermott, John Michael. "Time For Mary." Homiletic and Pas-toral Review. 83 (May ! 983), I i- 15. McHugh, John. "On True Devotion to the Blessed Virgin Mary." The Way Supplement. 25 (Summer 1975), 69-79. McNamara, Kevin. "Devotion to The Immaculate Heart of Mary." 364 / Review for Religious, May-June 1989 Furrow. 36 (October 1985), 599-604. -- "Mary Today." Furrow. 31 (July 1980), 428-450. Miller, Ernest F. "Why We Honor Mary?" Liguorian. 63 (August 1975), 13-15. Montague, George. "Behold Your Mother." New Covenant. 10 (May 198 I), 4-7. Moore, M. and Welbers, T. "The Rosary Revisited." Modern Lit-urgy. 9 (May 1982), 4-10. Motzel, Jaqueline. "Growing Through the Rosary." Liguorian. 73 (October 1985), 28-3 I. NC News Service. "Mary: An Image of Obedience and Freedom." Our Sunday Visitor. 75 (April 12, 1987), 17. Nienaltowski, Mary Ellen and Metz, Kathleen. "How Do We Pray The Rosary?" Religion Teacher's Journal. 21 (March 1987), 17-18. Noone, P. "Why Catholics Hail Mary?" 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Rasmussen, Eileen. "Accept Devotion To Mary." National Catho-lic Reporter. 11 (January 3 I, 1975), I I- 14. Rausch, Thomas P. "The Image of Mary: A Catholic Response." America. 146 (March 27, 1982), 231-234. Roberts, William P. "Mary and Today's Classroom." Catechist. 18 (April-May 1985), 28-29. A Mary Bibliography / 365 Schreck, Alan. "Devotion To Mary." New Covenant. 13 (July- August 1983), 14-18. Senior, Donald. "New Testament Images of Mary." Bible Today. 24 (May 1986), 143-166. Shea, John J. "Mary's Melody of Amazing Grace." U.S. Catho-lic. 47 (May 1982), 6-10. Smith, Herbert. "Mary: Mother and Disciple." Liguorian. 73 (Oc-tober 1985), 52-53. Smith, Joanmarie. "Re-Seeing the Rosary." Professional Ap-proaches for Christian Educators. 16 (1986), 12-15. Smith, Patricia. "Images and Insights: Mary In A Modern Mode." New Catholic World. 229 (November-December 1986), 269-273. Smolenski, Stanley. "Rosary or Chaplet?" Homiletic and Pastoral Review. 86 (October 1985),9-15. Snyder, Bernadette. "Who's Praying the Rosary Today?" Liguorian. 74 (October 1986), 2-6. Speyr, A. "Prayer In The Life Of The Blessed Virgin." Commu-nio. 7 (Summer 1980), 113-126. Stahel, Thomas H. "Redemptoris Mater." America. 156 (May 2, 1987), 353-354. Tambasco, A. "Mary: A Biblical Portrait For Imitation." New Catholic World. 229 (November-December 1986), 244-271. Tannehill, R.C. "The Magnificat As Poem." Journal of Biblical Lit-erature. 93 (1974), 263-275. Tutas, Stephen R. 'Who Is Mary For Me?" REVIEW FOR RELIGIOUS. 43 (September-October 1984), 778-780. Unger, Dominic J. "Does the New Testament Give Much Histori-cal Information About the Blessed Virgin or Mostly Symbolic Mean-ing?" Marianum. (1977), 323-347. Van Bemmel, John. "How To Pray The Rosary." Religion Teacher's Journal. 17 (April-May 1983), 29-30. Ward, Jack. "The Rosary-A Valuable Praying and Teaching Tool." Catechist. 19 (October 1985), 24-25. Ware, Kallistos, Timothy. "The Jesus Prayer and the Mother of God." Eastern Churches Review. (Autumn 1972), 149-150. Zyromski, Page. "Rosary Meditations Especially For Catechists." Catechist. 20 (October 1986), 20-22. Church Documents, Pastoral Letters and Addresses: John Paul II. "Address to a General Audience About the Rosary As An Opportunity of Pray With Mary." Origins. 44 (November 2, 1981 ), 366 / Review for Religious, May-June 1989 --. "Address to the Faithful About Mary and Her Spiritual Testa-ment." Origins. 30 (July 25, 1983), 2. --. "Address to the Faithful Saying That With the Rosary We Are Armed With the Cross and the Word." Origins. 41 (October 10, 1983), I. --. "Address to the Faithful Saying That Mary Is Present In Every Liturgical Action." Origins. 8 (February 20,, 1984), 10. --. Address to the Faithful Stressing Devotion to Mary Our Mother." Origins. 880 (April 9, 1985), 12. ~. "Address to the Faithful Urging Honor to the Infinite Majesty of God Through Mary." Origins. 891 (June 24, 1985), I. --. "Homily Announcing A Fourteen Month Marian Year To Be-gin Pentecost Sunday." Origins. 16 (January 15, 1987), 563-565. --. Mother of the Redeemer. Boston: Daughters of St. Paul, 1987. --. "Renewal of the Act of Consecration of the World to the Mother of God." Origins. 14 (April 2, 1984), 9-10. --. Redemptoris Mater. Tablet. 241 (March 28, 1987), 355-359. National Catholic Conference of Bishops. Behold Your Mother: Woman of Faith. (Pastoral Letter on the Blessed Virgin Mary). Wash-ington, D.C.: United States Catholic Conference, November 21, 1973. Paul VI. "Apostolic Exhortation: Marialis Cultus." L'Osservatore Romano. April 4, 1974. ~. "Mary, Model of the Church." REVIEW FOR RELIGIOUS. 34 (March 1976), 161 - 164. ~. "Renewal of Devotion to Mary." The Pope Speaks. 20 (1975), 199-203. --. Devotion to the Blessed Virgin Mary. Boston: Daughters of St. Paul, 1974. Poletti, U. Cardinal. "Significance, Value and Practice of Devotion to the Rosary." Origins. 