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Jordan Branch on Google Maps, State Formation, and the International Politics of Cartography
The territorial underpinnings of international politics are as familiar as they are contested within the discipline of International Relations. While the presumed 'territorial trap' of the discipline has been attacked from many sides (see, for instance, Theory Talk #4), Jordan Branch is more interested in turning the question around.
His work has carefully addressed the historical constitutive effects of mapping practices and technologies on the subsequent transformation of practices of, and ideas about, rule and the international system. In this fascinating Talk, Branch, amongst others, discusses the significance of cartography for international politics, explores the effects that contemporary digital mapping might have on political spaces, and illustrates how innovations in mapping impacted on rule with the historical example of France.
Print version of this Talk (pdf)
What is according to your view the most important challenge facing global politics and what is/should be the central debate in the discipline of International Relations (IR)?
While there are many different debates going on at the same time within the discipline, the one that has interested me most is the relationship between ideas and practical or material factors. There is a very simplistic version of this dichotomy that has been debated to death in the constructivist versus rationalists debates, particularly in the American field of IR—an over-drawn distinction, as many have pointed out. I am more interested in actual explanations for the process, outcome, or phenomenon we're looking at. Rather than separating them out, I am interested in how the ideational and material relate to one another, how they fit together.
This relationship poses questions for my specific interest in technological change. We are experiencing fast-paced technological changes—for example, the information technology revolution—which can yield a natural yet incorrect assumption, namely, that this change will inevitably have some kind of major effect on, or interaction with, politics and, specifically, with international relations. This may be true, but it is too often assumed. Indeed, this raises another problem. Even if there is such an effect, is it something we'll be able to observe, let alone predict or explain, as it is happening? From my historical work on the role of maps in state formation, for example, it is quite evident that for people at the time, there was no way to see the impact maps had on the political/spatial/ideational constitution of the state.
The information technology (IT) revolution is the most obvious current example of dramatic technological change. Although it has been playing out for the last 20 or 30 years, it only continues to accelerate. Over the past couple of years, a lot of discussion has focused on 'big data' and what it implies for business, financial analysis, and the like. Of course, it also presents possibilities as a new tool for social science. But there is a danger here. There is a tendency of seeing new technological phenomena only in their material contexts, specifically focusing on possibilities for measurement, for example, thereby neglecting to think about the ideational. How do ideas about collecting and using data actually play into the collection and analysis itself? So while they are in practice always entangled, analytically, I find the distinction between the ideational and the material a very fruitful one, not so much as a debate between opposing fields, but as way to think about technological change.
How did you arrive where you currently are in your thinking about these issues?
It is funny—people often ask this sort of question, and I did not necessarily see a natural trajectory for my thinking or work until I began to look and think back. This interest in connecting technological and political change goes as far back as my undergraduate time at Stanford University, where I initially majored in mechanical engineering, and later switched to International Relations. While technology remained an important preoccupation, I became more interested in politics, history, and theory. So the interest formed into questions about the political implications of phenomena like technology. But this didn't happen instantly. Just before beginning my PhD at the University of California, Berkeley, I was planning to do comparative work on regime change and democratization. Then my older brother (Adam Branch), who is also a political scientist, gave me a copy of Hendrik Spruyt's The Sovereign State and its Competitors (1994), and he said: 'Hey you might like this!' So, I literally read that on a beach the summer before starting grad school—which may sound funny, but I sat down, read it, and found it fascinating. Yet I didn't immediately start thinking about these questions then. It took a year or two, when I started really thinking about what I wanted to work on. I came back to this work and realised these were the kind of questions I was interested in: the origins of the territorial state and its characteristics.
The interest in the state as a concept had been with me for slightly longer. As an undergrad my first introductory course to IR was taught by Stephen Krasner (Theory Talk #21). Krasner has strong views, and the class was very rigorous. A lot of his work focuses on the state and I think his framings influenced me early on. I don't entirely agree with some of Krasner's arguments about sovereignty, but these disagreements are more about the specifics of salient time periods or cases. Other work which influenced me early on was that of John Ruggie on territoriality. Indeed his approach became central as I was developing these questions myself. I also discovered a host of literature in political geography that turned out to be very interesting and useful.
So, one could say that my trajectory was really more focused on understanding the historical outcome of the territorial state than on what role technology, specifically maps, played in this process. The focus on technology, while existent from my engineering days, really began to materialize as a link missing from existing explanations of state formation. I was thinking about how we might be able to find some additional traction on these questions by including technology more prominently. It has certainly been part of some scholarship on state formation, as in Charles Tilly's work or William McNeill's on technological change and warfare. Surely, technology has always been in there, but the discussion has been centered on war fighting technology and maybe on transport, and only to a lesser degree on communication technology in the broader sense.
Another piece of work which triggered my focus on the relationship between the ideational and the material was Ron Deibert's book Parchment, Printing and Hypermedia (1997, read the 1995 PhD thesis that became the book here, pdf). He talks about internet communication technology but also about the printing press and the impact it has on the global distribution of power. Yet, only when I read this book for the second or third time just as I was finishing up my dissertation did I realize how much his framing had shaped how I formulated my thesis. He does touch on the role of mapping, but it is his elaboration on the way in which media informs how people think about the world which was spot on for me. For me, maps as a medium very importantly framed how people thought about and imagined the world in the past—but of course these questions about technology and its role in constituting the international political system, states, territorial boundaries, and so on are still relevant today.
What would a student need to become a specialist in global studies or understand the world in a global way?
I think it is important to be really excited and interested in your topic and what you want to do. The key thing is to enter a grad program that fits you in terms of your interests and to be willing to do whatever methodological training ends up being needed for your research project.
I think there's a tendency to look for a 'one size fits all' graduate training model, which does make sense at the initial level. Everyone should get a certain amount of background in a variety of methods, whether they'll end up using those or not. For example, I have not used quantitative methods in my own research, but I'm glad that I had to take classes on those methods in grad school. They give you the ability to understand work which may connect to your own but comes at it from a different angle. And you should always be open to a variety of methods. The key is to be able to understand a broad array of approaches, otherwise you won't be able to engage in broad conversations.
I also feel I gained a lot from exploring, and reading widely, from other disciplines such as history and sociology. I already mentioned political geography, which is really not too distant but, nonetheless, in the U.S. it sits in a different department. You might think that some work is 'on the other side of the fence' but it is important to be able to bring that work into your thinking.
The final thing is to be open and ready to change your mind, whether it is about the answer you're expecting to get to your question, or even changing the question itself. Obviously there is a certain point when you're almost done with a project where that might not be a good idea…. but if it is early on and it works and you can do it logistically, I think it is important to be willing to do that. Five years later you're going to be a lot better off.
So far, your work has been mainly historical. Can you explain the importance of 'looking back' for understanding contemporary international relations?
I think it is extraordinarily important and useful. A lot of us in this and other fields do see strong connections between today's politics and past events, institutions, and ideas. There is an important notion that we cannot engage meaningfully with the present if we do not understand its genealogy. That is certainly a driver for me in thinking about the origins of the state and territorial boundaries. It may help us to observe patterns we might see replicated or appear in some kind of altered yet recognizable form today. Indeed, it can help us think about where were might be headed.
Although I also hesitate here slightly: always looking to the past for the answers can be problematic. History can help us to observe patterns, dynamics, and maybe relationships that might tell us something about other periods or about contemporary international relations. But we should never do so thinking that the patterns are definitely going to be the same or are deterministic. I think one can look for patterns or relationships without automatically assuming that they have to apply everywhere.
Historical analysis can be problematic in its own right, because there is no way to discover or absorb the past 'as it really was.' All history is some kind of construction, whether it is based on contemporary or historical sources. Additionally, in the social sciences we often have to rely on secondary sources. That is not inherently a problem; this fact just introduces more variables to think about. Pure narrative purporting to capture 'what really happened' can be very problematic.
Given these disclaimers, it is useful to consider the past. I think what should be emphasized is that, specifically at the grad school level, students should be encouraged to dig a little deeper historically. They shouldn't hesitate to do that excavation work.
IR, it has been argued, rests firmly on a spatial or territorial understanding of politics. What constitutive role does territorial space play in IR and is that role based on historical fact or is it myth?
I like that question. I think it is actually both—sort of a myth and sort of a fact. In one sense, territory informs at least the state ideal (i.e., states as we think of them): it informs what the state is, the interests of states, and of course how we distinguish one state from another. And yet, while this is all inherently territorial, we also know that this is far from an accurate description of a lot of regions and places in the world. There are many different spatial ideas, practices, and organizations with political agency that are non-state or non-territorial.
But regarding the myth of state territoriality: I think it is important to point out there is a lot of detail in the 'conventional narrative' of the state, such as timing of when territoriality came about as pinpointed in Westphalia, that has been quite effectively debunked by a number of scholars in the last 10 or 20 years (scholars like Andreas Osiander or Benno Teschke, from different theoretical perspectives). This is a strongly supported finding. But it really hasn't penetrated the mainstream narrative very well. While we can gradually see a little more nuanced discussion in IR textbooks in the U.S., they more often than not will still start with 1648 and Westphalia.
We can now confidently say that states—states as we think of them now—did not appear in 1648, let alone earlier. This is especially true if we look at the specifically territorial or spatial aspects of statehood, which again are so central to how we think about the state internationally. The focus on defending cleanly demarcated linear boundaries and the idea of asserting absolute sovereign authority within those lines; this is really not consolidated until at least the 19th century. So, part of the myth is the timing and the how and why we have states.
But there still is a factual quality to territoriality in this story we tell ourselves about the foundation of the international system and the supposed creation of sovereign states. In a certain setting and for a certain period I think this describes the ideas and practices of international politics quite well. The most obvious example of this is 19th century Europe. While there are still ways in which it diverges from the ideals of the typical state system, in a lot of ways it actually did fit that. This happened at the same time as the development of modern Western historiography, and it was the setting for some of the traditional foundation of political science and IR. So we can see how one shaped the other: history-making and state-making. The singular territorial ideal of statehood from the 19th century has subsequently been applied to other issues, actors, and areas. Even if it does not fit exactly, it is applied today still and it is made to fit retrospectively much earlier periods, where it applied less well.
Ultimately, it is a powerful myth which has informed how we think about international relations to such a degree that we shouldn't just throw it out. Instead, we should think about exactly how it actually informs the way that international relations is understood and practiced. Practitioners and officials don't exactly read IR journals and base their decision-making on our knowledge production, but the basic ideas of states, boundaries, and territory which inform the practice of international relations—as well as the study of it—should be our concern.
You have looked specifically at how mapping has contributed to imagining and formation of the modern state system. Could you elaborate more on how something as technical as cartography matters for international politics?
I've argued in my recent work that early modern mapping technologies were really essential to the consolidation of the territorial state, particularly the specific territorial features of states today. Maps, which have been a popular medium over the past few centuries, really do shape how people understand the world and their place in it. This gets us back to the connection between the material and the ideational.
In early modern Europe a revolution took place, first in mapmaking technologies and, slightly later, in the ideas and practices of political rule, especially as it relates to territory. I argue this was really not a coincidence. How rulers and subjects conceived of rule and how rulers conceived of their realms was really altered as they increasingly used maps that depicted the world in this one particular way. The key characteristics of modern statehood – at least of the ideal of modern statehood – such as linear boundaries between homogenous territorial claims, really appeared first in maps and only subsequently in political practices on the ground. Of course, there were existing authority structures, but these were not particularly spatial or were not spatial in this linear demarcated way. Subsequently, however, these authority structures were ignored or sometimes even actively renounced in favor of the kind of authority which could be literally shown and drawn on a map.
It is interesting because initially, maps were not predominantly produced by rulers, states, or officials. They were certainly involved in sponsoring some mapping projects, buying maps, and using them, but mapmaking was more of a commercial private scientific enterprise, if we can apply the label 'scientific' in the 16th and 17th centuries. These map-makers certainly didn't have any articulated goal of changing politics, at least not on this broad level. They were really concerned with making money, maybe creating art, and advancing what they thought was a growing science of cartography.
We can however see that the map, as a technological artifact—maps as actual things—had an impact on the practices of rule both between rulers and between rulers and their subjects. I argue that this process occurred quite broadly across the European development of the international system at that time. And you can see this sequence really clearly in a case like France.
Let me illustrate that. Here are three maps of 'France' ranging from the 1400s to the 1700s—the quotation marks are necessary because the notion of there being one entity called France across this whole period is more a matter of us labeling it as such rather than it being one recognizable entity.
The first map is from a 15th century manuscript about royal and noble genealogy in France. The image is purported to represent 'all the realm of France' and shows the country as a collection of what I would call places rather than a single linearly demarcated space. You do have the notion of spatial boundaries here, in terms of rivers as means for demarcation. Yet, very clearly, the visual language of this map focuses on towns. And this is how rule was practiced and operationalized as well: negotiations would be over places, or maybe collections of people based on identity, jurisdiction, or where they were allowed to reside, but not in term of linear demarcations between claims.
Now look at the second map, which is just from about 150 years later, from the 1590s. It is from an atlas by a follower of Mercator, and its label Gallia is the Roman designation for France. From our modern perspective we can recognize something that looks a lot like a modern map of France. Maybe even a state, although the boundaries are not exactly like we would expect them to be. But this is the visual language of mapping that we are familiar with: longitude, latitude, spatial expanses colored in, homogenous territorial claims—there is something about the space depicted that argues that it is all the same, that is all France.
And despite this familiarity, it was actually far from an accurate depiction of French rule. Not just in the actual placement of the boundaries, which are contestable, but in the discrete nature of the boundaries themselves. Along these frontiers, so clearly demarcated on this image, the claims of the French king were often unclear and overlapped with those of other rulers. This was even true for the interior of France during this period.
The third map is another 150 years later, from the 1740s. This is from a map showing the triangulation of the realm, undertaken by a group of geographers, known as the Cassini survey, as several generations of the Cassini family headed up this effort. The realm is being mapped explicitly using geometric tools with the important emphasis that the image is actually meant to represent reality. It is understood that way: it's supposed to measure reality, in order to enable the French king to better understand what he rules. Moreover, this mapping took place at the same time that rule was being implemented in practice on the ground in terms of spatial expanses as we think of them, in the form of demarcating boundaries with neighbors which had previously been unclear, overlapping jurisdictions.
Although maps of the second generation (i.e., the map from the 1590s) were 'inaccurate,' they were extremely influential. They were widely distributed and purchased by the elite, both inside and outside of government. Using these maps provided rulers with this particularly new territorial meaning to their centralizing and bureaucratizing efforts. As a consequence, the use of these maps as material tools of governing and negotiation really changed the language of rule. Rule becomes cartographic, at least in part. When two opposing sides come to the negotiation table, for example, they at the very least have already agreed, implicitly, that the division should be a linear boundary—it is just a question of where.
By the time the third map is produced, the government is much more directly involved in map production using accurate geometrical measurement. Yet the very desire for this mapping was shaped by the earlier use of those commercial maps that built up the visual grammar of geometric space. The French case is useful because it is very well documented, but we do see the same sort of process repeated either simultaneously or later throughout Europe and also elsewhere. In fact, there is a lot of interesting scholarship on the introduction of mapping and modern geographic thinking into regions outside the West. Siam Mapped (1994), a book by Thongchai Winichakul, is a fantastic study that I found really useful for my thinking about Europe, even though it deals with Siam (Thailand) in the late 19th and early 20th centuries.
This is my story about mapping and territory, but I think there is a broader frame to your question: do we want to bring in these sort of technical factors into explanations in International Relations? And while we don't want to be technologically determinist, there is some useful thinking around technology and its effects we should consider. The impact of maps has been so strong, and yet they are such common artifacts that they are largely conceived of as 'unremarkable' outside of geographic-oriented disciplines.
So can we juxtapose this insight that mapping practices precede the practice of rule and state formation to the anthropological present, that is, what do the contemporary, some say radical, shifts in mapping techniques entail for international politics?
Absolutely. When I initially present my work, there is often an assumption that I use GIS in my study. Instead, my work focuses on analyzing mapping itself—maps as historical artifacts, their effects and their interaction with political identities, interests, and organizations. But I think the ways in which methodology and the subject of study overlap on subjects like technology could potentially contribute to stretching the boundaries of IR. The big data question is both a question of studying what big data means for politics but also how we can use big data to study politics. The way in which new technologies can simultaneously play into our methods and into our answers or questions is a pressing and fascinating issue.
For instance, there has been a lot of back and forth on the question of whether more open-access mapping techniques entail some sort of democratization. While I think we have seen that more participatory forms of mapping are possible, we shouldn't think that this type of mapping is completely open, as no technological system is completely open to anyone and everyone at all times. But, indeed, there is a democratization of mapping under way. Authorship in a whole host of domains, including mapping, is opening up where there used to be a single authoritative voice or at least a single type of authoritative voice. So maps are an example of this opening up and collective authorship. At the same time, accommodating more voices also means that a lot of information is being shared without authority or attribution or what we think of as a legitimate source… When you open a map from Rand McNally or National Geographic, you know that specific cartographers thought this was accurate and you can blame or praise them. But when you open up a layer of Google Earth that has been crowd-sourced you don't know who put that pin there, and you don't know why.
It's really interesting to explore a bit further how this is different from the recent past. In the 19th and first half of the 20th century, mapmaking was essentially state-led. The U.S. geological survey, the Ordnance Survey in Britain, or large mapmaking geographical institutions such as National Geographic represented the owners and producers. Mapping was so technical, so obviously technical that the everyday person would not be able to make a map to Rand McNally's standards. This has changed, and quite importantly so. Not only do we have the technology to do this, people are aware that they can use it as easily as opening a smartphone app, thereby incorporating more points of view. This is not necessarily good or bad. Politically, it does open up new possibilities. Maps have always been political, both implicitly and explicitly. It certainly opens up the possibility of some kind of broader shift in ideas about territory. Let me illustrate with an example. I haven't necessarily come across specific maps that present some completely novel visual grammar potentially reshaping the way we think about the world. But, an interesting example I like to bring to my students: there was a September 2011blog post on Google's Lat-Long blog (which is the company's blog about Google Maps and Google Earth). Its headline read: 'South Sudan is now official on Google Maps,' and it displayed a screenshot of the new boundary.
They changed their base layer by adding a boundary between South Sudan and Sudan. This of course followed the referendum and the UN's recognition, and all the traditional precursors to official statehood. South Sudan became a recognizable entity on that blog. Google Earth, a non-governmental actor, indeed a huge corporate actor—and thus not necessarily democratizing—becomes part of the discourse of declaring South Sudan's official existence.
This is an example of how things might be going. Interestingly, the whole enterprise of mapping today actually resembles more closely that of the 16th and early 17th centuries then that of the 19th or early 20th century, not technologically but organizationally. The state-centric view of the world was enforced by the state-authored mappings of the 19th and 20th centuries. Now, by contrast, there is a kind of shared or unclear authorship, there is crowdsourcing, there are multiple sources of conflicting and quite openly unreliable or uncertain information. This environment of rapidly increasing distribution and use also describes the creation of the early atlases in the late 16th century and early 17th centuries, which involved the collation of all kinds of information from multiple sources.
And of course it was in the 16th and 17th century when this sort of non-state-controlled mapping presented innovative images of the world—those images that ended up shaping and consolidating the state form of territory. And so it was these new tools for understanding and acting on the world which gave the state its territorial shape. As key information-producing activities are being opened up, some forms of power are being redistributed. This certainly means that we need to widen our scope in terms of whom we consider to be a stakeholder or what sort of actors we want to study. We know that the dichotomy of state versus non-state is not sufficient. We need to be subtler in our inquiries. In IR, of course, the stereotypical over-emphasis on states is being questioned, and this is really just one more sign that a piece of the power of the state, in this case map-production and distribution, is shifting elsewhere.
I recently had a conversation with students in my undergrad seminar on technology and international politics. I went into it saying: 'Hey, all this mobile mapping and GPS and Google Earth is totally revolutionary. This may change how we think about the world.' And they were all completely unconvinced, since they use these technologies all the time—to a bunch of twenty-year-olds these tools seem unremarkable. And maybe that is actually a more accurate analysis. But it is interesting how it is such a different analysis from that of my generation and anyone older, all of us who have spent a lot of time, for example, driving around without GPS. It is partly this perception and the 'unthinking usage' which make the relationship between technologies and social and political outcomes so difficult to observe. Our ideas may be changed, and especially the ideas of younger generations may be changed, without anyone particularly noticing how dramatic the changes might be. This also means that the connections, because they are 'unthinking,' can be quite foundational to people's ideas of social identities or political practices. They are tacit and embodied. That makes it both hard to observe but also an interesting puzzle. But it is worthwhile mentioning that the images presented by Google Maps and other digital mapping tools, particularly satellite imagery, might carry a greater legitimacy in terms of depicting 'the truth'. It looks like a picture of the world and therefore whatever is on it, even layered on data (like a new international boundary), must be true. It represents another apex of the scientific trajectory of mapping.
If it is just about adding a data layer on a base map that remains the same, does that then mean that ontologically this kind of mapping technology actually doesn't challenge territoriality?
That gets to an interesting point, which entangles with a lot of the more careful discussions of globalization and the state. One version of that is that the state is not dying, is not being destroyed. It is just that other things are being layered on top of it, and the state and its boundaries still remain and still matter for certain things. In this case, maps are perfectly capable of showing state boundaries—they look very fixed, very strong—but one can layer on top other types of information, maybe transactional flows or particular places that are connected in different ways.
I think that could be an interesting argument: these new mapping tools can really show so much, and it is matter of selecting what you want to show and unselecting things you don't want to show. Thus they don't do anything to undermine one particular view of the world. Now that is not necessarily a good or bad thing. If we look at the history of mapping and the origins of state territoriality, a key part of that was that it was really hard to depict medieval jurisdictional and personal notions of rule on early modern maps. Printing technology and mapping tools prescribed depiction in a certain way—drawing lines and coloring in spaces. Maps made it harder to show and thus think about the other forms of rule. If digital maps are still perfectly capable of showing states and their boundaries, they may do very little to undermine that notion of territory.
Finally, if we are interested in the politics of maps, to what extent do we need to study not only the maps as political artifacts but the mapmakers as political actors as well?
I think it is extremely useful to do both, and obviously if we study mapping today, we can do both. In terms of historical work, we can only rely on very limited sources, such as what mapmakers themselves wrote about what they were doing. We don't know a lot about their goals or ideas about politics. I would have loved to have been able to read exhaustive memoirs by mapmakers such as Ortelius and Mercator. Of course, they might not have said anything about the questions we are interested in. On the other hand, a lot of map-makers today are involved in mapping for explicit political reasons: for example, Ushahidi-type collaborative mapping (www.ushahidi.com), or humanitarian and relief mapping. Here we can dig into the question of how the maps produced relate to specific objectives. That is a great way to get more analytical leverage on a lot of these questions.
Jordan Branch joined the Political Science department at Brown as an Assistant Professor in summer 2012. He received his PhD in Political Science at UC-Berkeley in 2011, and spent 2011-2012 as the Hayward R. Alker Postdoctoral Fellow at the Center for International Studies at the University of Southern California. His interests include international relations theory, the history of the sovereign state system, contemporary challenges to statehood, and the intersection of technological and political change. In 2014, Cambridge University Press published his book, The Cartographic State: Maps, Territory, and the Origins of Sovereignty. His research has also appeared in International Organization and the European Journal of International Relations.
Related links
Faculty profile at Brown University Read Branch's Mapping the Sovereign State: Technology, Authority, and Systemic Change (International Organization 2011) here (pdf) Read Branch's Colonial Reflection' and Territoriality: The Peripheral Origins of Sovereign Statehood (European Journal of International Relations, 2012) here (pdf)
Print version of this Talk (pdf)
0 0 1 5331 30391 School of Global Studies, University of Gothenburg 253 71 35651 14.0
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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학위논문(박사)--서울대학교 대학원 :공과대학 산업공학과,2020. 2. 박용태. ; 치열한 글로벌 경쟁속에서 지속적 성장을 위한 혁신의 중요성으로 인해, 수많은 국가, 산업, 기술 수준의 혁신 연구들은 다양한 관점에서 혁신의 영향요인과 메커니즘에 대해 깊게 탐구해 왔다. 그러나 연구범위의 특수성, 소규모의 실증연구, 혁신연구 자료에 따른 대용 지표의 특성에 의해 제한된 전통적인 통계적 방법론과 결부된 복잡한 혁신 환경은 혁신에 대한 다양한 논쟁을 일으키며, 혁신에 대한 총체적인 합의를 어렵게 해왔다. 본 학위 논문은 다양한 측도로 측정되는 혁신 연구자료의 대용지표적 특성과 이에 의해 제한된 전통적 통계 방법론의 적용의 취약점을 넘어서서, 16,230개의 대규모 표본 실증 자료와 이를 통합적으로 반영할 수 있는 의사결정나무분석을 활용한 하나의 통계적 프레임워크에 기반하여 국가적, 산업적, 지역적 수준에서 제조업과 서비스업에 대한 횡단적, 종단적 비교분석을 통해 두 업종을 아우르는 혁신에 대한 총체적인 지식의 부족함을 경감함으로써 혁신 연구의 지평을 넓히고 풍성하게 하는 것을 목표로 한다. 본 학위 논문은 체계적 프레임워크를 개발함으로써, 한국의 제조업과 서비스 산업의 모든 세부 산업을 전국적으로 반영할 수 있도록, 이론적으로 표준화되고 실무적으로 세계적으로 활용되는 오슬로 매뉴얼에 기반한 한국혁신조사 자료를 활용하여, 최근의 연속된 두 기간 동안, 선행연구에서 제시된 혁신과 연관된 외생적, 내생적 변수를 모두 고려하여, 다양한 관점의 다양한 수준에서 산업, 세부산업, 지역 간의 종단적이고 횡단적인 비교분석을 통해 종합적인 혁신의 영향 요인과 혁신의 유형적 거동을 탐색하고자 한다. 본 학위 논문은 두개의 주제로 구성되어 있다. 첫번째 주제는 선행연구들이 선험적으로 가정하였지만, 통계적으로 검증되지 않은, 산업, 세부산업, 지역, 지역산업 수준에서 제조업과 서비스 산업의 혁신의 성공과 실패에 대한 통계적 차이를 확인한다. 8가지 가설에 따른 28개 모델에 대한 교차표 분석과 카이제곱 검정을 통해 지지된 가설검증 결과를 바탕으로, 본 학위논문은 혁신에 대한 영향요인과 유형별 거동을 탐구한다. 두번째 주제는 CHAID 알고리즘과 10-fold 교자검증을 활용한, 안정적이고 타당한 예측적 의사결정 나무분석을 통해 혁신에 대한 영향요인과 유형별 거동을 탐구한다. 두번째 주제는 세가지 세부 모듈로 구성된다. 첫번째 모듈은, 52개 모델에 기반하여 전국적, 지역적 수준에서 제조업과 서비스 산업의 혁신 성공과 실패에 대해 비교 분석을 통해 혁신 영향요인과 유형별 거동을 파악한다. 두번째 모듈은 30개 모델에 기반하여, 제조업과 서비스 산업내 성공기업의 전반적인 혁신활동에 대해 다양한 관점에서 비교분석을 통해 혁신 영향요인과 유형별 거동을 파악한다. 세번째 모듈은 제조업과 서비스 산업내 가장 혁신적인 세부산업, 지역, 지역산업에 대해 36개 모델을 통해 혁신 영향요인과 유형별 거동을 파악한다. 이를 통하여, 본 학위 논문은 제조업과 서비스업 내의 중요 영향요인과 이들의 변화를 종단적, 횡단적으로 파악하고 유형적 혁신 거동을 밝힌다. 118개의 의사결정나무분석을 통한 혁신의 영향요인과 유형적 거동에 대한 종합적 이해를 바탕으로, 전국적, 지역적, 산업적, 기업적 관점에서의 종합적인 시사점을 제시한다. 제조업과 서비스산업 전반에 걸쳐, 내부 연구개발과 역량은 혁신 성공에 중요한 것으로 확인되었다. 제조업에서는 기업 규모가 클수록, 기업 연령이 높을수록, 혁신 성공가능성이 높은 것으로 확인되었다. 제조업내 저 기술 분야의 기업은 R&D 활동보다 비R&D 활동을 선호하였으며, 서비스산업에서는 기존 연구와는 다르게, 혁신 성공에 대한 세부 산업간 차별적 특성뿐 아니라, 기업 규모와 연령효과가 확인되었다. 특히 경제 호황기에서 기업 규모의 효과가 두드러지게 나타났다. 지역 측면에서는 수도권과 광역권내에서의 혁신 성공과 실패에 있어 기업의 혁신 역량과 세부산업간 차이가 확인되었다. 산업측면에서는 제조업과 서비스산업내의 R&D의 역할에 대한 차이가 나타났다. 제조기업은 비R&D 활동 보다 R&D 활동에 더욱 집중하는 반면, 서비스 기업은 전반적으로 R&D보다 비R&D 활동을 수행하는 것으로 확인되었다. 지식활용 측면에서는 서비스 기업이 민간 고객 정보에 집중하는 반면, 제조기업은 동일 분야내 경쟁정보를 더욱 중요시하였다. 성공기업의 혁신의 재무적 기여측면에서는, 혁신은 수년에 걸쳐 두 산업 모두에서 재무적으로 기여하였다. 제조기업의 혁신이 서비스기업의 혁신보다 더 많은 재무적 기여를 하는 것으로 확인되었으며, R&D 혁신활동을 수행하는 제조기업이 더 높은 재무적 기여를 달성했다. 서비스 산업내에서는 내부역량과 지식활용의 자유도가 높은 서비스 기업이 높은 재무적 기여를 거두었다. 전반적인 성공기업의 혁신활동의 영향요인과 거동 측면에서는 제조업과 서비스산업 전반에서 혁신성공기업들은 저비용의 R&D 활동을 선호하였으나, 저 기술군 산업은 비R&D 활동을 선호했다. 제조업에서는 기업으로 하여금 시장 니즈 탐색 활동을 유도하는 목표시장 성격에 따라 제조기업의 전반적인 혁신활동과 외부 지식 활용 활동에 영향을 미쳤다. 대부분의 연구소를 보유하고 있는 기업은 자사의 지식을 활용함으로써 내부연구개발에 집중하였다. 협력R&D는 부족한 내부역량을 채우기 위해 수행되었으나, 이를 보완하기 위한 흡수역량이 요구되었다. 서비스 산업에서는 기업들은 기술활용측면의 세부산업의 차별적 특성에 따라 내부 역량에 따라 R&D를 수행하거나 하지 않았다. 서비스 기업의 혁신 거동은 고객과 경쟁자로부터의 지식 활용 측면과 밀접하게 연관되어 있는 것이 확인되었으며, 특히 경제 활황기에는 고객 및 외부 R&D 기관으로부터의 지식활용에 적극적이었다. 혁신 성공을 제고하기 위한 정책적 시사점으로는, 제조업에 있어서 자금 지원을 통한 내부 R&D와 협력 R&D 역량 모두를 높일 수 있는 체계와 기술과 시장에 대한 정보제공 수준을 높이는 측면에서 국가혁신체계를 강화하는 것이 중요하다. 서비스 산업에 있어서는, 협력 네트워킹 활동을 강화하는 것보다 내부 R&D 뿐만 아니라 비R&D 활동을 위한 역량을 강화하는 것에 초점을 맞추는 것이 중요하다. 또한, 세부산업의 차별적 특성에 맞춘 시장정보 제공의 촉진이 요구된다. 전체적으로, 본 학위 논문은 빅데이터 수준의 혁신 연구 자료의 다양한 지표 형태를 포괄할 수 있는 단일 통계적 프레임워크로써 의사결정나무분석 방법론을 제시하고, 기업 혁신 활동의 다양한 관점과 전국적, 산업적, 지역적 수준에서 서로 다른 산업적 특성을 가진 제조업과 서비스산업 전반의 종단적, 횡단적 비교 분석 연구를 통해 주요한 영향요인과 유형적 혁신 거동에 관한 발견과 시사점을 제시하였으며, 이는 총체적인 혁신 이해에 대한 지식 축적에 기여한다. 제안된 종합적인 분석 체계를 기반으로 실증적으로 다양한 맥락을 관통하는 혁신 측정의 일관성을 가진 대규모의 혁신 연구 자료를 활용함으로써, 다양한 관점과 소규모의 실증적 혁신 환경에 따른 혁신 연구 자료와 비일관적인 대용 지표에 기인한 주요 혁신요인과 메커니즘에 대한 다양한 논쟁을 해소하고, 동시대의 새로운 혁신 연구의 지평을 밝힌 점에서 의의를 가진다. ; Numerous innovation studies at the national, industrial, and corporate levels from the various perspectives on diverse innovation taxonomy have fathomed influencing factors and in-depth mechanism on innovation due to the crucial role of innovation for ensuring growth under a fiercely competitive business environment in globalized economy. However, the complex context of innovation has led to controversies on innovation and made it difficult to address a comprehensive prescription of innovation involving specific research scopes, small pieces of empirical cases, and traditional statistical methodologies tied down by natures of proxy measures in innovation study data. This doctoral thesis aims to broaden and enrich the landscape of innovation study by mitigating the shortness of comprehensive knowledge on innovation encompassing manufacturing and service industries based on the big data scale of 16,230 empirical cases from cross-sectional and longitudinal comparative perspective between two industries at the national, sectoral, and regional levels through a single statistical framework by employing decision-making tree analysis, beyond the weakness of proxy measures in innovation study data regarding type and scale, and classical statistical methodologies tied down by the data. This thesis develops a systemic framework to identify overall influencing factors and typological behaviors by considering all factors together entailing contextual and intrinsic factors, which are determined in previous empirical studies in different contexts from the diverse microscopic foci, at various level from diverse perspectives based on the cross-sectional and longitudinal comparative analysis between industries, sectors, and regions on manufacturing and service industries to reflect all sectors nationwide over the years in Korea empirically, by using data from recent two consecutive Korea Innovation Survey (KIS), which is based on the Oslo manual that is standardized theoretically and practically applied worldwide. This thesis consists of two themes. Theme#1 aims to verify statistical differences in innovation success and failure between manufacturing and service industries at the industrial, sectoral, regional, and across sectoral and regional levels nationwide, which is preliminary assumed in previous studies that there is significant difference between sectors statistically, but not tested. Based on the supported eight hypotheses on 28 models by cross-tabulation analysis and chi-square test, this thesis explores forward significant influencing factors and typological behavior on innovation. Theme#2 explores to identify influencing factors and typological behaviors on innovation comparatively between manufacturing and service industries nationwide based on decision-making tree analysis employing CHAID algorithm and 10-fold cross-validation, which are stable, rational and predictive. This theme#2 consists of three modules. The first module identifies influencing factors and typological behaviors on innovation success and failure comparatively between manufacturing and service industries at the national and regional level based on 52 models. The second module identifies influencing factors and typological behaviors on firms that succeeded in innovation comparatively between manufacturing and service industries at overall innovation activity levels from various perspectives based on 30 models. The third module identifies influencing factors and typological behaviors on the most innovative domains having highest success rate comparatively between manufacturing and service industries at the sectoral, regional, and across the industrial and regional levels with higher resolution particularly based on 36 models of three sub-modules. From these models, this thesis identifies pivotal and varying influencing factors across industries over the years, and determines typological behavior of firms in manufacturing and service industries. Based on comprehensive findings on significant influencing factors and typological behaviors on innovation in each result of overall 118 decision-making tree analysis models in three modules in theme#2, overall implications on each typological variation at the national, regional, industrial, and corporate level are drawn. At the national level, the role of internal R&D and its capability are crucial for innovation success across manufacturing and service industries. In manufacturing industry, the larger the firm size and the older the firm, the higher the success will be achieved. Firms in low-technology sectors prefer non-R&D innovation activities rather than R&D. In service industry, effects of firm size and age with sectoral differences are identified. The size effects are prominent under the booming economy circumstances. At the regional level, significant influencing factors are consistent with the arguments on innovation capacity and sectoral difference on both capital and metropolitan area. At the industrial level, the significant role of R&D is witnessed between manufacturing and service industries, such that manufacturers concentrate more in R&D activities than non-R&D activities, and that service firms generally implemented non-R&D innovation activities than R&D. Regarding utilizing information, service firms focus on information from private customer, whereas manufacturers emphasis information from competitor in same sector. At the firm level on innovation contribution, innovation have contributed to the sales on both industries over the years. Comparatively there was a tendency that innovation in manufacturing industry contributes more than service industry. In manufacturing industry, firms performing R&D related innovation activities earn higher contribution to sales from innovation. In service industry, the higher internal capability and freedom in utilizing knowledge, the higher financial contribution will be achieved. Concerning an innovator's behavior, in manufacturing industry, target market characteristics that drive a firm to explore market needs affects innovation behavior and the utilization of external knowledge. Firms prefer implementing low-cost R&D activities across sectors, but firms in low-technology sectors prefer non-R&D activities. Most firms having R&D institutes focus on performing internal R&D with using their own knowledge. Cooperative R&D is conducted for closing capability gaps, but absorptive capacity is necessary to complement cooperative R&D. In service industry, firms primarily decide on whether to engage in R&D based on sectoral differentiations in technology facilitation with internal R&D capability. Their behavior is closely related to the knowledge utilization from customer or competitor. Firms perfervidly engage in utilizing knowledge from customers and external R&D institutes under the booming economy. For managerial or political implications in manufacturing industry, it is crucial to enhance the national innovation system, such that strengthening a support program to increase the capacity of both in-house R&D and cooperative R&D through funding, and to enliven the information environment on technology and market. For service industry, it should focus on enhancing the capacity for non-R&D innovation activities as well as for the internal R&D rather than promoting cooperative networking activities. Also, it should strengthen the national innovation system for to facilitate provision of market information according to the sectoral differentiation. In whole, the findings and implications presented in this thesis contribute to the comprehensive knowledge on influencing factors and typological behaviors on innovation across manufacturing and service industries nationwide from cross-sectional and longitudinal comparative analysis by employing DT methodology to encompass various types of proxy measures in innovation study data together in a single statistical framework on the big-data scale, thereby shedding light on landscape of innovation study and resolving controversies involving various empirical contexts and diverse proxy measures, which are tied down by the innovation study data. ; Chapter 1 Introduction 1 1.1 Background and motivation 1 1.2 Purpose 5 1.3 Scope and framework 7 1.4 Thesis outline 10 Chapter 2 Background 13 2.1 Theoretical background 13 2.1.1 Definition and measurement of innovation 13 2.1.2 Antecedents of innovation 17 2.1.2.1 Extrinsic determinants of innovation 17 2.1.2.2 Intrinsic determinants of innovation 21 2.1.3 Innovation studies at the sectoral and regional levels 27 2.2 Methodological background 30 2.2.1 Decision-making tree analysis 30 2.2.2 Validation and accuracy 33 2.3 Data and variables 34 2.4 Research framework and flow 44 Chapter 3 An analysis of industrial and regional differences in the success of innovation between Manufacturing and service industries 50 3.1 Structure and hypotheses of difference in innovation success between manufacturing and service industries at the industrial, sectoral, and regional levels 50 3.2 Differences in innovation success between manufacturing and service industries at the industrial, sectoral, and regional levels 54 3.3 Conclusion 84 Chapter 4 Identifying influencing factors and typological behaviors in innovation between manufacturing and service industries by using decision-making tree analysis 88 4.1 Identifying contextual factors and typological behavior in innovation success and failure between manufacturing and service industries at the national and regional levels 89 4.1.1 Analysis structure on innovation success and failure at the national and regional levels 89 4.1.2 Factors and behaviors in innovation success and failure between manufacturing and service industries at the national and regional levels 92 4.1.2.1 Overall influencing factors and typological behaviors on innovation success and failure at the national level 97 4.1.2.2 Overall influencing factors and typological behaviors on innovation success and failure at the regional level 111 4.2 Identifying intrinsic and contextual factors and typological behaviors in successful innovation firms between manufacturing and service industries at the various activity levels 116 4.2.1 Analysis structure on intrinsic and contextual factors and typological behaviors in successful innovation at the various activity levels 116 4.2.2 Intrinsic and contextual factors and typological behaviors in successful innovation at the various activity levels 119 4.2.2.1 Industrial difference in successful innovation 119 4.2.2.2 Contribution to sales from innovation 124 4.2.2.3 Overall innovation activities 133 4.2.2.4 Overall R&D activities 141 4.2.2.5 Cooperative activities 151 4.2.2.6 Best cooperative partner 156 4.2.2.7 Sources of innovation budget 161 4.3 Identifying factors and behaviors in innovative domains between manufacturing and service industries at the sectoral, regional, and across the industrial and regional levels 166 4.3.1 Analysis structure on innovative domains 166 4.3.2 Overall influencing factors and behaviors in innovative domains at the sectoral, regional, and across the industrial and regional levels 173 4.3.2.1 Innovative sectors 173 4.3.2.2 Innovative regions 182 4.3.2.3 Innovative regional sectors 188 4.4 Conclusion 194 Chapter 5 Conclusion 205 5.1 Summary and contribution 205 5.2 Limitation and further research 212 Bibliography 214 Appendix 249 국문초록 347 ; Doctor
La actividad turística representa para Costa Rica una fuente importante de divisas y de empleos directos e indirectos. El crecimiento exponencial que ha tenido esta actividad en los últimos treinta años en Costa Rica ha traído consigo impactos positivos y negativos. El Turismo Rural Comunitario (TRC) se presenta como un modelo de turismo apropiado para el desarrollo sostenible de los espacios rurales costarricenses, estando, además, en sintonía con el modelo de turismo "vivencial y de experiencia" por el que se apuesta en este país. El TRC se caracteriza por integrar las riquezas naturales y la vida cotidiana de la comunidad rural, además de promover dentro de la misma oferta turística prácticas productivas sostenibles. De este modo, las experiencias de TRC se integran en la vida de la comunidad local y se convierten en una actividad complementaria a las actividades tradicionales agrarias. El valor de tales experiencias de TRC radica, por tanto, en su capacidad para adaptarse a los ritmos cotidianos de la vida rural y para preservar las dinámicas socio-territoriales de las comunidades. Un elemento importante a resaltar del TRC es su capacidad para promover la participación de la comunidad rural, aprovechando y fortaleciendo las estructuras organizativas y las redes sociales ya existentes a nivel local. Desde el punto de vista económico, al integrar la población local en diferentes encadenamientos productivos, el TRC permite que se dé una distribución más equitativa de los beneficios generados por la actividad turística, siendo así una importante fuente complementaria de los ingresos familiares. Esta tesis doctoral está estructurada en cuatro partes diferentes, agrupadas en doce capítulos, cada uno de ellos con un apartado de conclusiones parciales para facilitar su lectura, además de un capítulo de conclusiones generales. Hemos querido centrar nuestra investigación, a partir de elementos cuantitativos (encuesta) y cualitativos (entrevistas, mapeos de actores), en el análisis en los actores endógenos y sus relaciones con la actividad turística, lo que ha permitido generar un acercamiento a las realidades existentes mitigando posibles impactos de índole social y cultural en las comunidades rurales. Para ello, hemos propuesto la investigación empírica a partir de tres enfoques (capital social, acción colectiva y gobernanza), y que debidamente articulados, nos han permitido analizar las distintas experiencias de TRC en las zonas seleccionadas, mostrando sus rasgos característicos (tanto al nivel del discurso ideológico, como de las estrategias y modelos organizativos), los elementos que las componen, y su contribución al desarrollo y gobernanza de los territorios donde se ubican. La confianza, las normas de reciprocidad y los flujos de información, que son elementos fundamentales del enfoque de capital social, son precisamente los factores que inciden en la formación y sostenibilidad de las experiencias de TRC, ya que contribuyen a facilitar la cooperación y la acción colectiva a nivel local. Asimismo, las interacciones entre, de un lado, los actores que forman parte de la comunidad local, y de otro, el entorno exterior, formado por instituciones públicas y privadas revestidas de poder y situadas en posiciones de superior orden jerárquico, son el resultado de la combinación de las lógicas ascendentes (bottom-up) y de las lógicas descendentes (top-down). Para conocer mejor esa combinación, el enfoque del capital social proporciona herramientas útiles, como es la tipología bonding, bridging y linking, así como permite ordenar las dinámicas del desarrollo en distintas dimensiones, facilitando así su medición. Entre las principales conclusiones están las siguientes: 1. Esta tesis doctoral ha tenido la virtud de articular una propuesta teórica como lo es el estudio del capital social, la acción colectiva y la gobernanza de los espacios rurales a un fenómeno social tan relevante como lo es el turismo en Costa Rica. Esta tesis fue un estudio exploratorio centrado en cuatro casos de estudio, en el que se utilizó instrumentos cualitativos y cuantitativos que lograron ofrecer información directa y valiosa sobre la realidad de los territorios rurales a partir de una combinación de enfoques teóricos. Además, la investigación se centró en poblaciones indígenas y campesinas que han abierto sus familias y comunidades a la atención de visitantes. Logramos aproximarnos a su capacidad de relacionarse en contextos intracomunitarios y extracomunitarios, y más aún, a su capacidad para relacionarse con actores que tienen cierto poder político y económico. 2. La metodología propuesta en esta tesis doctoral es apropiada para utilizarla en los análisis de los territorios rurales y en la definición de estrategias de intervención para el desarrollo rural. Es una manera de conocer las dinámicas territoriales, los niveles de confianza que se dan en las comunidades, las relaciones que se tienen entre comunidades, y las capacidades existentes en el intercambio con organismos políticos y económicos. Al capital social se le asocia ese efecto multiplicador de la productividad, al reducir los costes de relacionarse con el resto de los individuos, donde se combinan e intercambian los factores que cada uno posee. 3. Las normas que comparten las organizaciones de TRC se consolidan con el tiempo, y, al igual que los valores, se transforman en escenarios o espacios más complejos. La presencia de capital social tipo bonding desempeñó un papel clave, contribuyendo a construir un nuevo sujeto colectivo en la comunidad local. En una siguiente etapa, una vez constituidas las organizaciones de TRC, la presencia de capital social tipo bridging se convierte en un elemento fundamental al posibilitar el desarrollo de relaciones de confianza con personas ajenas a la propia comunidad. El paso de un tipo de capital social a otro no es un cambio brusco, sino gradual y no excluyente, puesto que tanto el tipo bonding, como el bridging, se complementan para hacer que las experiencias asociativas sean sostenibles y perduren a lo largo de tiempo. 4. La clave el éxito de las experiencias de TRC es una buena combinación entre los tres tipos de capital social (bonding, bridging y linking), cuya importancia varía a lo largo de las distintas fases de evolución de dichas experiencias. 5. El TRC está revalorizando los territorios rurales a partir de elementos que tienen que ver con el medio ambiente, la cultura y las actividades tradicionales, tales como la ganadería y la agricultura, ésta última importante para la soberanía alimentaria de las comunidades locales. Asimismo, permite la puesta en valor de los atributos o valores presentes en las comunidades rurales a partir de los procesos de acción colectiva emprendidos por sus habitantes. 