42 (October 16, 1975), 9. Transcripts, Lectures and Tapes: Clark, Alan. "The Holy Spirit and Mary." Mary's Place In Chris-tian Dialogue. (Occasional Papers and Lectures of the Ecumenical), 1982, 79-88. DeSatage, John and McHugh, John. "Bible and Tradition in Regard to the Blessed Virgin Mary: Lumen Gentium." Mary's Place In Chris-tian Dialogue. (Occasional Papers and Lectures of the Ecumenical), 1982, 51-60. Dimock, Giles. "Practical Devotion to Mary." Marian Conference A Mary Bibliography / 367 at the University of Steubenville, 1986, (Cassette). Hutchinson, Gloria. Mary, Companion For Our Journey. Cincinnati: St. Anthony Messenger Press, 1986, (Cassettes). Peffley, Bill. Prayerful Pauses With Jesus and Mary. Mystic: Twenty-Third Publications, 1987, (Audiocassettes). Pittman, Robert S. "The Marian Homilies of Hesychius of Jerusa-lem." Ph.D. Thesis. Catholic University of America, 1974. Powers, Isaias. Quiet Places With Mary: A Guided Imagery Retreat. Mystic: Twenty-Third Publications, 1986, (Audiocassettes). Scanlan, Michael. "Prominence of Mary: The Time of Visitation." Marian Conference at the University of Steubenville, 1986, (Cassette). Ware, Kallistos. "The Mother of God in Orthodox Theology and Devotion." Mary's Place in Christian Dialogue. (Occasional Papers and Lectures of the Ecumenical), 1982, 169- ! 81. An Ignatian Contemplation on the Baptism of Our Lord Michael W. Cooper, S.J. Father Michael Cooper, S.J., teaches in the Theology Department and the Institute of Pastoral Studies at Loyola University of Chicago. His address is 6525 N. Sheri-dan Road; Chicago, Illinois 60626. Baptism has once again become an integral part of the Christian experi-ence. Instead of simply an individual event between God and the bap-tized, the sacrament once more celebrates a person's entrance into the community of believers. Moreover, with the renewal and expansion of the understanding of ministry, it is baptism that now offers the founda-tion for the call to mission and service for every member of the People of God. Even with all these rich theological and liturgical developments, I have still found it difficult to make any vital connection between them and my own baptism. In part, I simply have no sentiments or recollec-tions to explore or deepen. Like many other pre-Conciliar born, I was rushed to the local parish on the Sunday following my birth to save me from a sudden case of limbo. Nor does my mother have any spiritual re-membrances of my baptism to share with me, since on that day she was still in the hospital recuperating from my worldly entrance. Thus until very recently the experiential and spiritual sense of my own baptism re-mained in a limbo of its own. The meaning and power of my own baptism finally came alive, how-ever, as I shared Jesus' experience of his own baptism during several pe-riods of prayer on my recent thirty-day retreat. The thrust of contempo-rary spirituality reminds us to pay close attention to our human experi-ence- whether in prayer, in ministry, or in the rest of life--and to ask 368 Contemplation on Baptism / 369 what the Lord might be saying or how he might be inviting. Often these moments become actual revelations of God's living Word for us-~either individually or collectively. Through these experiences we realize the Gos-pel no longer as. a onetime event in the past but as always happening-- and now most immediately to us. From this perspective of the ongoing Gospel I share the fruits of a very transforming experience of the baptism of our Lord. Though admit-tedly the very personal encounter of one individual, maybe my experi-ence will contribute to our collective efforts to reclaim the experiential and spiritual roots of our baptismal call to community and ministry with God's people. I entitled this article "An Ignatian Contemplation . . ." to highlight a very definite approach to praying the Scriptures. Instead of methodi-cally plodding through the Gospel, I contemplated, that is, I watched at-tentively and receptively the scene of our Lord's baptism, letting it touch my mind and heart. I began by reading through the scripture text (Mt 3:13-17) several times, then I put down my Bible, closed my eyes, and let the event come alive before the inner eye of my imagination. Following Ignatius' instructions in the Spiritual Exercises (no. 114), I then took my place in the scene, so that I would be experiencing the baptism as an engaged participant and not as a disinterested spectator. Paying attention to the persons, their words, and their actions, I contem-plated the event as if it were happening now for the first time. On the banks of the Jordan, Jesus steps out from the crowd and pre-sents himself to his cousin John for baptism. His voice filled with emo-tion, John protests saying, "I should be baptized by you, yet