6. La investigación revela que con el paso de los años, las organizaciones que operan iniciativas de TRC van generando alianzas con diversos actores a nivel intracomunitario y extracomunitario. La creación o pertenencia a nuevas y diferentes redes responde a las necesidades de las organizaciones, ya sea para el fortalecimiento del turismo en las comunidades, la implementación de ideas innovadoras que sirvan como alternativas productivas, o el contacto con grupo que buscan la preservación de bienes comunes en las comunidades, como es el caso de la conservación del medio ambiente y el rescate de la cultura local. Los casos analizados nos permiten comprobar que las organizaciones logran entrelazar sus actividades, de tal forma que van formando organizaciones integrales que velan y trabajan en diferentes ámbitos comunitarios. El modelo de TRC debe formar parte de una política pública de desarrollo rural en Costa Rica. Integrar el TRC como un modelo de desarrollo rural implica mayor investigación, mayor apoyo económico y técnico, mayor capacitación y mayor visibilidad de los diferentes actores que hacen parte de la red TRC. Para incorporar elementos de capital social en las políticas públicas de desarrollo rural, hay que dirigir esfuerzos que apoyen la formación de sus tres tipos (bonding, bridging y linking), lo que implica que se definan herramientas para que las personas se empoderen, así como se fomenten vínculos efectivos entre los funcionarios públicos y las comunidades rurales. Si se logra fortalecer el capital social rural, estaremos frente a comunidades con mayor resiliencia y con mayor capacidad para emprender proyectos colectivos. ; Tourism activity represents an important source of foreign currency and direct and indirect employment for Costa Rica. The exponential growth that this activity has had in the last thirty years in Costa Rica has brought positive and negative impacts. The Rural Community Tourism (TRC) is presented as an appropriate model of tourism for the sustainable development of rural Costa Rican spaces, being, in addition, in tune with the model of "experiential and experiential" tourism that is bet in this country. The TRC is characterized by integrating the natural riches and the daily life of the rural community, as well as promoting sustainable productive practices within the same tourism offer. In this way, the experiences of TRC are integrated into the life of the local community and become a complementary activity to traditional agrarian activities. The value of such experiences of TRC lies, therefore, in their ability to adapt to the daily rhythms of rural life and to preserve the socio-territorial dynamics of the communities. An important element to highlight of the TRC is its capacity to promote the participation of the rural community, taking advantage of and strengthening the existing organizational structures and social networks at the local level. From the economic point of view, by integrating the local population into different productive chains, the TRC allows a more equitable distribution of the benefits generated by the tourist activity, thus being an important complementary source of family income. This doctoral thesis is structured in four different parts, grouped into twelve chapters, each one with a section of partial conclusions to facilitate its reading, as well as a chapter of general conclusions. We wanted to focus our research, from quantitative (survey) and qualitative elements (interviews, stakeholder mapping), in the analysis of endogenous actors and their relations with tourism activity, which has allowed us to generate an approach to the existing realities mitigating possible social and cultural impacts on rural communities. For this, we have proposed empirical research based on three approaches (social capital, collective action and governance), and that, duly articulated, have allowed us to analyze the different TRC experiences in the selected areas, showing their characteristic features (both at the of the ideological discourse, as of the strategies and organizational models), the elements that compose them, and their contribution to the development and governance of the territories where they are located. Trust, rules of reciprocity and information flows, which are fundamental elements of the social capital approach, are precisely the factors that influence the formation and sustainability of TRC experiences, since they contribute to facilitate cooperation and action collective at the local level. Likewise, the interactions between, on the one hand, the actors that are part of the local community, and on the other, the external environment, formed by public and private institutions with power and located in positions of superior hierarchical order, are the result of the combination of ascending (bottom-up) and top-down logic. To better understand this combination, the social capital approach provides useful tools, such as the bonding, bridging and linking typology, as well as ordering the dynamics of development in different dimensions, thus facilitating their measurement. Among the main conclusions are the following: 1. This doctoral thesis has had the virtue of articulating a theoretical proposal such as the study of social capital, collective action and governance of rural spaces to a social phenomenon as relevant as tourism in Costa Rica. This thesis was an exploratory study focused on four case studies, in which qualitative and quantitative instruments were used that managed to offer direct and valuable information on the reality of rural territories from a combination of theoretical approaches. In addition, the research focused on indigenous and peasant populations that have opened their families and communities to the attention of visitors. We are able to approach their ability to relate in intracommunity and non-community contexts, and even more, their ability to relate to actors that have a certain political and economic power. 2. The methodology proposed in this doctoral thesis is appropriate to be used in the analysis of rural territories and in the definition of intervention strategies for rural development. It is a way of knowing the territorial dynamics, the levels of trust that exists in the communities, the relationships that exist between communities, and the existing capacities in the exchange with political and economic organisms. Social capital is associated with the multiplier effect of productivity, by reducing the costs of relating to the rest of individuals, where the factors each one possesses are combined and exchanged. 3. The norms shared by TRC organizations are consolidated over time, and, like values, are transformed into more complex scenarios or spaces. The presence of bonding social capital played a key role, contributing to build a new collective subject in the local community. In a next stage, once the TRC organizations are constituted, the presence of bridging social capital becomes a fundamental element in enabling the development of trusting relationships with people outside the community itself. The transition from one type of social capital to another is not a sudden change, but gradual and not exclusive, since both the bonding type and the bridging complement each other to make the associative experiences sustainable and endure over time. 4. The key to successful TRC experiences is a good combination of the three types of social capital (bonding, bridging and linking), whose importance varies throughout the different phases of evolution of these experiences. 5. The TRC is revaluing rural territories based on elements that have to do with the environment, culture and traditional activities, such as livestock and agriculture, the latter important for the food sovereignty of local communities. It also allows the valorization of the attributes or values present in rural communities from the collective action processes undertaken by their inhabitants. 6. The research reveals that over the years, organizations that operate TRC initiatives are generating alliances with various actors at the intra-community and extra-community levels. The creation or belonging to new and different networks responds to the needs of organizations, whether for the strengthening of tourism in communities, the implementation of innovative ideas that serve as productive alternatives, or contact with groups that seek the preservation of goods common in the communities, as is the case of the conservation of the environment and the rescue of the local culture. The analyzed cases allow us to verify that the organizations manage to intertwine their activities, in such a way that they are forming integral organizations that watch and work in different community environments. This model must be part of a public policy of rural development in Costa Rica. Integrating the TRC as a rural development model implies more research, greater economic and technical support, greater training and greater visibility of the different actors that are part of the TRC network. In order to incorporate elements of social capital into public rural development policies, efforts must be directed to support the formation of its three types (bonding, bridging and linking), which means that tools are defined so that people can become empowered, as well as effective links between public officials and rural communities are encouraged. If it is possible to strengthen rural social capital, we will be facing communities with greater resilience and greater capacity to undertake collective projects.
In: Kirkels , Y E M 2010 , ' Brokerage in SME networks ' , Doctor of Philosophy , Industrial Engineering and Innovation Sciences , Eindhoven . https://doi.org/10.6100/IR690690
Firms are increasingly facing their own limitations in today's complex and demanding environment. The need for cooperation is evident in an environment characterized by uncertainty, complexity and rapid technological progress. Small and medium-sized enterprises in particular are faced by a dilemma. On the one hand SMEs feel the urge to cooperate with others in order to acquire knowledge and other competencies; on the other hand they often face difficulties in finding partners and often they lack the knowledge base to be able to absorb the required knowledge. This dilemma clearly points to a need for understanding their environment, and brokers in particular, in order to deal effectively with the complex environment. Brokers, or intermediaries, are regarded as people who connect disconnected parties and facilitate knowledge flows in the local innovation system. Since brokers are becoming more and more important the need arises to provide SMEs with insight into the role of brokers in the network. The main question of this dissertation is: Which factors contribute to the capacity of main brokers in a SME network? This dissertation investigates their network environment, their inter-firm relations and intrinsic characteristics that facilitate networking at an individual level. The focus of this study is on the SME network of design and high-tech companies in Southeast Netherland. The fields ascribe to the research since their activities involve complex knowledge processes which in turn benefit highly of optimal knowledge creation and exchange. Design is seen as increasingly important in product development and there is an increase in efforts to establish co-operations between design and high-tech organizations. The design sector is a dynamic but highly fragmented industry. However, high-tech organizations (i.e. original equipment manufacturers, first, second and third tier suppliers) in the region seem to be highly interdependent. By this study we aim to gain a better understanding of efficiency across these particular fields. To study the network environment, inter-firm relations and intrinsic characteristics of brokers, we have conducted quantitative and qualitative research. A questionnaire was used to map the most important work relations between people who are active in the fields of design and high-tech industries. Respondents were asked to mention the names and organizations of at most ten Dutch business partners who had an important (qualitative) influence on their performance over the last five year. In order to take into account the full richness of relationships in the network the respondent had to identify who was important to them in what way. Everybody who was listed in the response also received an invitation to fill in the survey. Data collection took place in several waves. This snowball technique is developed to identify hidden members and relation patterns. Social network analysis is used to draw the actual network and to identify the brokers. The results in Chapter two and three are based on the main component of this network which includes 440 names and 584 relations mentioned by 93 respondents. Finally, in order to investigate what brokers actually do an empirical multiple case study is conducted. The information regarding the actual network across design and high-tech industries is used to select 12 brokers for semi-structured interviews. A qualitative comparative analysis of the results has provided a more general picture of how brokers span structural holes between various social groups. Question 1 This dissertation searches to answer five subquestion underlying the main research question. The first of these questions addresses connectivity and efficiency of the SME network across design and high-tech industries. These characteristics are likely to be different for networks of various industries. The growing importance of networks requires that SMEs thoroughly understand its characteristics, so they can use this knowledge to their own advantage. The first question of this research is: 1) What are the structural network characteristics of the SME network, in particular at network and subgroup level? Chapter two investigates if knowledge is transferred in an efficient way, if there are partnership concentrations and who is involved in co-operations. The concept of 'small worlds' is used to investigate knowledge diffusion in the network and consequently judge overall network efficiency. Proximity to others is important in order to manage the complex processes. However entrepreneurs or SMEs do not have the resources to manage a large network. A few well positioned stakeholders can be dealt with. A small world consists of a relatively small number of intermediaries which are relative closely positioned to people in the environment and which probably have stable reputations and various backgrounds. Knowing more about small worlds in this network is therefore highly interesting for science and valuable to the region. The actual network can be classified as one in which a small world is present. The short paths between people indicates the presence of efficient knowledge flows, the high clustering of efficient knowledge exploitation. Visualization of the results shows a single core group in the network, indicating that the two industries are not distinctly separated. It is found that people of the non-profit as well as science sector are overrepresented in the core of the field. Still, this part of the study describes the core-group of people only to a certain extent. Chapter three and four explore who has significant brokerage capacity and the concept of brokerage. Question 2a and 2b In order to investigate brokers they have to be identified first. The second question is: 2a) Can brokers be identified within the SME network? 2b) What types of brokers can be detected within the SME network Chapter three highlights the personal networks of members across design and high-tech industries and investigates the brokerage roles they fulfill. The concept of brokerage roles perceives brokerage behavior as the facilitation of information flows whether or not a direct reward is involved. A person in a network can fulfill several roles depending on his interests. The study of brokerage roles enables to identify who has significant brokerage capacity in the network, but also enables to describe what types of brokers are observed. Our empirical results show that there are persons with significant brokerage capacity in the actual network. Furthermore significant values with regard to gatekeepers, representatives and liaison roles are found. Question 3 In addition to identifying main brokers, Chapter three investigates whether specific characteristics are associated with these brokers. Studying characteristics provides clear insights into how third parties contribute to the transfer and development of knowledge. Question three is: 3) What are characteristics of brokers in the SME network? Whether or not people emerge as brokers seems to depend on the characteristics of people and the context in which they work. Chapter three highlights individual's affiliation, kind of partners and kind of information exchanged in the network, with controls for gender, education and years in branch as sources of brokerage capacity influence. Empirical results show that people with high brokerage capacity are found in the nonprofit and science sector and have a long track record in their branch. Furthermore a wide variety of information is discussed with brokers; practical support in the form of valuable contacts and innovation-related information, but also finance, marketing and operational information. Question 4 The last part of the study complements the research regarding characteristics of brokers by taking an in-depth look at what brokers actually do. This leads to the fourth question of this study: 4. How is brokerage enacted in the SME network? How brokers actually seize network opportunities can be investigated by studying their strategic goals, strategic actions and strategic behavior. Empirical results in Chapter four show that specific strategic goals, activities and behavior can indeed be associated with having high brokerage capacity. The main brokers have a tertius iungens orientation; they strive to interconnect others. It is not in their interest to keep parties, passively or actively, separated for their own personal benefit. They seem not to neglect their personal aims in favor of others. It is just that more can be accomplished together. Furthermore, brokers are mainly involved in knowledge exploring activities, i.e. articulation of needs and requirements, information gathering, connecting partners, setting up projects in order to generate and combine information, and facilitating contract negotiations. Finaly brokers work according to the logic of effectuation. They prefer to focus on current means and they transform these means into co-created goals with others. They consider it less important to focus on setting clear goals in advance and carefully plan and execute their bridging actions to accomplish these goals. At a detailed level, there are differences among main brokers regarding (the combination of) strategic goals, activities and behavior. It indicates that there are different kind of types among main brokers. The answering of the various subquestions enables us to draw a more detailed picture of how brokers span structural holes. People with the highest brokerage capacity are found in the non-profit and science sector. However, the resemblance between these brokers and others is high in general. Brokers discuss a variety of information with others and they have a long track record in their branch. Brokers in general focus on the same strategic goals, activities and behavior. The results implicate that the brokers operate as architects and lead operators of the network. Brokers in this field are less involved in care-taking activities; maintaining and enhancing the existing network. In Chapter 4 it is shown that the sector, especially the job context, influences strategy preferences only at sub-level. Theoretical implications The study is important from an academic perspective because it addresses the voids in research about brokers at the individual level who (consciously) position themselves between heterogeneous actors in networks; people who differ in industry backgrounds and skills. Our results are based on a network of both formal (business) as well as informal (personal) oriented relations at the individual level, while most relationships in the existing literature are based on formal relationships only and usually studied at firm level. The study in general provides more insights into the concept of brokerage regarding SME networks in different fields. In particular it highlights how third parties in general contribute to the transfer and development of knowledge. Chapter two contributes to empirical research concerning structural aspects of a network as a whole and in particular on network structures that span sectors by taking an inter-sectoral approach. Furthermore network theory regarding small worlds is enhanced because our insights contributes to the still infant field that studies the efficiency of partnerships in SME networks. Chapter generates knowledge regarding brokers in general. The main contribution of this part of the study is, in contrast to most other work than our own, that it is quantitative and that it focuses on brokers identified in an actual network (based on both suppliers and users of the knowledge infrastructure). The research contributes to social network theory by taking a look at empirical data in order to generate a better understanding of the specific brokerage concepts first. One can argue that a grounded theory perspective is taken by trying to show how people handle information problems. Chapter four addresses the lack of empirical research regarding the range of brokers and their practices in detail. Chapter four enhances the understanding of social network theory by integrating theories based on the fields of innovation and entrepreneurship regarding brokerage. To be able to develop an individual-level understanding of brokers other theories besides network theory need to be studied. Cross theory studies creates a more holistic view regarding brokerage at the individual level. Such research was not undertaken before. In addition, highlighting individual strategic dimensions separately as well as in combination will also contribute to an extended picture of how intermediaries contribute to the transfer and development of knowledge. By empirically highlighting brokerage in general, brokers of the actual network can be compared to others in other industry networks and thus can be valued. In general, the research contributes to theory on mediation processes, alliances, social capital, network dynamics, SMEs and innovation. Practical Implications The study contributes to the efficiency of knowledge creation and exchange in dynamic industries, especially across sectors. It contributes to the design and high-tech industries in particular. The research is the first attempt to actually construct the design and high-tech network in a social network way. No such data was available before in the Netherlands. Chapter two shows that increases of efforts of various parties to establish co-operations between the two industries seem to work. The triple helix between companies, governmental institutions and science organizations is well present in this network. In policy terms these are interesting findings. Despite the positive results, policy makers may reflect on these findings in terms of improving their interventions in the economic structure of the region even more. Results of Chapter two and three imply that SMEs should get involved in projects in the non-profit or science sector. Chapter three also shows that SMEs or even non-profit organizations whose brokerage capacity is not in line with their ambitions should invest in connections with branch experienced people with a broad knowledge base. From a non-profit consultant point of view these findings are also interesting. They often have difficulties in proving their successes. Sometimes merely mentioning contact information leads to a successful match. Sometimes brokerage takes much time and effort and still the involved parties are dissatisfied. Moreover the effectiveness of non-profit organizations, like branch associations, is subject to discussion in the Netherlands. This research shows that the intervention of non-profit consultants (eventually) is of value to companies. Traditional supply-side innovation policies seem to be insufficient to meet the challenges posed in promoting competitiveness. At the European Union level interest is focused on public procurement as a means to spur innovation. Measurement at individual level gives a profound picture of actual contributions of government expenditures. It is now possible to review policy from the bottom up. Chapter four shows that brokers are involved in exploration of an opportunity together with others, but generally are not involved in exploitation of an opportunity; the building of efficient business systems for full-scale operations. The focus on exploration of information indicates that the time spend on brokerage is important, but the results are not predictable. The non-profit and science sector should be aware that the efficiency of this work is not predictable and should take this awareness into account when timetables are being made. The profit sector should be aware that investments without secure profit are necessary. Brokerage is labor with delayed profits; at the moment of investment it is still unclear if payment will be possible and who will pay in the end. The results also imply that co-developing and coordinating projects concerned with commercialization of exploration outcomes over time, may be interesting to stimulate in this field. Furthermore since people of the non-profit and science sector can not operate in the competitive field, the research findings imply that an important role can be fulfilled by people in the profit sector. SMEs can strengthen their broker capacity by leaping in on projects related to the commercialization of outcomes.
In the last two decades, across a range of countries high growth rates have reduced poverty but have been accompanied by rising inequality. This paper is motivated by this stylized fact, and by the strong distributional concerns that persist among populations and policy makers alike, despite the poverty reduction observed in official statistics where growth has been sufficiently high. This seeming disconnects frames the questions posed in this paper. Why the disconnect, and what to do about it? It is argued that official poverty statistics may be missing key elements of the ground level reality of distributional evolution, of which rising inequality may be an indirect indicator. Heterogeneity of population means that there may be significant numbers of poor losers from technical change, economic reform and global integration, even when overall measured poverty falls. In terms of actions, attention is drawn to the role of safety nets as generalized compensation mechanisms, to address the ethical and political economy dimensions of such a pattern of distributional evolution. Addressing structural inequalities is also a long term answer with payoffs in terms of equitable growth. In terms of future analysis, diminishing returns have set in to the inequality-growth cross-country regressions literature. Further work to help policy makers should focus on: (i) new information to illuminate the disconnect; (ii) analysis and assessment of safety nets as generalized compensation mechanisms; and (iii) addressing specific forms of structural inequality related to assets, gender, and social groupings like caste or ethnicity.