you come to me!" But Jesus responds very straightforwardly. "Let it be for now." Then in a very powerful moment of the contemplation, I hear Jesus go on to explain himself, "I'm no different from the rest of the people gath-ered here. We're all struggling to gain our human freedom and whole-ness. With all the fear and unfreedoms we carry around from growing up plus all the pressures and demands on us today, it's a wonder we're not more wounded than we are." For Jesus, this very heartfelt experience becomes his baptism into a deep identification and solidarity with the rest of the human family united together in the struggle to become more human and free. Jesus' words to John then cannot be taken as some sort of pious self-effacement. Rather, our brother Jesus is experiencing his baptism as a deep, deep bond-edness with the human family gathered at the healing waters of rebirth and wholeness. 370/Review for Religious, May-June 1989 As I continue to contemplate the baptism unfolding before me, I am drawn to even closer physical proximity with Jesus by the magnetism of his human compassion and tenderness. At the same time I begin to feel close again to several friends from whom I have parted company because of certain decisions on their part that hurt me very deeply. Along with this new feeling of closeness comes the realization that despite the pain and darkness that have separated us, there exists a deeper bond of soli-darity in the human struggle that binds us together. We are no different from each other or from the rest of the people on the face of the earth. In one way or another we are each carrying around within us parts of our wounded child and of our stressed adult. The shadow of our fuller human potential and psychic wholeness always seems to lie just beyond our reach. With this realization a lot of the bite to my pain and anger subsides and I hear myself saying very serenely, "In our choices and endeavors, we really do try to give as much as we can at the moment. Sometimes our responses aren't adequate or all that the situation might call for or that we or others might hope for. Because we will always be carrying around our wounded and unfinished selves, we at times end up creating pain and darkness--for others as well as for ourselves--despite our best and freest possible intentions at that moment. I am no different from the rest of mortals. We are all in our own way longing and strug-gling for our human freedom and wholeness as daughters and sons of the living God." These intense feelings of solidarity with my friends that ac-company these reflections free me to let go of a lot more of the pain and misunderstanding in our relationship. And almost immediately these peo-ple actually appear on the banks of the Jordan and, ecstatic and teary-eyed, we embrace one another. By this time Jesus and John are sitting off to the side talking intently to one another. I am savoring the wonderful feelings of reconciliation and the pure joy of this moment when all of a sudden my attention switches. Several close friends for whom I had initially been either .teacher, spiritual director, or mentor become present to me. These new feelings of solidarity in the human struggle now bring a different sort of bondedness with them. Any leftover images of being in some way "the expert" or "the helper" or simply the one who is a couple of steps ahead of the others seem to disappear forever. I am just acutely aware of'how similar our journeys and struggles have been at such a profound level. A marvelous celebration of deep friendship and belonging to each other takes place as they, too, appear on the banks of the Jordan and I jump up to embrace them. Contemplation on Baptism / 371 This first moment of the baptism climaxes as I join hands with my friends who have come to the Jordan. Together with Jesus and John we dance in circles and zigzag chains across the sands. Then we run into the water to splash and frolic like little children and truly we are, because so many of the hurts and wounds of growing up and of adult life are be-ing healed. This wonderful moment comes to a close when with ecstatic reverence we take turns baptizing one another in these life-giving wa-ters of human compassion and solidarity. The second major moment of the baptism begins as Jesus steps out of the water. This time the heavens open and a voice proclaims, "This is My Son, the Beloved, on whom My favor rests." Along with his sense of profound solidarity with the human family, Jesus now experiences most intensely his deep, deep solidarity with God. Because the baptism has become not only Jesus' but mine as well, I feel myself being drawn into that same solidarity with God. I now hear a voice from the heavens addressed to me, "You, too, are My son, the beloved, on whom My favor rests." Initially, I simply rest in this deep sense of belonging