One of the most contentious issues of globalization is the effect of global economic integration on inequality and poverty. This article documents five trends in the modern era of globalization, starting around 1980. The first trend is that growth rates in poor economies have accelerated and are higher than growth rates in rich countries for the first time in modern history. Developing countries per capita incomes grew more than 3.5 percent a year in the 1990s. Second, the number of extremely poor people in the world has declined significantly. The share of people in developing economies living on less than dollar 1 a day has been cut in half since 1981, though the decline in the share living on less than dollar 2 per day was much less dramatic. Third, global inequality has declined modestly, reversing a 200-year trend toward higher inequality. Fourth, within-country inequality in general is not growing, though it has risen in several populous countries (China, India, and the United States). Fifth, wage inequality is rising worldwide. This may seem to contradict the fourth trend, but it does not because there is no simple link between wage inequality and household income inequality. Furthermore, the trends toward faster growth and poverty reduction are strongest in developing economies that have integrated with the global economy most rapidly, which supports the view that integration has been a positive force for improving the lives of people in developing areas
The analysis of articles and normative documents for quality control and regional origin of wines was carried out. Chemical composition of the grapes and the wine has been considered, qualitative and quantitative changes during vinification, maturation and aging of wine were shown. The basic group of compounds contents and ratios which determine the qualitative characteristics of wines, as well as have an important role in the formation of aroma and taste of the drink was found. The prerequisites for the development of the market of counterfeit products and wine falsification methods were discussed. The analysis of scientific literature and regulatory framework governing the quality of the wines on the territory of Russia and the European Union and the existing approaches to determine their authenticity was conducted, the advantages and disadvantages are shown. The examples of using different criteria for the establishment of natural and adulterated wines have been discussed, as well as their approaches to identify and create a comprehensive system of wine production quality evaluation using methods of physicochemical analysis. The main methodological approaches to establish a wine regional origin, combining the capabilities of modern methods of analysis, mathematical modeling and statistics are analyzed, examples of their use in practice are shown.Keywords: wine, methods of analysis, quality, authenticity, regional origin, falsification, mathematical modeling (Russian)DOI: http://dx.doi.org/10.15826/analitika.2014.18.4.001 Yu.F. Yakuba1, A.A. Kaunova2, Z.A. Temerdashev2, V.O. Titarenko2, A.A. Halafjan2 1North Caucasian Regional Research Institute of Horticulture and Viticulture of the Russian Academy of Agricultural Sciences, Krasnodar, Russian Federation2 Kuban State University, Krasnodar, Russian FederationREFERENCES1. 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Установлены основные группы соединений, содержания и соотношения которых определяют качественные характеристики вин, а также играют важную роль в формировании аромата и вкуса напитка. Обсуждены предпосылки развития рынка поддельной продукции и способы фальсификации вин. Проведен анализ научной литературы и нормативной базы, регламентирующей качество вин на территории России и стран Европейского союза, существующих подходов к определению их подлинности, указаны достоинства и недостатки. Обсуждены примеры использования различных критериев для установления натуральных и фальсифицированных вин, а также подходов их комплексной идентификации и создания системы оценки качества винодельческой продукции с помощью методов физико-химического анализа. Проанализированы основные методические подходы к установлению региональной принадлежности вин, сочетающие возможности современных методов анализа, математического моделирования и статистики, продемонстрированы примеры их использования на практике.Ключевые слова: вина, методы анализа, качество, подлинность, региональная принадлежность, фальсификация, математическое моделированиеDOI: http://dx.doi.org/10.15826/analitika.2014.18.4.001
How to Cite This Article: Ahmadi Doulabi M, Sajedi F, Vameghi R, Mazaheri MA, Akbarzadeh Baghban AR. Socioeconomic Status Index to Interpret Inequalities in Child Development. Iran J Child Neurol. Spring 2017; 11(2):13-25.AbstractObjectiveThere have been contradictory findings on the relationship between Socioeconomic Status (SES) and child development although SES is associated with child development outcomes. The present study intended to define the relationship between SES and child development in Tehran kindergartens, Iran.Materials & Methods This cross-sectional survey studied 1036 children aged 36-60 month, in different kindergartens in Tehran City, Iran, in 2014-2015.The principal factor analysis (PFA) model was employed to construct SES indices. The constructed SES variable was employed as an independent variable in logistic regression model to evaluate its role in developmental delay as a dependent variable.Results The relationship between SES and developmental delay was significant at P=0.003. SES proved to have a significant (P<0.05) impact on developmental delay, both as an independent variable and after controlling risk factors.Conclusion There should be more emphasis on developmental monitoring and appropriate intervention programs for children to give them higher chance of having a more productive life. 1. Haghdoost AA. Complexity of the Socioeconomic Status and its Disparity as a Determinant of Health. Int J Prev 2012; 3(2):75. 2. Behavioral and social sciences research. Measuring Socioeconomic Status. e-Source 2013; Available from:http://www.esourceresearch.org 3. Bradley RH, Corwyn RF. Socioeconomic status and child development. 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In this dissertation, we are mainly interested in the interactions between poverty and one of its greatest dimensions1, namely health. More specifically, we will focus on their inequalities: does poverty inequality have more effect on poverty than health level? Does health inequality matter to poverty? Poverty and health are two related concepts that both express human deprivation. Health is said to be one of the most important dimensions of poverty and vice-versa. That is, poverty implies poor health because of a low investment in health, a bad environment and sanitation and other living conditions due to poverty, a poor nutrition (thus a greater risk of illness), a limited access to, and use of, health care, a lower health education and investment in health, etc2. Conversely, poor health leads inevitably to poverty due to high opportunity costs occasioned by ill-health such as unemployment or limited employability (thus a loss of income and revenues), a lower productivity (due to loss of strength, skills and ability), a loss of motivation and energy (which lengthen the duration of job search), high health care expenditures (or catastrophic expenditures), etc3. But what are the degree of correlation and the direction of the causality between these two phenomena? Which causes which? This is a classic problem of simultaneity that has become a great challenge for economists. Worst, each of these phenomena (health and poverty) has many dimensions4. How to reconcile two multidimensional and simultaneous events? 1 Aside the income-related material deprivation. 2 Tenants of the ?Absolute Income? hypothesis for instance show that absolute income level of individual has positive impact on their health status (Preston, 1975; Deaton, 2003). Conversely, lack of income (and the poverty state it implies) leads unambiguously to poor health. For other authors, it is not the absolute level per se, but the relative level (i.e. comparably to others in the society) that impacts most health outcomes. This is the ?Relative Income? hypothesis (see van Doorslaer and Wagstaff, 2000, for a summary). 3 See Sen (1999) and more recently Marmot (2001) for more information. 4 Poverty could be seen as monetary poverty, human poverty, social poverty, etc. Identically, one talks of mental health, physical health, ?positive? and ?negative? health, etc. So a one-on-one causality could not possibly exits between the two, or will be hard to establish. We?ve chosen the first way of causality: that is, poverty (and inequality) causes poor health. As justification, we consider a life-cycle theory approach (Becker, 1962). An individual is born with a given stock of health. This stock is supposed to be adequate enough. During his life, this stock is submitted to depreciation due to health shocks and aging (Becker?s theory, 1962). We could think that the poorer you are, the more difficult is your capacity to invest in your health5. Empirically, many surveys (too numerous to be enumerated here) show that poor people6 do have worse health status (that is, high mortality and morbidity rates, poor access to health services, etc.). It has been established that poor children are less healthy worldwide, independently of the region or country considered. It is generally agreed that the best way to improve the health of the poor is through pro-poor growth policies and redistribution. Empirically, one of the major achievements of these last two decades in developing countries is the improvement in health status of populations (notably the drop in mortality rates and higher life expectations) following periods of (sustained) economic growth. However, is this relation always true? In some countries as we will see later in this thesis, while observing an improvement in the population?s welfare, the converse is observed in its health status, or vice versa. If health and poverty are so closely related, they should theoretically move in the same direction. But the fact that in some countries we observe opposite trends suggests that some dimensions of health and poverty are not or may not be indeed so closely related, as postulated, and that they may depend of other factors. 1. The Purpose of the Study. 5 Another justification is that many authors have studied the problem the other way. Schultz and Tansel (1992, 1997) for instance showed that ill-health causes a loss of revenues in rural Cote d?Ivoire. Audibert, Mathonnat et al. (2003) also showed that malaria caused a loss of earnings of rural cotton producers in Cote d?Ivoire. 6 Usually defined from some income or expenditure-related metric or some assets-based metric. The ultimate goal of our dissertation in its essence is to measure inequality in health7 in developing countries using mainly Demographic and Health Surveys (DHS, henceforth)8. It deals with interactions between poverty and one of its greatest dimensions, putting aside the income-related material deprivation, namely health. It therefore measures inequality in health status and access to health and discusses which policies should be implemented to correct these inequalities. That is, it aims to see how much rich people are better off and benefit from health interventions, as compared to the poor, and how to reduce such an inequality. The present dissertation contains four papers that are related to these questions. Our main hypothesis (that will be tested) is that poverty impacts health through inequality effects9. Graphically, we can lay these simple relationships as: The dashed line in the figure above suggests that income inequality could impact health directly. But we consider that this direct effect is rather small or negligible, as compared to the indirect effect through inequality in health. Therefore, inequality in health is central to our discussion. To measure inequalities in health, we face three challenges: 7 And corollary health sanitation (access to safe water, toilet and electricity). Though electricity is more a measure of economic development that health measure per se, we add it here as a control for sanitation and nutrition: for example women could read more carefully the drugs? notices, or warm more quickly foods; more generally, electricity often improves the mental and material wellbeing of households. It also conditions health facility?s performance. 8 And potentially other surveys. In this case, we mention explicitly the survey(s). 9 The other important factor that could impact health is the performance of the health system. This is discussed in the Chapter 3. Health Assets Inequality Health Inequality Poverty (Assets Index) - measuring welfare (income metric) and subsequently inequality in welfare, - measuring health, - and measuring inequality in health. The measurements can be conducted using two approaches (Sahn, 2003): - Directly by ranking the households or individuals vis-à-vis their performance in the health indicator; we thus have a direct measure of inequality in health. This is suitable when the health indicator is continuous (such as weight, height or body mass index). According to Prof. David E. Sahn, that approach ?which has been referred to as the univariate approach to measuring pure health inequality, involves making comparisons of cardinal or scalar indicators of health inequality and distributions of health, regardless of whether health is correlated with welfare measured along other dimensions?. - Indirectly by finding a scaling measure such as consumption or income or another indicator (assets index for instance)10 that would help ranking the households or individuals (from the poorest to the richest), and see what are their performance in the health variable of interest. We are therefore measuring an indirect health inequality. The indirect method is mostly suitable when the health indicator is dichotomous (for example whether the individual has got diarrhoea last 2 weeks, or ?have the child been vaccinated?, or ?place of delivery?) or is a rate (such as child mortality). Again, quoting Prof. Sahn, ?making comparisons of health across populations with different social and economic characteristics is often referred to in the literature as following the so-called `gradient? or `socioeconomic? approach to health inequality. Much of the motivation for this work on the gradient approach to health inequality arises out of fundamental concerns over social and economic justice. The roots of the gradient will often arise from various types of discrimination, prejudice, and other legal, social, and economic norms that may contribute to stratification and fragmentation, and subsequently inequality in access to material resources and various correlated welfare outcomes?. While the first method would appear quickly limited for dummy or limited categorical health variables because of the small variability in the population, the second approach could also be 10 Or more generally any other socioeconomic gradient such as education, gender or location. impossible when no information is available to scale the units of observation in terms of welfare. We?ll be mostly focusing on the second approach, as did many health economists, and also due to the nature of the DHS datasets in hand and the indicators that we are investigating. 2. Strategy, Methods and Structure. Measuring wealth-related inequality in health implies in the first stage defining and characterizing the poor. Who are indeed the poor? Traditionally, monetary measures (income or consumption) have been used to distinguish households or people into ?rich? and ?poor? classes. Indeed, it is agreed that the ?incomemetric? approach is one of the best ways to measure welfare11. However, it sometimes, if not often, happens that we lack this essential information in household survey datasets. Especially in our case, the DHS datasets do not have income nor consumption information. Then, how to characterize the poor in this situation? For a long time, economists have eluded the question. But soon, it became evident that an alternative measure is needed to strengthen the ?poverty debate?. In the first part of our dissertation, we start by providing a theoretical framework to find a proxy for wellbeing, in the case where consumption or income-related data are missing, namely by discussing the use of assets as such a proxy. The first part of this thesis is relatively long, as compared to the second. However, this is justified, due to its purpose. The goal of the first part of the dissertation is to participate to the research agenda on poverty. It attempts to measure it in a ?non traditional?12 way. 11 There is a consensus in the economic literature that income is more suitable to measure wealth or welfare in developed countries while consumption is more adequate for developing ones due to various reasons such as irregularity of incomes for informal sector, seasonality, prices, recall periods, trustworthy, etc. (see Deaton 1998 for detail). 12 i.e. a non monetary way. The main rationale for this first part therefore is thus to find a new, non monetary measure to characterize in best, life conditions, welfare and then the poor. This measure is referred to as the ?assets index?. Indeed, as the majority of developing countries are engaged more and more in fighting poverty, inequality and deprivation, more and more information on the state of poverty13 is needed. If in almost all these countries, many household surveys have been implemented to collect information on socioeconomic indicators, the major indicator that is needed to analyze poverty (namely income or consumption data) is unfortunately not often collected due to various reasons (time, cost, periodicity, etc.). Even, if they were collected, the quality of the data is often poor. Therefore, economists tend to rely more on other indicators to compensate for the absence of monetary measures. One of the indicators often used are the assets owned by households. The question arose then how to use these assets to characterize the poor in this context? How to weight each of them? In a first attempt, many economists built a simple linear index by assigning arbitrary weights to the assets14. In a seminal paper, Filmer and Pritchett (2001) propose to construct the so-called ?assets index? which could be used as a proxy for consumption or income. It is commonly agreed that their methodology follows a ?scientific? approach, thus is more credible. In their case, they use a Principal Component Analysis (PCA, henceforth) to build their assets index. Since, many other economists have followed in their footsteps which we label in our dissertation, the ?material? poverty approach (as opposed to the monetary one) since it is based on materials (goods and assets) owned by the households or individuals. Because of the importance of the subject (poverty) and because the method is pretty new and original, this first part of our thesis is as said quite long as compared to the second one and has two papers which focus mainly on poverty and inequality issues and their connections with economic growth. In this part, we start by presenting a methodology of measuring non monetary (material) poverty, when a consumption or income data is not available. We show how one can obtain robust results using assets or wealth variables. Once the method is clearly 13 And more generally welfare. 14 For example a television is given a weight of 100, a radio 50, and so on. But this is clearly not a `scientific? way to proceed, as there is no rational ground in giving such weights. tested and validated, it is then confronted to real data. We show that the index shares basically the same properties with monetary metrics and roughly scales households in the same way as does the consumption or income variables. We discuss the advantages and also the limitations of using the assets index. The important thing to bear in mind is that, once it is obtained, it could be used to rank the observational units by wealth or welfare level. - The first chapter defines in a first section poverty and how it is usually measured (by the income metric approach). We discuss the limitations of the use of income/expenditure and what could be alternative measures. We then propose in section 2 the assets metric as a proxy for poverty measurement and test the material poverty approach on international datasets collected by the DHS program. We explore the material poverty and inequality nexus in the world and how Sub-Saharan Africa (SSA)15 compares with other regions. We show, using that index and DHS data, that poverty, at least from an assets point of view, was also decreasing in SSA as well as in other regions of the world. This result contrasts with other findings such as Ravallion and Chen (2001) or Sala-i-Martin (2002) that show that, while other regions of the world are experiencing a decline in their (monetary) poverty rates, SSA is lagging behind, with rates starting to rise over the last decade. Therefore, two different measures of welfare could yield opposite results and messages in terms of policies to implement to combat poverty. Moreover, the method we use not only allows observing changes over time for each country, but also provides a natural ranking among countries (from the poorest to the richest). In this chapter, aside the measure of welfare and poverty, we also discuss in a final section the impact of demographic transition on economic growth and therefore on poverty. Indeed, demographic transition is a new phenomenon that is occurring in developing countries, especially African ones. Its negligence could lead to underestimating poverty measures (both material and monetary) by underestimating real economic growth rates. We show that changes in the composition and the size of households put an extra-pressure on the development process. While traditional authors have not considered the impact of these 15 SSA countries are Benin, Burkina Faso, Central African Republic, Cameroon, Chad, Comoros, Republic of Congo, Côte d?Ivoire, Ethiopia, Gabon, Ghana, Guinea, Kenya, Lesotho, Madagascar, Malawi, Mali, Mauritania, Mozambique, Namibia, Niger, Nigeria, Rwanda, Senegal, South Africa, Tanzania, Togo, Uganda, Zambia and Zimbabwe. The ?rest of the world? is represented by Armenia, Bangladesh, Bolivia, Brazil, Colombia, Dominican Republic, Egypt, Guatemala, Haiti, Honduras, India, Indonesia, Kazakhstan, Kyrgyz Republic, Moldova, Morocco, Nepal, Nicaragua, Pakistan, Paraguay, Peru, Philippines, Turkey, Uzbekistan, Vietnam and Yemen. changes, we show that taking this into account implies higher economic growth rates than those actually observed or forecasted. - Once the assets index approach is established and tested on international data, the question arose how it performs as compared to the monetary metric. Indeed, if monetary measures remain the reference, then our assets index should share some common properties with them. The second chapter assesses the trends in material poverty in Ghana from the assets perspective using the Core Welfare Indicators Questionnaires Surveys (CWIQ). It then compared these trends with the monetary poverty over roughly the same period. We show that the assets index could be used and yields the same consistent results as using other welfare variable (such as income, consumption or expenditure). Therefore, using two consecutive CWIQ surveys, we find that material poverty in Ghana has decreased roughly by the same magnitude as monetary one, as found in other studies by other authors such as Coulombe and McKay (2007) using Ghanaian GLSS16 consumption data. Thus, this chapter could thus be viewed as providing the proof that the material and the monetary approaches could be equivalent. The second part of our dissertation seeks how to define and measure health and inequality in health. While the definition of health is not obvious, we propose to measure it with child mortality rates. Our main rationale in doing so is that low child mortality generates, ceteris paribus, higher life expectancy17, thus is an adequate measure of a population?s health. This may not be true in areas devastated by wars, famines, and HIV and other pandemics where child mortality could be high (in this case, the best measure should be life expectancy by age groups). Also, the reader should bear in mind that in fact, child mortality could be itself is a good indicator for measuring the (success of the) economic development level of a society as a whole (Sen, 1995), mainly because in developing countries, child mortality is highly correlated to factors linked to the level of development such as access to safe water, sanitation, vaccination coverage, access to health care, etc. - In the third chapter, we focus on measuring overall population?s health. For this, we estimate child mortality in SSA and compare it to the rest of the world. We explore the 16 Ghana Living Standard Surveys. 17 By construction, life expectancy at birth is highly correlated and sensitive to child mortality (it is based on child mortality rates for various cohorts). Lower child mortality rates lead to higher life expectancy and vice versa. determinants of child mortality using mainly a Weibull model and DHS data with socioeconomic variables18 as one of our major covariates. The use of the assets index information is to see how these quintiles behave in a multivariate regression framework of child mortality (i.e. how they affect child mortality). We find, among others, that mother?s education and access to health care and sanitation are one of the strongest predictors for child survival. Controlling for education and other factors, family?s wealth and the area of residency do not really matter for child survival in SSA, contrasting with results found elsewhere. - The fourth and last chapter answers the ultimate goal of this dissertation, that is, the scope of health inequalities in the developing world, particularly in SSA. It uses the factor analysis (FA) method of Chapter 1 to rank household according to their economic gradient status19 and then studies inequalities in various health indicators in relation with these groups. The intention is to analyze inequality rates between rich and poor for various health variables. In this chapter, we concentrate solely on inequality issues in health and health-related infrastructures and services. Mainly, we analyze inequality in access to sanitation infrastructures (water and electricity20) and various health status and access to health indicators (such as child death, child anthropometry, medically assisted delivery and vaccination coverage) using a Gini and Marginal Gini Income Elasticity approach (GIE and MGIE, henceforth) on one hand, and the Concentration Index (CI) approach on the other. Results show that, while almost all countries have made great efforts in improving coverage in, and access to, these indicators, almost all the gains have been captured by the better-offs of the society, especially in SSA. We extend the analysis to compare GIE estimates to those of CI and find consistent results yielding quite similar messages. 18 Quintiles groups derived from an assets index. 19 By grouping usually households in 5 quintiles from poorer to richer ones. 20 On the rationale of using electricity, see footnote 7 above. 3. Results and Policy Implications. As said above, the major goal in conducting this thesis research is to analyze inequality in health status, health care and health-related services using DHS data. To reach our objective, we follow two intermediate steps: - For assets poverty, results show that assets poverty and inequality are decreasing in every region of the world, including Sub-Saharan Africa. This tends to support our hypothesis that, contrary to common beliefs, African households use assets and building ownerships as saving tools and buffer to economic shocks. The first paper also shows however that the demographic transition actually occurring in developing countries could impede on economic growth and trigger a bullet on policies aiming at combating poverty. - Our third paper shows that child mortality is decreasing in all parts the world. However, the 1990s and early 2000s have been a lost decade for the African continent where many countries have witnessed an increase in rates that is mostly attributable among other factors to the economic and financial turmoils of the 1990s and early 2000s and the HIV epidemic. Our hypothesis is that these phenomena have destabilized the organization of the health care system, cut its funding and hampered its performance. High levels of health inequality can also be part of the puzzle. Coming back to the particular case of HIV/AIDS, the reader should observe that it affects more and more the less poor so that it can also lead to a decline in assets inequality (richer people are dying) along with an increase in child mortality and thus explain in great part our paradox. This setback (the rise in mortality over recent periods despite poverty reduction) will make impossible for these countries to reach the millennium development goals, at least for child mortality. The conclusion to this is that African population?s health has been stagnant over the period 1990-2005. Regression analysis reveals no strong correlation between our measure of welfare (assets index) and child mortality. More important are mothers? education and access to health care and sanitation services. - Finally, our inequality estimates show that they are quite high for all indicators considered. For ill-health indicators (child malnutrition and death), rates are excessively concentrated in poor and rural groups. Concerning access to health care services, rich and urban groups tend to be more favoured than poor and urban ones. But the high level of inequality tends to be reducing at the margin over time, as the poor have increasing access. Finally for access to sanitation services, results show that while the majority of countries have made substantial efforts to increase coverage on the first two periods, the rich and urban classes have benefited more and inequality (which is at high levels) tends to rise at the margin over time, especially for the poor. More preoccupying is the fact that rates are falling between 1995-2000 and 2000-2005, probably because of the privatization of these services and the new costs they impose on households. Overall, inequality in all variables considered is more pronounced in SSA than the rest of the world (expect for death and malnutrition). The sub-continent is still disadvantaged in terms of access to services or ill-health. Where to go from here? In the African sub-continent, we have the following picture: a decreasing (material) poverty and inequality but coupled with a stagnant child mortality situation, a stagnant or increasing malnutrition. This is mostly due to high levels of, and an increasing inequality at the margin in access to sanitation and electricity services coupled with a decreasing access to these services. Thus, despite the fact that we observe a decreasing inequality at the margin in access to health care (even though the average level of inequality is still high) the missing link in health-related services coupled with an overall high inequality in these two types of services hugely impact child health and survival. Therefore, as access to health care services and health-related sanitation services is essential to child survival, our findings call for vigorous policies to promote access of the poor groups and rural areas to these services. African Governments should continue to favour access of the poor to health care and reverse the inequality trends in access to water, sanitation and electricity. This is vital for the health of the population and for the development of Africa. Funding can come from various sources: the Government Budget, International Assistance but also from households themselves (since the first part of our thesis has demonstrated that they are getting richer (and various surveys show that they are willing to pay for quality health care), an adequate fees policy could benefit to the health care system). Measures should be put in place to strengthen the performance of the health system and to mitigate the negative effects of macroeconomic imbalances, economic crises and HIV/AIDS. Only on these conditions the Sub-Continent could hope to eradicate poverty and promote health for all. 4. Contribution of this Thesis. This thesis seeks to analyze empirically the inequality in health and access to health in SSA and how this region compared to the rest of the world. To do so, it develops a new method to characterize poor households and to analyze assets-based poverty, when the monetary measure is unavailable. Such a method is indeed necessary as almost all developing countries have collected many surveys that lack the consumption or income information. Once a poverty measure and a correct measure of health have been found, and their core determinants clearly established, we then proceed to the health inequality analysis, along with its determinants, using two methodologies: the traditional CI and the more recent GIE approaches. These approaches have been the mostly used to explore the inequality in health and access to health these last years. Though already studied in the literature, and sometimes applied on DHS or some groups of DHS datasets, our dissertation differs in its purpose and scope and its large scale. No paper to our knowledge used the totally to-date freely available DHS datasets to study poverty and inequality topics and provide basic statistics. Our main contribution is to shed a new light on the welfare-inequality-health nexus in Africa, how it evolves over time and how it compares to other regions around the world, using all available information. It also put numbers on various important socioeconomic indicators such as poverty, inequality, child health and mortality, access to health-related infrastructures, etc., for developing countries, especially African ones. As we sometimes lack these important information, this thesis proves finally to be a very useful exercise. ; Cette thèse part d'un postulat simple : « l'amélioration du niveau de vie s'accompagne de l'amélioration de l'état de santé générale d'une population » et teste sa validité dans le contexte de l'Afrique au Sud du Sahara (ASS). Si cette hypothèse se vérifie en général dans le contexte de l'ASS en ce qui concerne le niveau (plus le pays est riche, plus sa population est en bonne santé), il l'est moins en ce qui concerne les dynamiques, du moins à court et moyen terme. Notamment, les pays qui connaissent une amélioration tendancielle de bien-être matériel ne connaissent pas forcément une amélioration de la santé de leurs populations. Ceci constitue un paradoxe qui viendrait invalider notre postulat. En écartant tout effet de retard ou de rattrapage qui pourrait l'expliquer car nous travaillons sur une période de 15 ans réparties en 3 sous-périodes (1990-1995, 1995-2000 et 2000-2005), nous expliquons ce paradoxe, toutes choses égales par ailleurs, par deux canaux principaux qui peuvent interagir : - la performance du système de santé et - l'inégalité en santé. Si le premier est plus évident mais aussi plus difficile à prouver empiriquement du fait du manque de données sur des séries longues, ou du fait que ces données sont trop agrégées et éparses, le second canal est testable avec des bases de données adéquates qui, elles, sont disponibles au niveau microéconomique (ménages). Les bases de données que nous avons privilégiées sont les Enquêtes Démographiques et de Santé (EDS) du fait de leur comparabilité dans l'espace et le temps (mêmes noms de variables standardisées, même méthodologie d'enquête, mêmes modules, etc.). Ces atouts sont d'autant plus importants que les comparaisons de pauvreté et de bien-être basées sur les enquêtes de revenus ou de consommation butent sur de sérieux problèmes à savoir la comparabilité de ces enquêtes (méthodologies différentes, périodes de rappel différents, prix souvent non collectés de la même manière, etc.). Pour montrer ces effets de l'inégalité de santé sur les niveaux et les tendances de la santé des populations et la pauvreté et le bien-être, nous avons axé notre recherche autour de 3 axes principaux : 1- Comment mesurer le niveau de richesse et donc le bien-être des ménages en l'absence d'information sur la consommation et le revenu ? Les chapitres 1 et 2 de notre thèse se penchent sur cette question. Nous avons privilégié, à l'instar de plus en plus d'économistes, l'utilisation des biens des ménages et les méthodes de l'analyse factorielle et d'analyse en composantes principales pour construire un indice de richesse. Cet indice de richesse est pris comme un substitut du revenu ou de la consommation et sert donc de proxy pour la mesure du bien-être. Bien qu'il comporte quelques lacunes (notamment le fait qu'il ne concerne que les biens matériels et durables du ménage alors que la consommation ou le revenu sont des concepts plus globaux de bien-être, il ne prend pas en compte les préférences des ménages, il ne comporte aucune notion de valeur car le prix n'est pas pris en compte, de telle façon qu'une petite télévision en noir blanc vieille de vingt ans est mise au même niveau qu'un grand écran plasma flambant neuf, etc.), il n'en demeure pas moins que d'un côté, avec les EDS, il n'y a pas moyen de faire autrement en l'état actuel des choses, mais aussi et surtout parce que ces données permettent d'éviter les problèmes évoqués plus haut, notamment celui de la comparabilité des données pour faire de la comparaison spatiale et inter-temporelle des données en matière de pauvreté. Dans le premier chapitre, en nous basant sur cet indice et une ligne de pauvreté définie a priori à 60% pour la première observation dans notre échantillon (Benin, 1996), et en utilisant les données EDS et une analyse en composantes principales (ACP), nous avons pu mesurer la tendance de la pauvreté dite « matérielle » (en opposition à la pauvreté monétaire, basée sur la métrique monétaire). Cette méthode qui est privilégiée par des auteurs comme Sahn et Stifel est d'autant plus intéressante qu'elle donne non seulement les tendances de la pauvreté dans chaque pays, mais elle permet aussi une classification naturelle de ces pays par ordre de grandeur de pauvreté. Cependant, dans la mesure où les biens des ménages et la dépenses de consommation sont disponibles, l'analyste devrait estimer les deux types de pauvreté (matérielle via l'indice de richesse et monétaire via le revenu ou la consommation) car les études montrent souvent que les biens matériels et la consommation ou le revenu ne sont pas très bien corrélés, et donc le choix de l'indicateur de bien-être est crucial en termes de politiques économique et de santé. En effet, si l'indicateur sous-estime le vrai niveau de pauvreté ou d'inégalité (ou les surestime), les dépenses publiques qui en résultent peuvent être plus ou moins surévaluées, de même que les réponses apportées se révéler inadéquates. Donc dans la mesure du possible, il conviendrait de se pencher sur la question du choix de l'indicateur. Les résultats de notre méthodologie montrent que l'ASS reste la région la plus pauvre du monde en termes de possession d'actifs. La région orientale de l'ASS est la plus pauvre au monde (75%) suivie de l'Asie du Sud (64%), le Sud de l'ASS (61%), l'Afrique Centrale (57%), l'Afrique de l'Ouest (55%), l'Asie de l'Ouest (40%), l'Asie du Sud-Est (19%), l'Amérique Latine (18%), les Caraïbes (17%), l'Afrique du Nord (6%), l'Asie Centrale (2%) et l'Europe de l'Est (1%). Notre analyse nous montre que la pauvreté baisse dans l'ensemble des pays Africains au Sud du Sahara (sauf la Zambie), à l'instar des autres pays du monde dans l'échantillon. En effet, en considérant les trends, nous voyons que la moyenne de l'ASS passe de 63% de pauvreté matérielle entre 1990-1995 à 62% en 1995-2000 et 58% entre 2000 et 2005. La baisse est modeste et lente mais non négligeable et surtout, elle est en accélération sur les 2 dernières périodes. Mais elle demeure toutefois beaucoup plus marquée dans le reste du monde. Concomitamment à la baisse de la pauvreté, nous observons aussi une baisse de l'inégalité. Nous terminons ce chapitre par une réflexion sur l'effet de la transition démographique sur la croissance économique et la pauvreté en ASS et dans les autres pays en développement. En effet, la chute de la fertilité et de la mortalité couplées à un exode rural font que le nombre de famille se démultiplie du fait de la transition vers des tailles plus réduites. Ceci impose plus de contraintes (et donc peut avoir un impact négatif) sur la croissance économique et risque de sous-estimer le niveau réel de pauvreté. Il convient, une fois que la pauvreté matérielle et ses tendances ont été bien calculées avec les biens durables (et la transition économique prise si possible en compte), de tester la validité de cette méthode en la confrontant avec les résultats issus de l'analyse monétaire de la pauvreté. Les EDS ne comportant pas données d'information sur la consommation, nous nous sommes tournés vers une autre source de données. Dans le chapitre 2, nous avons testé la robustesse de notre méthode dans le cas particulier du Ghana, en utilisant les enquêtes du Questionnaire Unifié sur les Indicateurs de Base de Bienêtre (QUIBB), et en confrontant les résultats issus de la méthode ACP avec ceux issus de la méthode traditionnelle monétaire et trouvons grosso modo les mêmes résultats (10% de baisse avec la méthode monétaire traditionnelle et 7% avec notre méthode sur la période 1997- 2003). Ceci valide donc le fait que la méthode que nous proposons (à savoir, mesurer le bienêtre et la pauvreté par les biens durables des ménages) est tout aussi valide que la méthode plus traditionnelle utilisant des métriques monétaires. Une analyse fine dans le cas du Ghana montre que la baisse de la pauvreté est due à une croissance économique particulièrement pro-pauvre mais aussi à des dynamiques intra et intersectorielles (réallocation des gens des secteurs moins productifs vers ceux plus productifs) et aussi une forte migration des campagnes vers les villes. Nos simulations montrent que les migrants ruraux ont aussi bénéficié de cette croissance dans les villes où ils trouvent plus d'opportunités. 2- Une fois établie que la pauvreté est en recul en ASS, nous avons voulu mesurer la tendance de la santé de sa population (approximée par les taux de mortalité infantile et infanto-juvénile). Nous discutons dans le chapitre 3 de trois méthodes pour estimer et comparer les taux de mortalité des enfants : - la méthode des cohortes fictives (sur laquelle l'équipe de l'EDS se base pour estimer les taux « officiels » de mortalité), - la méthode non paramétrique (Kaplan et Meier) que privilégient un certain nombre d'économistes et - la méthode paramétrique (Weibull) de plus en plus utilisée pour sa souplesse et sa robustesse. Les deux premières méthodes ont tendance à sous-estimer le vrai niveau de mortalité et de ce fait nous avons privilégié le Weibull. De plus, avec cette dernière, nous pouvons évaluer l'effet de chaque variable spécifique (comme l'éducation ou l'accès à l'eau) sur le niveau de mortalité. Une étude des déterminants de cette mortalité montre qu'outre l'effet attendu de l'éducation des mères, l'accès aux infrastructures de santé (soins médicaux et surtout prénataux durant et lors de l'accouchement) et sanitaires (accès aux toilettes et dans une moindre mesure à l'eau potable) en sont les principaux facteurs. L'effet de richesse joue peu en ASS (mais pas dans le reste du monde), une fois que nous contrôlons pour le lieu de résidence (urbain) et le niveau d'éducation. Ce résultat nous surprend quelque peu, même s'il a été trouvé dans d'autres études. Ensuite, nous avons calculé la mortalité prédite des enfants. De toutes les régions du monde, l'ASS a le niveau de mortalité le plus élevé (par exemple en moyenne 107 décès pour la mortalité infantile contre 51 pour le reste du monde, soit plus du double). Ce résultat était toutefois attendu. Par contre nous avons été quelque peu surpris en ce qui concerne les tendances. Le constat est que sur les 15 ans, la mortalité des enfants a très peu ou pas du tout baissé dans le sous-continent africain (et est même en augmentation dans certains pays, alors qu'ils enregistrent une baisse de la pauvreté matérielle sur la même période). En moyenne, considérant les enfants de moins d'un an, les taux sont passés de 95%o à 89.5%o pour remonter à 91.5%o pour les 3 périodes 1990-1195, 1995-2000 et 2000-2005. Ainsi sur 15 ans, la mortalité infantile n'a baissé que de 3 points et demie en moyenne et surtout, elle remonte sur la période 1995-2005. Un examen des taux de malnutrition des enfants confirme ces tendances. On pourrait dire que ces résultats sont plutôt encourageants et normaux si on fait une analyse d'ensemble du sous-continent. En effet pour l'ensemble de l'ASS, cette légère baisse semble en conformité avec la baisse de 5 points des taux de pauvreté matérielle (63% en 1990-1995 à 58% en 2000-2005). Mais l'ordre de grandeur est faible en termes de magnitude, et surtout si compare au reste du monde où on observe une baisse de la mortalité beaucoup plus conséquente. Mais c'est l'arbre qui cache la forêt. Une analyse plus fine par pays montre en effet une situation plus contrastée. Notre postulat de départ nous dit que sur une période suffisamment longue, une amélioration de bien-être s'accompagne d'une amélioration de la santé. Or on constate que certains pays qui connaissent une baisse de la pauvreté matérielle connaissent également une recrudescence de la mortalité des enfants. Pour une même année, ce résultat peut être normal, traduisant un simple décalage pour que l'amélioration de bien-être se traduise par un meilleur état de santé de la population. Mais à moyen terme (période de 5 ans), nous observons la même absence d'effet. Nous sommes donc face à un paradoxe qu'il nous faut comprendre et tenter d'expliquer. Une des pistes pour comprendre ces résultats est d'analyser la performance des systèmes de santé en Afrique. Les facteurs qui expliquent notamment cette performance sont : des facteurs « classiques » comme la performance économique des périodes passées, les montants et l'allocation des dépenses de santé, l'organisation des systèmes de santé, la baisse de la fourniture de services de soins de santé (vaccination, assistance à la naissance, soins prénataux, soins curatifs, .), la malnutrition, le SIDA, les guerres, la fuite des cerveaux notamment du personnel médical, etc., à côté de facteurs plus « subtils » ou ténus car moins saisissables comme les crises financières des années 1990s qui ont plombé certaines des économies de la sous-région, la qualité des soins, la corruption et les dessous-de-table, l'instabilité de la croissance économique (même si elle est positive), etc. La seconde voie que nous examinons pour expliquer le manque de résultat en santé dans certains pays concerne l'inégalité en santé et ceci fait l'objet de notre dernier chapitre. 3- Expliquer l'absence de lien entre santé et pauvreté dans certains pays de l'ASS : l'effet de l'inégalité en santé. Dans le chapitre 4, nous émettons l'hypothèse que le fort niveau d'inégalité dans l'accès aux services de santé et d'assainissement couplé à la faible performance du système de santé (avec en toile de fond l'impact du Sida) peuvent servir à expliquer en partie notre paradoxe. Nous considérons deux types de services : - soins de santé (vaccination, assistance médicale à la naissance et traitement médical de la diarrhée) et - hygiène et assainissement (accès à l'eau potable et à l'électricité, accès aux toilettes propres). Le choix de ces services est motivé par le fait que le modèle Weibull dans le chapitre 3 nous montre que toutes choses égales par ailleurs, ils sont cruciaux pour la survie des enfants, en particulier en Afrique. Les niveaux d'accès montrent une baisse tendancielle des taux pour les services de santé (surtout pour la vaccination) et une légère augmentation de l'accès à l'électricité et dans une moindre mesure à l'eau potable. L'accès aux toilettes propres demeure un luxe réservé à une petite fraction de la population. Pour les calculs d'inégalité, nous considérons deux indicateurs: - l'indice de concentration (pour mesurer le niveau moyen d'inégalité) - et l'élasticité-revenu du Gini (inégalité « à la marge » quand le revenu d'un individu ou d'un groupe augmente d'un point de pourcentage). Globalement, les pays d'ASS ont un niveau d'inégalité beaucoup plus élevé comme on s'y attendait par rapport au reste du monde. Pour les tendances, nous remarquons que l'inégalité marginale s'accroît pour les services d'assainissement (eau, toilette et électricité), mais qu'elle diminue pour les soins de santé. En ce qui concerne l'inégalité moyenne, elle indique une disproportion dans l'accès des classes riches par rapport à celles pauvres. Même si les groupes pauvres « rattrapent » ceux riches dans la provision de certains services, cela se fait de façon trop lente. De fait, le haut niveau d'inégalité couplé à une recrudescence de cette inégalité à la marge pour certains services tendent à annihiler les effets positifs de la croissance économique et de la réduction de la pauvreté et maintiendraient la mortalité, la malnutrition et la morbidité des enfants en Afrique à des niveaux relativement élevés et plus particulièrement concentrées dans les groupes les plus pauvres. Tout ceci appelle à des politiques économiques, sociales et sanitaires pour renverser fortement les tendances de la mortalité des enfants. En particulier, nos résultats suggèrent qu'il faudrait que les pays Africains puissent entre autres : - accroître les services de soins de santé, notamment les soins préventifs comme les services essentiels à la santé de l'enfant dès sa naissance (vaccination, services prénataux et assistance à la naissance), les soins curatifs et les campagnes de sensibilisation. - renverser la tendance baissière dans la provision des services sanitaires (eau, électricité, environnement et assainissement, prise en charge des déchets, etc.). - améliorer la nutrition et l'environnement immédiat de ces enfants et les comportements des ménages (espacement des naissances, éducation des mères en matière de santé, etc.). - plus généralement comme le montrent d'autres études, il faudrait aussi améliorer la performance globale de leur système de santé en empêchant la fuite des cerveaux, en allouant un budget suffisant à la santé, en organisant mieux les différents organes, de même que les ciblages des politiques de santé, en empêchant la corruption, en améliorant la qualité (accueil, propreté des centres de soins, etc.), en équipant les centres en médicaments, vaccins, moyens de transport et de communication, etc. Intégrer si possible les systèmes plus traditionnels de soins (comme les matrones et les guérisseurs) et le secteur privé, de même qu'une meilleure organisation du système pharmaceutique. Ces politiques constituent un tout et doivent être mise en oeuvre rapidement, ou renforcées le cas échéant. A cette seule condition les pays Africains pourraient espérer rattraper leur retard dans les Objectifs du Millénaire.