to God. Though still feeling very much the earthen vessel, chipped and bro-ken in so many ways, I receive nonetheless a strong assurance in the prayer that I will have whatever I need by way of resources for my per-sonal journey and for my ministry. With God's favor there will be enough of hope, courage, and justice, of human and psychic energy, and of whatever else needed for today with more to come tomorrow. The Lord has spoken . Rather than end a prayer that is really only be-ginning to unfold, I simply thank the Lord from the depths of my spirit for sh.aring the baptism with me both in contemplation and in life. This Ignatian contemplation of the baptism of our Lord invites sev-eral brief comments. First of all, we realize that the foundations for a renewed understanding of Christian baptism do not come so much from our own sacramental initiation as from sharing the experience of baptism with Jesus. Like the Lord, we are baptized into covenantal solidarity with both our brothers and sisters and with our gracious God. From this perspective, baptism loses much of its static notion as sim-ply a once-in-a-lifetime event. Especially for adults being baptized or re-claiming their baptismal call, as we did in this contemplation, the cele-bration of baptism becomes a dynamic initiation into a lifelong process that continues to open up new levels of human and divine solidarity as our Christian existence unfolds day by day. This sacred bondedness with the human family confronts the blatant Review for Religious, May-June 1989 barriers and subtle alienation that separate us from each other. Baptism invites us to embrace the human family--both near and far--as "my peo-ple" and not just God's people. Our experience is meant to mirror that of Jesus: "I am no different from anybody else." The heart of the mat-ter remains this recognition that we are all struggling with varying de-grees of success for our human freedom and wholeness--two of the gate-ways to encountering the divine in ourselves. Here, too, our experience follows the pattern of Jesus in discovering his own divinity. In facing the forces that would shrink, wound, or destroy these most precious gifts of God to us, we plumb the depths of our human resources and discover the wellsprings of the divine energy in us as well. Second, this baptism into human solidarity against the enemies of our humanity celebrates our entrance as adults into the Christian com-munity. We now recognize and claim for our own this community both broken and healed yet always struggling for greater wholeness. Third, this very sacred experience of human solidarity becomes the foundational stance for each Christian's involvement in ministry as part of our baptismal commitment. It is only from a vital sense of bonded-ness to each other that we can enter into the.joys and struggles of one another without pretense or feigned empathy. By the Lord's design we are in this human struggle together. Baptism then celebrates our call to be companions to one another and to all our brothers and sisters in the unfolding of the kingdom of God in our time. Fourth, the divine bondedness solidifies as we hear the voice from heaven address us withthe same love and promise offered to Jesus: "You are My beloved on whom My favor rests." This proclamation then nurtures our heartfelt sense of belonging utterly to God. Moreover, this divine connectedness touches all the dimensions of who we are, so that we begin to look and feel more and more with the eyes and heart of our gracious God on our~e, lves, others, and our world. In the face of our human wounds and inadequacies, this sense of di-vine favor sustains Christian perseverance and empowerment for life and ministry. We can be stretched to the limits of our understanding and of our physical and psychic energies, yet we now know deep down that no matter what comes God's favor will sustain us this day and there will be more of what we need tomorrow. From the Lord we need only ask with Ignatius in the Suscipe of the Spiritual Exercises: "Give me only Your love and Your grace; that is enough for me" (no. 234). For those hungry to deepen their commitment to Christian commu-nity and ministry, an Ignatian contemplation of the baptism may be the Contemplation on Baptism I 373 occasion to nourish those desires as they share this moment with Jesus as though it were happening for the first time. We never know whom or what we might meet on the banks of the Jordan! the woman with the hemorrhage i was tired of their pity and their prayers now for how many years each face became compulsive to be good with kindness--their helpful helplessness i've seen their looks that worried into silence "i'm so sorry" drove me to distraction until they learned my shame would last God only knowswperhaps forever then they disappeared like frightened children and the very thing