HapMap imputed genome-wide association studies (GWAS) have revealed >50 loci at which common variants with minor allele frequency >5% are associated with kidney function. GWAS using more complete reference sets for imputation, such as those from The 1000 Genomes project, promise to identify novel loci that have been missed by previous efforts. To investigate the value of such a more complete variant catalog, we conducted a GWAS meta-analysis of kidney function based on the estimated glomerular filtration rate (eGFR) in 110,517 European ancestry participants using 1000 Genomes imputed data. We identified 10 novel loci with p-value < 5 × 10−8 previously missed by HapMap-based GWAS. Six of these loci (HOXD8, ARL15, PIK3R1, EYA4, ASTN2, and EPB41L3) are tagged by common SNPs unique to the 1000 Genomes reference panel. Using pathway analysis, we identified 39 significant (FDR < 0.05) genes and 127 significantly (FDR < 0.05) enriched gene sets, which were missed by our previous analyses. Among those, the 10 identified novel genes are part of pathways of kidney development, carbohydrate metabolism, cardiac septum development and glucose metabolism. These results highlight the utility of re-imputing from denser reference panels, until whole-genome sequencing becomes feasible in large samples. ; 3C. Three-City Study. The work was made possible by the participation of the control subjects, the patients, and their families. We thank Dr. Anne Boland (CNG) for her technical help in preparing the DNA samples for analyses. This work was supported by the National Foundation for Alzheimer's disease and related disorders, the Institut Pasteur de Lille and the Centre National de Génotypage. The 3C Study was performed as part of a collaboration between the Institut National de la Santé et de la Recherche Médicale (Inserm), the Victor Segalen Bordeaux II University and Sanofi-Synthélabo. The Fondation pour la Recherche Médicale funded the preparation and initiation of the study. The 3C Study was also funded by the Caisse Nationale Maladie des Travailleurs Salariés, Direction Générale de la Santé, MGEN, Institut de la Longévité, Agence Française de Sécurité Sanitaire des Produits de Santé, the Aquitaine and Bourgogne Regional Councils, Fondation de France and the joint French Ministry of Research/INSERM "Cohortes et collections de données biologiques" programme. Lille Génopôle received an unconditional grant from Eisai. AGES. Age, Gene/Environment Susceptibility-Reykjavik Study. This study has been funded by NIH contract N01-AG-1-2100, the NIA Intramural Research Program, Hjartavernd (the Icelandic Heart Association), and the Althingi (the Icelandic Parliament). The study is approved by the Icelandic National Bioethics Committee, VSN: 00-063. The researchers are indebted to the participants for their willingness to participate in the study. ARIC. Atherosclerosis Risk in Communities study. The ARIC study is carried out as a collaborative study supported by National Heart, Lung, and Blood Institute contracts (HHSN268201100005C, HHSN268201100006C, HHSN268201100007C, HHSN268201100008C, HHSN268201100009C, HHSN268201100010C, HHSN268201100011C, and HHSN268201100012C), R01HL087641, R01HL59367 and R01HL086694; National Human Genome Research Institute contract U01HG004402; and National Institutes of Health contract HHSN268200625226C. The authors thank the staff and participants of the ARIC study for their important contributions. Infrastructure was partly supported by Grant Number UL1RR025005, a component of the National Institutes of Health and NIH Roadmap for Medical Research. This work as well as YL and AK were supported by the German Research Foundation (KO 3598/2-1, KO 3598/3-1 and CRC1140 A05 to AK). ASPS. Austrian Stroke Prevention Study. The research reported in this article was funded by the Austrian Science Fond (FWF) grant number P20545-P05 and P13180. The Medical University of Graz supports the databank of the ASPS. The authors thank the staff and the participants of the ASPS for their valuable contributions. We thank Birgit Reinhart for her long-term administrative commitment and Ing Johann Semmler for the technical assistance at creating the DNA-bank. BMES. Blue Mountains Eye Study. The BMES has been supported by the Australian RADGAC grant (1992- 94) and Australian National Health & Medical Research Council, Canberra Australia (Grant Nos: 974159, 211069, 991407, 457349). The GWAS studies of Blue Mountains Eye Study population are supported by the Australian National Health & Medical Research Council (Grant Nos: 512423, 475604, 529912) and the Wellcome Trust, UK (2008). EGH and JJW are funded by the Australian National Health & Medical Research Council Fellowship Schemes. CILENTO. Italian Network on Genetic Isolates – Cilento. We thank the populations of Cilento for their participation in the study. The study was supported by the Italian Ministry of Universities and CNR 36 (PON03PE_00060_7, Interomics Flagship Project), the Assessorato Ricerca Regione Campania, the Fondazione con il SUD (2011-PDR-13), and the Istituto Banco di Napoli - Fondazione to MC. COLAUS. The CoLaus authors thank Yolande Barreau, Mathieu Firmann, Vladimir Mayor, Anne-Lise Bastian, Binasa Ramic, Martine Moranville, Martine Baumer, Marcy Sagette, Jeanne Ecoffey and Sylvie Mermoud for data collection. The CoLaus study received financial contributions from GlaxoSmithKline, the Faculty of Biology and Medicine of Lausanne, the Swiss National Science Foundation (33CSCO- 122661, 3200BO-111361/2, 3100AO-116323/1, 310000-112552). The computations for CoLaus imputation were performed in part at the Vital-IT center for high performance computing of the Swiss Institute of Bioinformatics. We thank Vincent Mooser for his contribution to the CoLaus study. EGCUT. Estonian Genome Center University of Tartu. EGCUT received financing from FP7 grants (278913, 306031, 313010) and targeted financing from Estonian Government (SF0180142s08). EGCUT studies were covered from Infra-structure grant no. 3.2.0304.11-0312 funded mostly by the European Regional Development Fund, Center of Excellence in Genomics (EXCEGEN) and University of Tartu (SP1GVARENG). We acknowledge EGCUT technical personnel, especially Mr V. Soo and S. Smit. Data analyses were carried out in part in the High Performance Computing Center of the University of Tartu. FamHS. Family Heart Study. The FHS work was supported in part by NIH grants 5R01HL08770003, 5R01HL08821502 (Michael A. Province) from the NHLBI and 5R01DK07568102, 5R01DK06833603 from the NIDDK (I.B.B.). The authors thank the staff and participants of the FamHS for their important contributions. FHS. Framingham Heart Study. This research was conducted in part using data and resources from the Framingham Heart Study of the National Heart Lung and Blood Institute of the National Institutes of Health and Boston University School of Medicine. The analyses reflect intellectual input and resource development from the Framingham Heart Study investigators participating in the SNP Health Association Resource (SHARe) project. This work was partially supported by the National Heart, Lung and Blood Institute's Framingham Heart Study (Contract No. N01-HC-25195) and its contract with Affymetrix, Inc. for genotyping services (Contract No. N02-HL-6-4278). A portion of this research utilized the Linux Cluster for Genetic Analysis (LinGA-II) funded by the Robert Dawson Evans Endowment of the Department of Medicine at Boston University School of Medicine and Boston Medical Center. GENDIAN. GENetics of DIAbetic Nephropathy study. The support of the physicians, the patients, and the staff of the Diabetes Zentrum Mergentheim (Head: Prof. Dr. Thomas Haak), the diabetes outpatient clinic Dr Nusser - Dr Kreisel, the dialysis centers KfH Amberg, KfH Bayreuth, KfH Deggendorf, KfH Donauwörth, KfH Freising, KfH Freyung, KfH Fürth, KfH Hof, KfH Ingolstadt, KfH Kelheim, KfH München Elsenheimerstraße, KfH München-Schwabing, KfH Neumarkt, KfH Neusäß, KfH Oberschleißheim, KfH Passau, KfH Plauen, KfH Regensburg Günzstraße, KfH Regensburg Caritas-Krankenhaus, KfH Straubing, KfH Sulzbach-Rosenberg, KfH Weiden, Dialysezentrum Augsburg Dr. Kirschner, Dialysezentrum Bad Alexandersbad, KfH Bamberg, Dialysezentrum Emmering, Dialysezentrum Klinikum Landshut, Dialysezentrum Landshut, Dialysezentrum Pfarrkirchen, Dialysezentrum Schwandorf, Dr. Angela Götz, the medical doctoral student Johanna Christ and the Study Nurse Ingrid Lugauer. The expert technical assistance of Claudia Strohmeier is acknowledged. Phenotyping was funded by the Dr. Robert PflegerStiftung (Dr Carsten A. Böger), the MSD Stipend Diabetes (Dr Carsten A. Böger) and the University Hospital of Regensburg (intramural grant ReForM A to Dr. A. Götz, ReForM C to Dr. Carsten Böger). Genome-wide genotyping was funded by the KfH Stiftung Präventivmedizin e.V. (Dr. Carsten A. Böger, Dr. Jens Brüning), the Else Kröner-Fresenius-Stiftung (2012_A147 to Dr Carsten A. Böger and Dr Iris M. Heid) and the University Hospital Regensburg (Dr Carsten A. Böger). Data analysis was funded by the Else 37 Kröner-Fresenius Stiftung (Dr. Iris M. Heid and Dr. Carsten A. Böger: 2012_A147; Dr. Carsten A. Böger and Dr. Bernhard K. Krämer: P48/08//A11/08). GENDIAN Study Group: Mathias Gorski, Iris M. Heid, Bernhard K. Krämer, Myriam Rheinberger, Michael Broll, Alexander Lammert, Jens Brüning, Matthias Olden, Klaus Stark, Claudia Strohmeier, Simone Neumeier, Sarah Hufnagel, Petra Jackermeier, Emilia Ruff, Johanna Christ, Peter Nürnberg, Thomas Haak, Carsten A. Böger. HABC. Health Aging and Body Composition Study. The HABC study was funded by the National Institutes of Aging. This research was supported by NIA contracts N01AG62101, N01AG62103, and N01AG62106. The genome-wide association study was funded by NIA grant 1R01AG032098-01A1 to Wake Forest University Health Sciences and genotyping services were provided by the Center for Inherited Disease Research (CIDR). CIDR is fully funded through a federal contract from the National Institutes of Health to The Johns Hopkins University, contract number HHSN268200782096C. This research was supported in part by the Intramural Research Program of the NIH, National Institute on Aging. HCS. Hunter Community Study. The University of Newcastle provided $300,000 from its Strategic Initiatives Fund, and $600,000 from the Gladys M Brawn Senior Research Fellowship scheme; Vincent Fairfax Family Foundation, a private philanthropic trust, provided $195,000; The Hunter Medical Research Institute provided media support during the initial recruitment of participants; and Dr Anne Crotty, Prof. Rodney Scott and Associate Prof. Levi provided financial support towards freezing costs for the long-term storage of participant blood samples. The authors would like to thank the men and women participating in the HCS as well as all the staff, investigators and collaborators who have supported or been involved in the project to date. A special thank you should go to Alison Koschel and Debbie Quain who were instrumental in setting up the pilot study and initial phase of the project. HPFS. Health Professionals Follow-Up Study. The NHS/HPFS type 2 diabetes GWAS (U01HG004399) is a component of a collaborative project that includes 13 other GWAS (U01HG004738, U01HG004422, U01HG004402, U01HG004729, U01HG004726, U01HG004735, U01HG004415, U01HG004436, U01HG004423, U01HG004728, RFAHG006033; National Institute of Dental & Craniofacial Research: U01DE018993, U01DE018903) funded as part of the Gene Environment-Association Studies (GENEVA) under the NIH Genes, Environment and Health Initiative (GEI). Assistance with phenotype harmonization and genotype cleaning, as well as with general study coordination, was provided by the GENEVA Coordinating Center (U01HG004446). Assistance with data cleaning was provided by the National Center for Biotechnology Information. Genotyping was performed at the Broad Institute of MIT and Harvard, with funding support from the NIH GEI (U01HG04424), and Johns Hopkins University Center for Inherited Disease Research, with support from the NIH GEI (U01HG004438) and the NIH contract "High throughput genotyping for studying the genetic contributions to human disease"(HHSN268200782096C). Additional funding for the current research was provided by the National Cancer Institute (P01CA087969, P01CA055075), and the National Institute of Diabetes and Digestive and Kidney Diseases (R01DK058845). We thank the staff and participants of the NHS and HPFS for their dedication and commitment. INGI-CARLANTINO. Italian Network on Genetic Isolates – Carlantino. We thank Anna Morgan and Angela D'Eustacchio for technical support. We are grateful to the municipal administrators for their collaboration on the project and for logistic support. We thank all participants to this study. INGI-FVG. Italian Network on Genetic Isolates – Friuli Venezia-Giulia. We thank Anna Morgan and Angela D'Eustacchio for technical support. We are grateful to the municipal administrators for their collaboration on the project and for logistic support. We thank all participants to this study. 38 INGI-VAL BORBERA. Italian Network on Genetic Isolates – Val Borbera. We thank the inhabitants of the Val Borbera who made this study possible, the local administrations and the ASL-Novi Ligure (Al) for support. We also thank Clara Camaschella for data collection supervision and organization of the clinical data collection, Fiammetta Vigano` for technical help and Corrado Masciullo for building the analysis platform. The research was supported by funds from Compagnia di San Paolo, Torino, Italy; Fondazione Cariplo, Italy and Ministry of Health, Ricerca Finalizzata 2008 and 2011/2012, CCM 2010, PRIN 2009 and Telethon, Italy to DT. IPM. Mount Sinai BioMe Biobank Program. The Mount Sinai BioMe Biobank Program is supported by The Andrea and Charles Bronfman Philanthropies. KORA-F3 and F4. The genetic epidemiological work was funded by the NIH subcontract from the Children's Hospital, Boston, US, (H.E.W., I.M.H, prime grant 1 R01 DK075787-01A1), the German National Genome Research Net NGFN2 and NGFNplus (H.E.W. 01GS0823; WK project A3, number 01GS0834), the Munich Center of Health Sciences (MC Health) as part of LMUinnovativ, and by the Else KrönerFresenius-Stiftung (P48/08//A11/08; C.A.B., B.K.K; 2012_A147 to CAB and IMH.). The Genetic Epidemiology at the University of Regensburg received financial contributions from the BMBF (01ER1206 and 01ER1507). The kidney parameter measurements in F3 were funded by the Else Kröner-FreseniusStiftung (C.A.B., B.K.K.) and the Regensburg University Medical Center, Germany; in F4 by the University of Ulm, Germany (W.K.). Genome wide genotyping costs in F3 and F4 were in part funded by the Else Kröner-Fresenius-Stiftung (C.A.B., B.K.K.). De novo genotyping in F3 and F4 were funded by the Else Kröner-Fresenius-Stiftung (C.A.B., B.K.K.). The KORA research platform and the MONICA Augsburg studies were initiated and financed by the Helmholtz Zentrum München, German Research Center for Environmental Health, by the German Federal Ministry of Education and Research and by the State of Bavaria. Genotyping was performed in the Genome Analysis Center (GAC) of the Helmholtz Zentrum München. The LINUX platform for computation were funded by the University of Regensburg for the Department of Epidemiology and Preventive Medicine at the Regensburg University Medical Center. LIFELINES. The authors wish to acknowledge the services of the Lifelines Cohort Study, the contributing research centers delivering data to Lifelines, and all the study participants. Lifelines group authors: Behrooz Z Alizadeh1 , H Marike Boezen1 , Lude Franke2 , Pim van der Harst3 , Gerjan Navis4 , Marianne Rots5 , Harold Snieder1 , Morris Swertz2 , Bruce HR Wolffenbuttel6 and Cisca Wijmenga2 1. Department of Epidemiology, University of Groningen, University Medical Center Groningen, The Netherlands 2. Department of Genetics, University of Groningen, University Medical Center Groningen, The Netherlands 3. Department of Cardiology, University of Groningen, University Medical Center Groningen, The Netherlands 4. Department of Internal Medicine, Division of Nephrology, University of Groningen, University Medical Center Groningen, The Netherlands 5. Department of Medical Biology, University of Groningen, University Medical Center Groningen, The Netherlands 6. Department of Endocrinology, University of Groningen, University Medical Center Groningen, The Netherlands MESA. Multi-Ethnic Study of Atherosclerosis. University of Washington (N01-HC-95159),Regents of the University of California (N01-HC-95160), Columbia University (N01-HC-95161), Johns Hopkins University 39 (N01-HC-95162, N01-HC-95168), University of Minnesota (N01-HC-95163), Northwestern University (N01-HC-95164), Wake Forest University (N01-HC-95165), University of Vermont (N01-HC-95166), New England Medical Center (N01-HC-95167), Harbor-UCLA Research and Education Institute (N01-HC- 95169), Cedars-Sinai Medical Center (R01-HL-071205), University of Virginia (subcontract to R01-HL- 071205) MICROS. Microisolates in South Tyrol study. We owe a debt of gratitude to all participants. We thank the primary care practitioners R. Stocker, S. Waldner, T. Pizzecco, J. Plangger, U. Marcadent and the personnel of the Hospital of Silandro (Department of Laboratory Medicine) for their participation and collaboration in the research project. In South Tyrol, the study was supported by the Ministry of Health and Department of Educational Assistance, University and Research of the Autonomous Province of Bolzano, the South Tyrolean Sparkasse Foundation, and the European Union framework program 6 EUROSPAN project (contract no. LSHG-CT-2006-018947). NESDA. The Netherlands Study of Depression and Anxiety. The infrastructure for the NESDA study is funded through the Geestkracht programme of the Dutch Scientific Organization (ZON-MW, grant number 10-000-1002) and matching funds from participating universities and mental health care organizations. Genotyping in NESDA was funded by the Genetic Association Information Network (GAIN) of the Foundation for the US National Institutes of Health. NHS. Nurses' Health Study. The NHS/HPFS type 2 diabetes GWAS (U01HG004399) is a component of a collaborative project that includes 13 other GWAS (U01HG004738, U01HG004422, U01HG004402, U01HG004729, U01HG004726, U01HG004735, U01HG004415, U01HG004436, U01HG004423, U01HG004728, RFAHG006033; National Institute of Dental & Craniofacial Research: U01DE018993, U01DE018903) funded as part of the Gene Environment-Association Studies (GENEVA) under the NIH Genes, Environment and Health Initiative (GEI). Assistance with phenotype harmonization and genotype cleaning, as well as with general study coordination, was provided by the GENEVA Coordinating Center (U01HG004446). Assistance with data cleaning was provided by the National Center for Biotechnology Information. Genotyping was performed at the Broad Institute of MIT and Harvard, with funding support from the NIH GEI (U01HG04424), and Johns Hopkins University Center for Inherited Disease Research, with support from the NIH GEI (U01HG004438) and the NIH contract "High throughput genotyping for studying the genetic contributions to human disease"(HHSN268200782096C). The NHS renal function and albuminuria work was supported by DK66574. Additional funding for the current research was provided by the National Cancer Institute (P01CA087969, P01CA055075), and the National Institute of Diabetes and Digestive and Kidney Diseases (R01DK058845). We thank the staff and participants of the NHS and HPFS for their dedication and commitment. NSPHS. The Northern Swedish Population Health Study. The NSPHS was supported by grants from the Swedish Natural Sciences Research Council, the European Union through the EUROSPAN project (contract no. LSHG-CT-2006-018947), the Foundation for Strategic Research (SSF) and the Linneaus Centre for Bioinformatics (LCB). We are also grateful for the contribution of samples from the Medical Biobank in Umeå and for the contribution of the district nurse Svea Hennix in the Karesuando study. RS-I. The Rotterdam Study. The GWA study was funded by the Netherlands Organisation of Scientific Research NWO Investments (nr. 175.010.2005.011, 911-03-012), the Research Institute for Diseases in the Elderly (014-93-015; RIDE2), the Netherlands Genomics Initiative (NGI)/Netherlands Consortium for Healthy Aging (NCHA) project nr. 050-060-810. We thank Pascal Arp, Mila Jhamai, Dr Michael 40 Moorhouse, Marijn Verkerk, and Sander Bervoets for their help in creating the GWAS database. The Rotterdam Study is funded by Erasmus Medical Center and Erasmus University, Rotterdam, Netherlands Organization for the Health Research and Development (ZonMw), the Research Institute for Diseases in the Elderly (RIDE), the Ministry of Education, Culture and Science, the Ministry for Health, Welfare and Sports, the European Commission (DG XII), and the Municipality of Rotterdam. The authors are very grateful to the participants and staff from the Rotterdam Study, the participating general practitioners and the pharmacists. We would like to thank Dr. Tobias A. Knoch, Luc V. de Zeeuw, Anis Abuseiris, and Rob de Graaf as well as their institutions the Erasmus Computing Grid, Rotterdam, The Netherlands, and especially the national German MediGRID and Services@MediGRID part of the German D-Grid, both funded by the German Bundesministerium fuer Forschung und Technology under grants #01 AK 803 A-H and # 01 IG 07015 G, for access to their grid resources. Abbas Dehghan is supported by NWO grant (vici, 918-76-619). SAPALDIA. Swiss Study on Air Pollution and Lung Diseases in Adults. The SAPALDIA Team: Study directorate: T Rochat (p), NM Probst Hensch (e/g), N Künzli (e/exp), C Schindler (s), JM Gaspoz (c) Scientific team: JC Barthélémy (c), W Berger (g), R Bettschart (p), A Bircher (a), O Brändli (p), C Brombach (n), M Brutsche (p), L Burdet (p), M Frey (p), U Frey (pd), MW Gerbase (p), D Gold (e/c/p), E de Groot (c), W Karrer (p), R Keller (p), B Martin (pa), D Miedinger (o), U Neu (exp), L Nicod (p), M Pons (p), F Roche (c), T Rothe (p), E Russi (p), P Schmid-Grendelmeyer (a), A Schmidt-Trucksäss (pa), A Turk (p), J Schwartz (e), D. Stolz (p), P Straehl (exp), JM Tschopp (p), A von Eckardstein (cc), E Zemp Stutz (e). Scientific team at coordinating centers: M Adam (e/g), C Autenrieth (pa), PO Bridevaux (p), D Carballo (c), E Corradi (exp), I Curjuric (e), J Dratva (e), A Di Pasquale (s), E Dupuis Lozeron (s), E Fischer (e), M Germond (s), L Grize (s), D Keidel (s), S Kriemler (pa), A Kumar (g), M Imboden (g), N Maire (s), A Mehta (e), H Phuleria (exp), E Schaffner (s), GA Thun (g) A Ineichen (exp), M Ragettli (e), M Ritter (exp), T Schikowski (e), M Tarantino (s), M Tsai (exp) (a) allergology, (c) cardiology, (cc) clinical chemistry, (e) epidemiology, (exp) exposure, (g) genetic and molecular biology, (m) meteorology, (n) nutrition, (o) occupational health, (p) pneumology, (pa) physical activity, (pd) pediatrics, (s) statistics. Funding: The Swiss National Science Foundation (grants no 33CSCO-134276/1, 33CSCO-108796, 3247BO-104283, 3247BO-104288, 3247BO- 104284, 3247-065896, 3100-059302, 3200-052720, 3200-042532, 4026-028099), the Federal Office for Forest, Environment and Landscape, the Federal Office of Public Health, the Federal Office of Roads and Transport, the canton's government of Aargau, Basel-Stadt, Basel-Land, Geneva, Luzern, Ticino, Valais, and Zürich, the Swiss Lung League, the canton's Lung League of Basel Stadt/ Basel Landschaft, Geneva, Ticino, Valais and Zurich, SUVA, Freiwillige Akademische Gesellschaft, UBS Wealth Foundation, Talecris Biotherapeutics GmbH, Abbott Diagnostics, European Commission 018996 (GABRIEL), Wellcome Trust WT 084703MA. The study could not have been done without the help of the study participants, technical and administrative support and the medical teams and field workers at the local study sites. Local fieldworkers : Aarau: S Brun, G Giger, M Sperisen, M Stahel, Basel: C Bürli, C Dahler, N Oertli, I Harreh, F Karrer, G Novicic, N Wyttenbacher, Davos: A Saner, P Senn, R Winzeler, Geneva: F Bonfils, B Blicharz, C Landolt, J Rochat, Lugano: S Boccia, E Gehrig, MT Mandia, G Solari, B Viscardi, Montana: AP Bieri, C Darioly, M Maire, Payerne: F Ding, P Danieli A Vonnez, Wald: D Bodmer, E Hochstrasser, R Kunz, C Meier, J Rakic, U Schafroth, A Walder. Administrative staff: C Gabriel, R Gutknecht. SHIP and SHIP-TREND. The Study of Health in Pomerania. SHIP is part of the Community Medicine Research net of the University of Greifswald, Germany, which is funded by the Federal Ministry of Education and Research (grants no. 01ZZ9603, 01ZZ0103, and 01ZZ0403), the Ministry of Cultural Affairs as well as the Social Ministry of the Federal State of Mecklenburg-West Pomerania, and the network 41 'Greifswald Approach to Individualized Medicine (GANI_MED)' funded by the Federal Ministry of Education and Research (grant 03IS2061A). Genome-wide data have been supported by the Federal Ministry of Education and Research (grant no. 03ZIK012) and a joint grant from Siemens Healthcare, Erlangen, Germany and the Federal State of Mecklenburg- West Pomerania. The University of Greifswald is a member of the 'Center of Knowledge Interchange' program of the Siemens AG and the Caché Campus program of the InterSystems GmbH. The SHIP authors are grateful to Mario Stanke for the opportunity to use his Server Cluster for the SNP imputation as well as to Holger Prokisch and Thomas Meitinger (Helmholtz Zentrum München) for the genotyping of the SHIP-TREND cohort. TRAILS. TRacking Adolescents' Individual Lives. Trails is a collaborative project involving various departments of the University Medical Center and University of Groningen, the Erasmus University Medical Center Rotterdam, the University of Utrecht, the Radboud Medical Center Nijmegen, and the Parnassia Bavo group, all in the Netherlands. TRAILS has been financially supported by grants from the Netherlands Organization for Scientific Research NWO (Medical Research Council program grant GB-MW 940-38-011; ZonMW Brainpower grant 100-001-004; ZonMw Risk Behavior and Dependence grants 60- 60600-98-018 and 60-60600-97-118; ZonMw Culture and Health grant 261-98-710; Social Sciences Council medium-sized investment grants GB-MaGW 480-01-006 and GB-MaGW 480-07-001; Social Sciences Council project grants GB-MaGW 457-03-018, GB-MaGW 452-04-314, and GB-MaGW 452-06- 004; NWO large-sized investment grant 175.010.2003.005; NWO Longitudinal Survey and Panel Funding 481-08-013); the Sophia Foundation for Medical Research (projects 301 and 393), the Dutch Ministry of Justice (WODC), the European Science Foundation (EuroSTRESS project FP-006), and the participating universities. We are grateful to all adolescents, their parents and teachers who participated in this research and to everyone who worked on this project and made it possible. Statistical analyses were carried out on the Genetic Cluster Computer (http://www.geneticcluster.org), which is financially supported by the Netherlands Scientific Organization (NWO 480-05-003) along with a supplement from the Dutch Brain Foundation. WGHS. Women's Genome Health Study. The WGHS is supported by the National Heart, Lung, and Blood Institute (HL043851 and HL080467) and the National Cancer Institute (CA047988 and UM1CA182913), with collaborative scientific support and funding for genotyping provided by Amgen. YFS. Young Finns Study. The YFS has been financially supported by the Academy of Finland: grants 134309 (Eye), 126925, 121584, 124282, 129378 (Salve), 117787 (Gendi), and 41071 (Skidi), the Social Insurance Institution of Finland, Kuopio, Tampere and Turku University Hospital Medical Funds (grant 9M048 and 9N035 for TeLeht), Juho Vainio Foundation, Paavo Nurmi Foundation, Finnish Foundation of Cardiovascular Research and Finnish Cultural Foundation, Tampere Tuberculosis Foundation and Emil Aaltonen Foundation (T.L). The technical assistance in the statistical analyses by Ville Aalto and Irina Lisinen is acknowledged. ; Peer Reviewed
Dottorato di ricerca in Storia d'Europa: società, politica, istituzioni (XIX - XX secolo) ; La ricerca realizzata ha inteso studiare, in un'ottica di lungo periodo e in una prospettiva complessiva, ciò che ha rappresentato l'esperienza del fascismo in un contesto territoriale periferico e non omogeneo, di cui è espressione quel segmento dell'Umbria meridionale costituito in provincia nel gennaio 1927. Tale area si è rivelata un case study esemplare, in grado di offrire interessanti spunti interpretativi. In effetti, all'unico grande polo industriale della provincia, compreso nel territorio della conca ternana, si contrappone la restante parte del territorio provinciale, comprendente città come Orvieto e Amelia, contrassegnate da consolidate relazioni con le regioni limitrofe, espressione di un'Umbria verde, agricola e mezzadrile, ma anche francescana, terra d'arte, di misticismo, ritenuta dalla pubblicistica di regime "cuore" dell'Italia fascista. A partire da ciò, si è creduto opportuno impostare la ricerca attorno a tre questioni principali, ritenute essenziali per cogliere aspetti e dinamiche della società locale nel ventennio mussoliniano. Per fare questo è stata definita una griglia interpretativa funzionale a verificare il ruolo del Pnf nel quadro del rapporto centro-periferia, continuità-rottura. Si è così puntato a esaminare come il fascismo abbia influito sui processi di formazione e consolidamento dei ceti dirigenti locali, verificandone la capacità di rapportarsi con le vecchie élites, di promuoverne di nuove o, magari, di fare coesistere entrambe. Si è poi cercato di approfondire il ruolo che il partito ha svolto in ambito locale, la sua capacità di inserirsi nelle diverse dinamiche territoriali, di creare e controllare reti clientelari e, soprattutto, di rapportarsi con le due realtà che rimangono fuori dal suo controllo, il grande gruppo polisettoriale rappresentato dalla "Terni" polisettoriale di Bocciardo e la Chiesa locale, il tutto al fine di conseguire i propri obiettivi totalitari. Infine, si è affrontata la questione del consenso. In questo senso, è stato preso in considerazione non soltanto il ruolo della violenza attuata dal fascismo per conquistare il potere e la stessa azione repressiva dispiegatasi negli anni del regime, che si dimostra concreta e reale come è normale in una situazione di dittatura, ma si è provato a fare luce sul dissenso e sulle aree di rassegnazione o di consenso tiepido che sembrano persistere nella società locale. Nel procedere si è poi cercato di coniugare la storia politicoistituzionale con quella sociale e in parte economica, attraverso un costante lavoro di analisi e incrocio delle fonti studiate, scelta ritenuta utile per conseguire gli obiettivi prefissati. Certamente, la riflessione sulle origini, l'affermazione, il consolidamento del fascismo in provincia di Terni, offre sostanziali conferme a quanto una parte della storiografia aveva proposto. Nell'Umbria meridionale il fascismo, nei suoi vertici, sorge e si afferma come punto d'incontro dei ceti dominanti tradizionali. Esso si afferma in quanto strumento della reazione agraria e dei gruppi industriali monopolistici di 2 fronte alla conflittualità contadina e operaia e al dilagare del socialismo. La sconfitta delle élites politiche tradizionali alle elezioni politiche del 1919 e a quelle amministrative del 1920, che seguiva l'effervescenza sociale del biennio rosso; la stipula del patto colonico del 1920 sfavorevole per gli agrari; la stessa esperienza, sebbene breve e contraddittoria, dell'occupazione delle fabbriche, sullo sfondo di una situazione economica difficile, ne determina la reazione, che si concretizza per l'appunto nell'adesione al fascismo. Dapprima nella versione squadrista, capace di sconfiggere sul piano militare gli oppositori, anche grazie al diffuso sostegno degli apparati di sicurezza dello Stato, quindi come blocco elettorale e nuova struttura politica in grado di conquistare il potere, il fascismo si configura come una sorta di union sacrée contro il "bolscevismo", in cui confluiscono conservatorismo agrario ma anche impulsi industrialisti e modernizzatori. Più concretamente, esso viene accorpando tutte quelle correnti politiche, contrapposte tra loro nel primo quindicennio del secolo, che avevano costituito il frastagliato universo giolittiano. In questo senso, come l'analisi dei vertici del Pnf provinciale e degli amministratori locali ha permesso di verificare, sino al 1927 a essere protagonisti sulla scena politica locale sono le forze che tradizionalmente facevano parte del blocco agrario. In primo luogo i proprietari terrieri, molti dei quali appartenenti alla nobiltà, a cui si affiancano esponenti della borghesia delle professioni, le cui proprietà erano cresciute a cavallo tra Ottocento e Novecento, nonché alcuni settori espressione diretta del mondo rurale, come gli agenti di campagna, i fattori, ma anche quei contadini che nei primi anni venti erano riusciti ad accedere alla proprietà della terra. In provincia di Terni quindi, dalla conquista fascista sino all'introduzione della riforma podestarile ma, in gran parte, anche dopo, la presenza ai vertici delle amministrazioni municipali e di quella provinciale di esponenti del notabilato locale, essenzialmente aristocratici, proprietari terrieri, professionisti, si rivela dato costante che permette di accomunare la provincia di Terni a realtà come la Toscana, l'Emilia-Romagna e, anche, a parte dell'Italia meridionale. L'attuazione della riforma podestarile, con le prerogative concesse al prefetto nella nomina dei vertici delle amministrazioni comunali, non sembra variare di molto la situazione, almeno nella prima fase di attuazione della riforma. Come è emerso nei comuni della provincia di Terni, il criterio seguito dai prefetti per l'individuazione dei podestà era connesso con la rilevanza sociale ed economica riconosciuta in una comunità ai candidati alla carica che, senza dubbio, un titolo nobiliare e una professione adeguata erano in grado di assicurare, anche magari a scapito della mancanza di qualche requisito previsto dalla legge istitutiva della riforma podestarile. In questo senso, sembra dunque perpetuarsi un modello burocratico e ottimatizio insieme, grazie al quale il fascismo intendeva presentarsi alle comunità locali con un volto rassicurante, al fine di accattivarsi il favore della popolazione. L'analisi prosopografica dei profili relativi a presidi, consultori provinciali, podestà, membri delle consulte municipali, per il periodo 1926-1943, ha reso possibile definire un quadro che vede sostanzialmente confermata l'analisi fatta in una prospettiva nazionale da Luca Baldissara ormai più di una decina di anni 3 fa1. E' cosi emerso il carattere di classe della rappresentanza politico-amministrativa fascista in questi anni, sebbene con alcune differenze effetto delle specificità socioeconomiche caratterizzanti l'area esaminata. Nello specifico, l'esame condotto sul corpus di 147 amministratori (78 podestà e 69 commissari prefettizi) che si succedono nei Comuni della provincia nell'arco di tempo considerato, ha permesso di tracciare l'identikit di un funzionario con un'età compresa tra i quaranta e i cinquanta anni; in possesso di un titolo di studio elevato (laurea o diploma di scuola superiore); in cui la proprietà della terra riveste un ruolo essenziale, coerentemente al tessuto socio-economico prevalente in provincia, e in cui dal punto di vista della professione esercitata appare predominante la figura del libero professionista (in genere avvocato e notaio). Forte è poi il legame dei podestà con il Pnf, più della metà del campione individuato risulta nel partito dal biennio 1920-1922; al tempo stesso, la maggioranza delle designazioni effettuate dai prefetti avviene in accordo con la federazione provinciale fascista. Sembra quindi delinearsi un quadro d'assieme che nel corso degli anni trenta, in gran parte della provincia, vede la predominanza delle gerarchie notabilari nella gestione del potere locale. Da tale situazione si discosta in parte l'area industriale compresa tra Terni e Narni, in cui come avviene in altri contesti urbani o regionali, attraverso il Pnf si assiste all'ascesa di personalità espressione della media e piccola borghesia urbana, per i quali l'istituto podestarile diventa uno strumento di promozione sociale e di affermazione nella gerarchia del potere locale. L'immagine del governo locale che si profila non è però statica, appare invece dinamica e contrassegnata da una forte conflittualità che, a vari livelli, si dimostra uno dei tratti comuni percepibili sotto l'apparente pacificazione realizzata dal fascismo. La forte instabilità presente nelle amministrazioni comunali della provincia di Terni, attestata dall'elevato numero di commissari prefettizi e di podestà retribuiti che si succedono, è testimonianza non solo delle difficoltà incontrate dai prefetti nella selezione di un ceto dirigente adeguato ma, soprattutto, del tentativo delle élites tradizionali, attraversate da interessi diversi e relazioni clientelari e familiari molteplici, di resistere all'azione omologatrice del regime. Indubbiamente, lo Stato fascista, attraverso la promozione di un modello di podestà fondato su competenza, capacità di agire, allineamento alle direttive dei vertici, in nome della proclamata modernizzazione puntava a ricondurre le periferie sotto il controllo del centro. Ecco allora che la ricerca di una concreta azione di governo delle amministrazioni locali, frequentemente sollecitata dal prefetto, da perseguire, ad esempio, attraverso la realizzazione di opere pubbliche funzionali alla mobilitazione di settori diversi della società, diventava il riferimento attraverso cui misurare l'efficienza e, soprattutto, "l'operosità" degli amministratori locali. L'elevato turnover dei podestà rappresenta pertanto una spia che si presta a misurare significativamente le difficoltà incontrate dal regime nell'affermare la propria azione in periferia. Non di rado tuttavia l'intervento del prefetto sui podestà si rendeva necessario per stroncare le lotte intestine e di fazione che si scatenavano all'interno delle élites locali per la gestione del potere. Le modalità attraverso cui tali scontri si manifestano sembrano esprimere dinamiche del conflitto omogenee a quanto accertato da altri studi 1 Luca Baldissara, Tecnica e politica nell'amministrazione. Saggio sulle culture amministrative e di governo municipale fra anni Trenta e Cinquanta, Il Mulino, Bologna 1998. 4 riguardanti realtà comunali, provinciali e regionali diverse. Esse assumono la forma di lettere, esposti, denunzie anonime, che divengono lo strumento di lotta principale tra le fazioni in una dimensione comunale ma, come è stato accertato in chiave provinciale, anche tra i rappresentanti dei diversi poteri locali, oltre che all'interno degli stessi vertici della federazione fascista ternana. A partire dal 1927, con la nascita della Provincia e l'insediamento di istituzioni politiche e amministrative nella città capoluogo, anche per il fascismo locale inizia una fase nuova, l'esame della quale ha permesso di meglio comprendere come in questa realtà si viene definendo il rapporto con il centro. La genesi della nuova entità territoriale è frutto di una serie di variabili legate, da un lato, alle esigenze politiche amministrative dello Stato fascista divenuto regime; a cui si sovrappongono le dinamiche conflittuali interne al fascismo regionale, che portano alla pacificazione dello stesso e alla nascita della federazione provinciale del Pnf. Infine, un ruolo determinante lo ha l'affermazione della "Terni" polisettoriale, vero e proprio potere forte nella nuova provincia, in grado di dare vita a un originale sistema di fabbrica a metà strada tra paternalismo assistenziale e truck-system. Con essa il regime dialoga direttamente, baypassando la neonata federazione provinciale del Pnf e, se necessario, intervenendo per normalizzarla, come dimostra esemplarmente la vicenda politica e personale di Elia Rossi Passavanti, primo federale e podestà di Terni. In questo senso, la ricostruzione dei percorsi personali e professionali dei vertici dell'amministrazione statale (prefetti e questori), degli organi politici (federali, vicefederali, segretari amministrativi, componenti del Direttorio della federazione fascista) ed economici (membri del consiglio provinciale dell'economia, di quello delle corporazioni e del principale istituto bancario del capoluogo), è stata preziosa per le riflessioni che permette di realizzare rispetto al ruolo avuto dal Pnf in provincia e, specialmente, alle dinamiche politiche che si innescano nei rapporti che il partito instaura con le altre autorità, a cominciare da quella prefettizia. Proprio con riferimento ai prefetti, si è potuto osservare che sui nove che si succedono in provincia di Terni nel periodo considerato, ben sei provengono dal Pnf. Tale fatto non sottende necessariamente un'automatica collaborazione con la federazione fascista, quanto piuttosto sembra rispondere all'esigenza del centro di superare i contrasti esistenti tra la federazione fascista e la prefettura che, invece, è situazione ricorrente in provincia. Nel contempo, il succedersi di dodici federali alla guida del partito è prova di una significativa instabilità, dato peraltro ulteriormente confermato dalla netta prevalenza di personalità estranee all'ambiente locale, ben nove. Questo fatto non esprime solo una certa debolezza del fascismo locale, incapace di fornire un ceto dirigente adeguato, ma dimostra la stessa evoluzione che subisce la figura del segretario federale, nei termini di una spiccata professionalizzazione inquadrabile nel più generale contesto di crescente burocratizzazione del Pnf funzionale a consolidarne il ruolo di mediazione e di intervento nell'amministrazione dello Stato, che si rivela uno dei tratti tipici del Pnf staraciano. In questo senso, le guerre che si scatenano tra prefetto e federale nel corso degli anni trenta, ad esempio per la questione delle nomine dei podestà, in cui ruolo determinante lo acquista ancora una volta l'arma dell'esposto e della lettera anonima, attestano il tentativo portato avanti dal partito di far sentire il proprio peso al fine se non di sovrapporsi, quanto meno di affiancare lo Stato in periferia. Affiora così quella di5 mensione policratica che si configura come uno degli elementi caratterizzanti la politica in periferia negli anni del regime. Nonostante i contrasti che si scatenano tra i poteri, le lotte intestine all'interno del Pnf, la cronica debolezza dimostrata dai ceti dirigenti, la federazione provinciale fascista nel corso degli anni trenta riesce comunque a essere vitale e in grado di esercitare il proprio ruolo ai fini della fascistizzazione della società locale. D'altra parte, ai vertici del partito se si escludono i federali e i loro più stretti collaboratori, le restanti cariche continuano a essere gestite in larga parte dal medesimo nucleo originario fascista, fatto di appartenenti al ceto agrario e alla borghesia delle professioni provenienti, per la maggior parte, dall'area ternana. Ciò attesta lo scarso ricambio generazionale esistente all'interno della federazione, ma anche il peso politico ed economico ricoperto dal capoluogo rispetto all'intera provincia. Questi dirigenti fanno parte dei diversi Direttori federali che si succedono e, talvolta, ricoprono contemporaneamente, laddove la legislazione lo consente, incarichi in organismi quali il Consiglio provinciale dell'economia o, anche, alla guida della principale banca locale. Ai vertici del partito il peso degli appartenenti a settori della piccola borghesia e del ceto operaio è invece minore. Soltanto con l'approssimarsi del secondo conflitto mondiale, si fanno strada figure espressione del ceto impiegatizio, ma anche tecnici e qualche sindacalista con alle spalle una carriera nell'apparato burocratico della federazione provinciale, i quali assumono incarichi di un certo peso, come quello di segretario amministrativo o di componente del Direttorio. In questo modo sembra prefigurarsi, sebbene in maniera timida e non paragonabile a quanto accade in altre province, l'affermazione «dal basso e dalle periferie [di] una nuova classe dirigente del regime totalitario»2. Nel corso degli anni trenta dunque, sebbene tra molteplici difficoltà di natura anche economica, il Pnf riesce a dare vita in provincia a una struttura organizzativa in grado di penetrare e inquadrare la società locale. Peraltro, l'afflusso costante di contributi concessi da enti pubblici diversi (amministrazioni provinciali, comunali, Consiglio provinciale dell'economia) e soggetti privati (la Società "Terni" in primo luogo, ma anche altre aziende) a un partito alla continua ricerca di risorse, che la documentazione amministrativa della federazione ternana ha permesso di verificare, rappresenta testimonianza esemplare degli sforzi profusi dal regime per rendere il Pnf un volano di sviluppo del peculiare welfare funzionale alla fascistizzazione della società locale. In questa prospettiva, il rapporto con la Società "Terni" si è rivelato una chiave di lettura che non è possibile trascurare se si vuole comprendere la natura dell'esperienza fascista in provincia di Terni. Si è visto che la stessa nascita della nuova Provincia è connessa alla questione del controllo delle acque del sistema Nera-Velino, presupposto essenziale per la creazione dell'impresa polisettoriale; così come la stipula della convenzione tra il Comune di Terni e la società guidata da Bocciardo, sanziona di fatto in maniera prepotente la forza non solo della grande azienda, ma l'affermazione dello stesso "centro" sulla "periferia". Da quel momento e anche dopo l'inserimento della "Terni" nel sistema delle partecipazioni statali attra- 2 Marco Palla, Il partito e le classi dirigenti, in Renato Camurri, Stefano Cavazza, Id. (a cura di), Fascismi locali, "Ricerche di Storia politica", a. X, nuova serie, dicembre 2010, 3/10, p. 296. 6 verso l'Iri, operazione che garantì allo Stato il controllo pubblico sull'azienda e sul suo assetto produttivo, la grande impresa per il fascismo ma, più in generale, per la stessa società locale diventa emblematicamente una madre-matrigna. Essa viene percepita come un complesso capitalistico che invade la città e, con i suoi vertici, in grado di dialogare con il centro e, anche, direttamente con il duce, si pone rispetto al Pnf locale in una situazione super partes. Non è così casuale che i federali presentino come risultato della loro azione politica i buoni rapporti che riescono a intrattenere con i vertici aziendali, i quali peraltro si dimostrano costantemente impermeabili all'influenza della federazione fascista. D'altra parte, a partire dalla stipula della convenzione del 1927 e per tutto il decennio successivo la "Terni", insieme al partito, appare senza alcun dubbio uno dei pilastri del regime in provincia. Non soltanto sostiene la federazione provinciale con contributi costanti, essenziali per assicurargli la possibilità di svolgere la propria azione sul territorio; ma, più in generale, con tutto il suo peso di grande gruppo polisettoriale sposa in pieno le politiche economiche, sindacali, sociali del regime, garantendo allo stesso le condizioni per affermare «un sistema di aggregazione/costruzione del consenso/controllo sociale e politico che si adegua al modello del regime reazionario di massa»3. In queste dinamiche si inserisce anche, per quanto è stato possibile accertare in relazione alle fonti disponibili, l'atteggiamento tenuto dalla Chiesa cattolica locale nei riguardi del fascismo. L'analisi condotta con riferimento specifico alla diocesi di Terni-Narni e al vescovo Cesare Boccoleri che la guida nel Ventennio fascista, ha permesso di accertare che, come succede in altre diocesi italiane e coerentemente con le scelte fatte dai vertici vaticani, la Chiesa ternana sembra tenere una posizione di sostanziale appoggio al fascismo e di collaborazione con il Pnf. Ciò emerge in maniera evidente in alcuni momenti: ad esempio, in occasione delle campagne promosse dal regime sul terreno economico e sociale, come per la Battaglia del grano e, soprattutto, dopo la stipula del Concordato, o nel corso della guerra d'Etiopia e di Spagna. Al tempo stesso, anche quando si hanno tensioni nei rapporti tra Stato e Chiesa (per effetto della crisi del 1931 sulle prerogative dell'Azione cattolica o in occasione dell'introduzione delle leggi razziali), le conseguenze concrete per la Chiesa locale sono di scarso rilievo e, comunque, tali da non incidere sostanzialmente sulla natura dei rapporti esistenti con la federazione fascista. Anche la Chiesa locale quindi, sebbene con l'obiettivo di preservare e, per quanto possibile, incrementare la presenza cattolica nella società locale, contribuisce nella sostanza a consolidare e, anche, ampliare il consenso al regime. In particolare, essa si dimostra attiva nel favorire, specialmente nelle aree rurali, quell'azione di «modernizzazione politica» di natura reazionaria, conseguenza del tentativo di organizzazione della società italiana secondo criteri gerarchici e accentratori, che il fascismo è impegnato a portare avanti in periferia. Certamente, un ruolo essenziale ai fini della creazione e, soprattutto, del mantenimento del consenso lo esercita anche la costante opera di vigilanza e repressione di ogni forma di dissenso organizzato e di attività politica di opposizione, che si attua in provincia per opera degli apparati di sicurezza dello Stato fascista. Tale azione si rivela particolarmente efficace se negli anni del regime solo i comunisti, essenzial- 3 Renato Covino, L'invenzione di una regione, Quattroemme, Perugia 1995, p. 58. 7 mente nell'area industriale ternana, riescono a mantenere in vita, per quanto a fatica e in misura ridotta, una forma di opposizione organizzata. E tuttavia, il fatto che continuamente le autorità, sebbene nell'ambito del riconoscimento di quanto fatto dalle diverse organizzazioni del partito a favore del ceto operaio, lamentassero l'inadeguato grado di "comprensione fascista", quando non la scarsa fascistizzazione dei lavoratori delle industrie ternane e la loro "pericolosità" politica, sembra essere la conferma implicita di come in provincia, non solo non scompare l'insofferenza e il dissenso, anche politicamente organizzato, ma, più in generale, sotto la camicia nera, a prescindere dalla propaganda e dall'attività delle differenti istituzioni del regime, non vengono meno nemmeno gli interessi molteplici che contrassegnano la società locale e le diverse realtà presenti sul territorio. In ultima analisi, il fascismo locale appare in grado di esercitare un ruolo attivo nel disegno di fascistizzazione della società, coerentemente con l'accelerazione nel processo di creazione dello Stato totalitario di cui è strumento il Pnf staraciano. Il partito si rivela dunque un vero e proprio centro di potere, espressione di un regime autoritario e tendenzialmente totalitario, con cui, inevitabilmente, tutti i cittadini si trovano a confrontarsi per le necessità della vita quotidiana: in altre parole, a dover essere, almeno una volta nella vita, fascisti. ; This research project is an in-depth study, in a comprehensive and long-term perspective, of what Fascism represented at a local level in a peripheral and non-homogeneous context, as in the case of the Southern Umbria areas, established as an administrative province in 1927. This specific geographical district flagged-up all the prerequisites for an exemplary case study, featuring several significant explanatory points. To this unique large provincial administrative industrial hub located within the Terni basin, other districts, part of the same province, remained juxtaposed. Within their respective areas, these districts included towns such as Orvieto and Amelia, which had strong links with the neighbouring communities, representing the rural, agricultural and mezzadrile aspects of Umbria, land of Saint Francis of Assisi, rich in art and religious meanings, which the Fascist Regime came to proclaim officially as the "heart" of Fascist Italy. On the basis of these introductory remarks, the study focuses its scope of research on three main points, all but essential to understand fully the aspects and dynamics of the local society during the Fascist period, also referred to as the ventennio mussoliniano. An interpretative functional grid has been designed with a view to describe the role of the National Fascist Party (Nfp) within the centre-periphery and continuity-innovation relationships with the previous regime. The study seeks to investigate how Fascism exerted its influence on the establishment and process of strengthening of the local ruling ranks, attesting its ability to relate with the old dominant élites, or promote the emerging of new ones or, in addition, facilitate and support the coexistence of both. Furthermore, the research focuses on the role exerted by the Nfp at a local level, its capability to affect the various localised dynamics of power, to create and control networks of affiliates and, above all, to relate with the two main subjects which remained independent from its control, the important industrial group represented by "Terni" of Bocciardo and the local Catholic Church, with an overarching aim to achieve its totalitarian objectives. Finally, the question of popular consent has also been scrutinised. At one level, the study analyses the 2 role of fascist violence deployed to obtain power and the repressive actions carried out under the Regime, which were highly effective, as one might expect under a dictatorship. At another level, it investigates the popular dissent and the grey areas of passive acceptance and weak consent which were common among strata of the local population. Additionally, in a broader perspective, political and institutional historical analysis has been coupled with social and economic investigation, through a systematic scrutiny and cross-examination of the main sources, as a methodological approach needful to the achievement of the final outcomes of the research. Findings on the origins, development, and strengthening of Fascism within the Terni province appear to concur with the conclusions reached by previous historical research. In the Southern areas of Umbria, Fascism, at its highest level, was brought into power and successfully established by the traditional ruling classes. The establishment of Fascism was supported and facilitated by the agrarian reaction and the monopolistic industrial groups threatened by the discontent of the rural and working classes and the rapid advancement of Socialism. The political defeat of the traditional ruling élites at the 1919 general election and the 1920 local elections, which followed the social turmoil of the so-called red biennium; the agreement of the 1920 patto colonico, disadvantageous to landowners; the occupation of factories, though a brief and contradictory experience, against a background of economic difficulty, caused their reaction and prompted their acceptance and support for Fascism. Firstly, Fascism, in the form of Fascist action squads and their capability of defeating its opponents militarily, with the extensive assistance of the State security services, then as an electoral block and political force capable to achieve power, presented itself as a sort of union sacrée against the threat of Bolshevism into which various groups appear to converge: the agrarian conservatism but also industrial and more modern forces. Undoubtedly, Fascism drew together different political forces, which during the first decade of the twentieth-century had been mutually antagonistic, and segments of the complex and divided political establishment of the Giolitti era. The scrutiny of the highest levels of the local Nfp and civil servants has revealed that, at least till 1927, the main political figures belonged to those forces already part of the agrarian block. Firstly, the landowners, many of whom belonged to the local nobility, supported by members of the professional bourgeoisie, whose estates and wealth had augmented during the nineteenth- and twentieth-century, and other sectors which were the direct expression of the rural milieus, such as the rural agents, farmers, but also those peasants whom, during the first two decades of the twentieth-century, had succeeded in becoming landowners themselves. Therefore in the Terni province, from the establishment of the Fascist regime to the introduction of the office of podestà and, for some time even after, 3 the highest offices of the municipal and provincial administration were held by members of the local nobility, primarily aristocrats, landowners and professionals. This is an invariable characteristic which put the Terni province in alignment with similar situations in Tuscany, Emilia Romagna and other areas of Southern Italy. The administrative reform and the establishment of the podestà authority, together with the prerogatives of the prefectures in appointing members of the highest offices within the municipal administrations, did not radically change, at least during the early phases of the reform, established practice. A survey of the municipalities located within the Terni province, shows that the prefects in the selection process to appoint the podestà took greatly into account the candidates' social and economic status of and, without doubt, a honorific title and tenure of highly considered profession were often sufficient criteria for a candidate to be nominated even when lacking some of the prescribed requisites as outlined by the administrative reform. The Fascist regime therefore, in perpetuating a bureaucratic and grandees system, showed an intention to reassure the existing ruling élites and obtain the support of the local population. A prosopographical analysis of the biographical profiles of headmasters, members of the provincial advice bureaus, podestà, members of the municipal advisory councils, during the 1926-1943 period, has made it possible to outline a summary framework which strongly corroborates the analysis carried out at a national level by Luca Baldissarra over a decade ago.1 What has emerged from this analysis is the class-based character of the Fascist political and administrative representation during those years, though presenting various differences linked to the social and economic specificity of the area scrutinised. In more depth, the study carried out on a corpus of 147 civil servants (78 podestà and 69 prefectural officers) employed by the municipalities of the province during the examined period, made it possible to draw up a profile of the typical officer: between forty and fifty years of age; highly educated (having achieved a high-school or university degree); often a landowner, a characteristic consistent with the social and economic structure prevailing throughout the province, and among whom the status of self-employed (generally lawyer or public notary) represented the most frequent professional position held. Relations between the podestà and the Nfp appear to have been particularly close, over half of the sample identified is composed by individuals who had joined the Fascist Party at an early stage, during 1920-1922; additionally, the majority of the appointments made by the prefects were agreed in advance with the Provincial Fascist Federation. It would therefore appear that during the 1930s, in 1 Luca Baldissara, Tecnica e politica nell'amministrazione. Saggio sulle culture amministrative e di governo municipale fra anni Trenta e Cinquanta, Il Mulino, Bologna 1998. 4 large areas of the province, the highest hierarchies of grandees were the prominent figures holding local high office. The industrial area comprised within the administrative territories of the two municipalities of Terni and Narni, however, appears to contrast with other districts of the province. In this area, as for similar cases in other municipalities or other regional administrations, the Nfp supported the emergence of members of the small and medium local urban bourgeoisie, as the office of podestà became a vehicle of social advancement and an opportunity to climb up the local hierarchy of power. Despite the apparent pacification established forcibly by the Fascist regime, the dynamics of power within the local government remained characterised by extreme unrest and strong conflict at various levels. The sizeable number of prefectural commissioners and remunerated podestà who succeeded in office, often in rapid succession, bears witness to the instability which marred almost all the municipal administrations of Terni province. This is evidence of the obstacles encountered by the prefects during the selection process of a qualified managerial class but, above all, of the resistance put up by the traditional élites of power, motivated by divergent interests and loyalty to various networks of familial and personal relations, to the process of homologation pursued by the Fascist regime. Undoubtedly, the Fascist regime, in implementing a model of podestà based on competence, on the energetic ability to act, on its alignment to official directives, and in order to achieve a modernisation of the administrative system, aimed at placing the local authorities under the prescriptive control of a centralised State. The actual administrative actions implemented by the local administrative offices, frequently under the guidance and pressure of the Prefects, as for example in the case of the accomplishment of public works functional to the civil mobilisation of various segments of the local community, became a measure of their efficiency and, above all, a measurement of how industrious the local administrators should be. The high turn-over of podestà is a clear indication of how difficult it was for the Fascist regime to implement its plans of action in peripheral areas. Additionally, direct intervention by the Prefects was often necessary to put an end to rivalries and internal power struggles which frequently broke out among local élites. These clashes and their manifestations appear to be similar in their dynamics, as pointed out by previous studies, to other cases occurred in different municipalities, provinces and regions. Resorting to anonymous letters, official complaints, accusations, came to represent the instrument to attack and weaken the opposite factions at a local level, within the municipalities, but also within the provincial administration, among the various representatives of the local administration and even the highest offices of the Terni Fascist Federation. From 1927, following the establishment of the 5 Province and the set up of political and administrative authorities in Terni, now seat of local government, a new phase emerged for the local Fascist Party too. The study of this new province has facilitated the understanding of its relations with central authorities. The establishment of this new local administration was the result of various circumstances linked to the political requirements of the Fascist State following the transition to a totalitarian regime. Additionally, the internal conflict dynamics of the regional Fascist Party played an important role. These led to the inner pacification of the Party and the set up of a Nfp Provincial Federation. Finally, the establishment of "Terni" had a pivotal role too. "Società Terni" (also referred to as "La Terni") came to represent the real "strong power" of the province, capable of imposing a factory regimen based partially on paternalistic assistance and partially on a truck-system model. The Fascist regime dealt directly with "Terni", bypassing the newly-established Nfp Provincial Federation and, where necessary, intervened to impose its authority, as the political and personal vicissitudes of Elia Rossi Passavanti, the first Federal secretary and podestà of Terni, exemplified. In this perspective, drawing together personal and professional career paths of the highest officers (prefects and police commissioners), of both political (federals, deputy federals, administrative secretaries, members of the Fascist Federation Federal Bureau) and economic authorities (members of the Provincial Economic Council, members of the Provincial Corporations Council and of the main bank) has represented an invaluable study, conducive to the understanding of the Nfp's role within the province and, in addition, of the political dynamics at play among the Fascist Party and other authorities, such as the prefectures. With specific reference to the prefects, it is worth noticing that of the nine prefects in office in the Terni province during the period under scrutiny, as many as six were Nfp members. This situation, however, did not necessarily imply a spontaneous collaboration between the prefectures and the Fascist Federation, but it would appear to have been a response to the need of overcoming the conflictual antinomy between the two authorities, which was a recurrent event throughout the Terni province. In addition, the succession of twelve Federals as leaders of the Fascist Party bears witness to a pervasive instability, a fact which is also confirmed by the noticeable preference given to individuals, as many as nine, unconnected with the local milieu. This is certainly a clear manifestation of the local Fascist Party's weakness - which appeared unable to express and produce capable managerial ranks - and of the evolution of the Federal Secretary's role, becoming more and more a professional one, in the context of the remarkable bureaucratisation of the Nfp, aimed at strengthening its mediatory and interventional role on the local administration, one of the main characteristics of the Nfp 6 under the leadership of Starace. Within this framework, the contrast between the prefects and the Fascist Federal secretaries during the 1930s, with regard, as a case in point, to the appointments of the podestà, and the crucial utilisation of official complaints and anonymous letters, bears witness to the Party's attempt to impose its decisions or, at least, to influence the administration at a local level. This, in turn, resulted in a situation of polycracy, which was one of the factors denoting local politics during the Fascist regime. During the 1930s, despite deep rooted conflict among the authorities, the internal power struggles within the Nfp and the endemic ineptitudes of the ruling class, the Fascist Provincial Federation was successful in exerting and promoting the fascistisation of the local community. It is manifest that the highest authorities within the National Fascist Party, with the exception of the Federals and their closest advisors, remained the domain of the original Fascist core, composed by members of the rural class and the bourgeoisie originating primarily from the Terni area. This explains the inadequate generational change within the Fascist Federation and, in addition, the political and economic importance of the Terni area in comparison to the entire province. These political figures were part of the various Federal Bureau and, in some cases at the same time, if the law permitted, held additional offices in different institutional bodies, such as the Economic Provincial Council or were in charge of the main local bank. On the contrary, the influence exerted on the high levels of the National Fascist Party by the small bourgeoisie or by members of the working class remained negligible. It was only with the approach of the Second World War that members of the clerical class, but also technicians and a few tradeunionists already employed within the bureaucratic structure of the Provincial Federation, acquired an enhanced importance and gained access to higher office, such as administrative secretaries or members of the Federal Bureau. The Terni area too, though in a more limited way, which bears not comparison with other provinces, saw the rising «from the bottom and the periphery of a new ruling class within the totalitarian regime»2. During the 1930s therefore, despite various difficulties, including economic issues, the Nfp was successful in creating at a provincial level an organisational structure capable of influencing and organising the local community. Additionally, the regular flow of financial contributions bestowed by various public authorities (provincial administrations, municipalities, Provincial Economic Council) and private companies ("La Terni", first of all, but other businesses too) to a political party constantly seeking financial backing, as thoroughly documented by records of the Terni Fascist Federation, bears witness to the outstanding efforts the Regime made to 2 Marco Palla, Il partito e le classi dirigenti, in Renato Camurri, Stefano Cavazza, Id. (a cura di), Fascismi locali, "Ricerche di Storia politica", a. X, nuova serie, dicembre 2010, 3/10, p. 296. 7 successfully present the Nfp as a conducive mean to the development of this specific welfare model, with a view to promote the fascistisation of the local community. In this perspective, the Nfp's relation with the "Società Terni" is key to understanding the nature of the Fascist Regime and its role within the Terni province. The establishment of a Province was connected to the control of the water-system of the two rivers Nera-Velino, essential to create an industrial hub; similar reasons were behind the agreement stipulated between the Terni municipality and the Bocciardo Company, which came to sanction resolutely the importance of the Company and, additionally, the supremacy of the "centre" over the "periphery". It was from this period and following the inclusion of "Società Terni" within the system of state-controlled industries through the Institute for Industrial Reconstruction, a transaction which secured State control over the Company and its productive branches, that "La Terni" became firmly linked to Fascism and, more in general, to the local community, though in a controversial and ambivalent mutual relation. The Company was perceived as a capitalistic enterprise which took over the city, its directors being able to negotiate with the central Government directly and with the Duce himself, taking a super partes position in relation to the local Nfp. It was not a fortuitous occurrence that the Federal secretaries gauged their political influence against the effectiveness and strength of the relations they were able to maintain with the executive directors of "Società Terni", whom, on their part, appeared to be impenetrable to any influence exerted by the local Fascist Federation. Additionally, following the 1927 agreement and during the ensuing decade, "La Terni", in conjunction with the Fascist Party, appeared to become, without doubt, one of the main pillars of the province. At one level, it supported the Fascist Provincial Federation through a constant flow of financial contributions, vital to bankroll the Federation's activities within the province; but, at a more general level, asserting its influence as a large industrial group, it was capable of shaping the economic, trade-union and social policies of the Fascist regime, creating those conditions to establish «a system of aggregation/disaggregation of the social and political consensus/control conforming to the mass reactionary regime model»3. Within this dynamic interactions, and on the basis of documents available, the local Catholic Church played a significant role in relation to the Fascist Party. With reference to the specific case of the Terni-Narni dioceses and bishop Cesare Boccoleri, the Church's main leader during the Fascist ventennio, this research has showed that, as in the case of other Italian 3 Renato Covino, L'invenzione di una regione, Quattroemme, Perugia 1995, p. 58. 8 dioceses and in alignment with the decisions taken by the Vatican, the Church authorities in Terni supported the Fascist apparatus and adhered to a policy of collaboration with the Nfp. This was particularly manifest on specific occasions: for example during the economic and social campaigns promoted by the Regime, as a case in point the so-called "Battle of the wheat" and, above all, following the 1929 Concordat with the Catholic Church, or during the Ethiopian and Spanish conflicts. At the same time, even when tensions arose and marred the relations between the Fascist regime and the Catholic Church (following the 1931 crisis caused by the limitations imposed on the prerogatives of Azione Cattolica or the adoption of the 1938 racial laws), the consequences for the local Church were negligible and did not appear to affect the on-going relations with the local Fascist Federation. The local Church therefore in pursuing the aim of preserving and, wherever possible, augmenting the Church's influence on the local community, contributed to reinforce and widen consensus for the Fascist regime. More specifically, the Church's actions were particularly effective in encouraging, especially in rural areas, that precise process of "political modernisation", though reactionary at its core, based on organising the entire Italian society on hierarchical and centralising criteria, which Fascism was promoting particularly at a local level. Additionally, and without doubt, the important function to create and, above all, to maintain a high level of consensus was exerted by the pervasive surveillance and repression of any form of dissent and political opposition, enforced within the province by the Fascist security services. A repressive action which was extremely effective and, during the dictatorship, only the Communist Party, despite being hemmed in to the Terni industrial area, was able to maintain, albeit with great difficulty and in a limited way, a form of organised resistance. The fact that the Fascist authorities continuously, though recognising what had been achieved by the Party's multifarious organisations to favour and support the working classes, lamented the feeble "fascistisation" of the Terni industrial workforce and their being "politically dangerous", would appear to confirm implicitly that throughout the province the opposition and political dissent had not completely ceased. More in general, under the "black shirts", despite the propaganda and the activities of various Fascist authorities and institutions, it remained evident that the diversified interests which characterised the local society and the different realities rooted at local level persisted. Ultimately, the local Fascist Party appeared capable of exerting an active role in the "fascistisation" process of society, in alignment with the creation and implementation of a totalitarian state, being the main objective of the National Fascist Party under the leadership of Starace. The Nfp was therefore a real centre of power, expression of an authoritarian 9 regime leaning toward totalitarianism. A regime against which all citizens had to relate for their everyday life needs: that is to say, all citizens had to act, at least outwardly, as fascists.
Issue 28.4 of the Review for Religious, 1969. ; EDITOR R. F. Smith, S.J. ASSOCIATE EDITORS Everett A. Diederich, S.J. Augustine G. Ellard, S.J. ASSISTANT EDITOR John L. Treloar, S.J. QUESTIONS AND ANSWERS EDITOR Joseph F. Gailen, S.J. Correspondence with the editor, the associate editors, and the assistant editor, as well as books for review, should be sent to R~EVIEW FOR RELIGIOUS; 612 Humboldt Building; 539 North Grand Boulevard; Saint Louis, Missouri 63~o3. Questions for answering s.hould be sent to Joseph F. Gallen, S.J.; St. Joseph's Church; 321 Willings Alley; Philadelphia, Pennsylvania + + + REVIEW FOR RELIGIOUS Edited with ecclesiastical approval by faculty members of the School of Db.'inity of Saitxt Louis University, the editorial ottices being located at 612 Humboldt Building; 539 North Grand Boulevard; Saint Louis, Missouri 63103. Owned by the Missouri Province Edu-cational Institute. Published bimonthly and copyright ~) 1969by REvIr:W. voR REt.mlOt:S at 428 East Preston Street; Bahimore, Mary-land 2t202. Printed in U,S.A. Second class postage paid at Baltimore, Maryland and at additional mailing offices, Single copies: $1,00. Subscription U.S.A. and Canada: $5.00 a year, $9.00 for two .years; othei countries: $5.50 a year, $10.00 for two years. Orders should indicate whether they are for new or renewal subscriptions and should be accompanied by check or money order paya-ble to REVIEW FOR RELIGIOUS in U.S.A. currency only. Pay no money to persons claiming to represent REVIEW FOR RELIGIOUS. Change of address requests should include former address. Renewals and new subscriptions, where ac¢om. panied by a remittance, should be sent to REVIEW VOR RELIGIOUS; P. O. Box 671; Baltimore, Maryland 21203. Changes of address, business correspondence, and orders not accompanied by a remittance should be sent:to REVIEW FOR RELIGIOUS ; 421:1 East Preston Street; Baltimore, MarTland 2120'2. Manuscripts, editorial cor-respondence, and books for review should be sent to REVIEW FOR RELIGIOL'S; 612 Humbold t Building; 539 North Grand Boulevard; Saint Louis "Missouri 63103. Questions for answering should be sent to the address of the Questions and Answers editor. JULY 1969 VOLUME 28 NUMBER 4 SISTER ELAINE MARIE PREVALLET, S.L. Reflections .on . Pr a and Religious Renewal It is fairly commonplace today that in all the talk of religious renewal the most neglected area is that of prayer. One might hazard the guess that this area is one of the most basic and most in need of rethinking and genuine renewal; one might also hazard the guess that people do not talk in depth about it because they do not know what to say. Like other areas of.renewal, there is question of what can be changed and what must remain. iEqually, there is growing realization that it will not be su~ient, to change the horarium and the outward form ur:less there is also renewal of the inner dynamic of /, prayer. To change structure may indeed be the likeliest ',,.¢-,way to achieve the change in process and attitude. If that is so, as the structure begins to change, new develop-ments in our understanding of prayer may arise from the life and experiences of renewal-minded religious com-munities during the next decade. What will be needed, however, is much sharing of and reflection upon the experience of religious, and sensitivity to new insights into the character of their prayer. We shall attempt here only to indicate some general areas of difficulty or de-velopment which characterize our present situation; Two observations may be in order at the outset. First, the difficulty with the concept of prayer is no doubt due to the pace and noise of modern society; but it is, I believe, more largely due to the crisis of faith which characterizes our age. When the basic notion of God is under so much scrutiny, and when one finds so much un-certainty as to the meaning and validity of believing in God at all, then obviously the concept of pra~e.r cannot remain untouched. For the nature and meaning of prayer will be determined by the character or concept of the one to whom one prays. Even though our under-standing of God must be constantly changing and growing, yet it must be in some fundamental way secure 4- Sister Elaine Ma-rie, S.L. is the chairman ol the de-partment of theol-og~ at Loretto Heights College; 3001 South Fed-eral; Denver, Colo-rado. 802S6:!2, ~ VOLUME :28, 1969. ÷ ÷ ÷ REVIEW FOR RELIGIOUS 532 in faith. If we are not sure of God or it we do not know what our relationship to Him is, we cannot, be sure ot praye~---whether we should pray or how much we should pray. Hence, the difficulties in prhyer are closely tied to difficulties in faith.1 Secondl), it seems to me an unnecessary obfuscation of the issue to speak ot work as prayer. Prayer must, ot course, have an intimate connection with life and must therefore be related to work; but it aids neither our understanding nor our prayer to say that work is prayer. Prayer, as I shall refer to it, contains an essential com-ponent ot consciousness, reflection; it includes what has traditionally been named meditation. It may indeed occur that one prays--reflects upon meanings and values in the light ot the gospel message or one's understand-ing ot God--while one works. But to equate the two seems to me to be playing with words, the result being the loss ot the meaning ot prayer. Reflection takes time, effort, concentration. We are not a patient society, not used to being quiet; we are used to looking tot quick pragmatic results. Prayer demands patience and quiet; and it will often produce no immediate, demonstrable result. Hence, the tendency is to want to leave prayer aside, and one way ot doing this is simply to make facile verbal equation between work and prayer. The;~is~ sue is then quickly settled. When we are lett to our own in the matter that is, it we have provided no set time or place or fre-y.~] quency-~our experience will probably be that prayer will, sooner or later, simply drop out ot the picture. It will be pushed out by more immediate demands, more concrete "work to do." Yet it seems essential that the lives ot religious have a dimension ot depth and that religious themselves have what might be called a con-sciousness ot ultimacy. They must have a certain steady perspective, a clear focus. They must have this, not just for themselves, but [or others, as part of their service. Yet, in the immediacies that make up daily living, perspective and focus are easily lost; depth quickly turns shallow and empty. It seems necessary, then, to provide for oneself time and quiet to ponder meanings and values in the light ot the gospel message or in the light o[ one's understanding ot God. It is necessary to deepen one's understanding o[ faith, to reflect on the meaning ot God's loving presence. Finding God in prayer is a necessary concomitant to recognizing His presence in XA good treatment of this situation is given by Douglas Rhymes, Prayer in the Secular City (Philadelphia: Westminster, 1967), espe-cially pp. 12-25. all things. Obviously, this is saying nothir~g new. It is simply reasserting the value of balancing action with contemplation.2 Let us now consider some perspectives which may prove valuable to the development of prayer at the present time. Christianity and Personalism From all sides we become aware that we are living in an age of "the person," an age which has a new realiza-tion of the value, the uniqueness, the importance of the human person. In this context, Christianity shows itself as eminently propounding the value of the human per-son: the Christian revelation of God as Trinity is, after all, a revelation of God as personal, as communicating Persons. The Incarnation speaks of the personal love of God for man and His desire to be in communion with man; the Resurrection of Christ speaks of the continuing possibility for man to be in personal communion with God through the humanity of Christ. These three central dogmas of the Christian mystery indicate that man's re-lationship with God is a deeply personal one, allowing whatever is deepest and most unique in each man to find its expression and its fulfillment in his relationsh.ip with the Divine Persons. If we seek to understand prayer, therefore, we may well begin with simply this affirmation of man as person and God as Persons. We may move from that to a second affirmation, equally involving the dimensions of person, and speak of presence. For the possibility of being per-sonally present to another is one of the highest preroga: tives of man. Here again the Trinity speaks of personal presence as belonging to God Himself; the Incarnation speaks of the presence of God to man in Christ, and the Resurrection speaks of the continuing presence of the risen Christ to His followers. If we wish a basis for personal prayer, we need no other starting point than these fundamental Christian affirmations. We can under-stand personal prayer as involving the presence of the Three Persons who are God, and, most especially, the presence of the risen Christ. To be conscious of this presence requires faith, but also deliberate effort--time and concentration--to reflect upon the faith-datum and its significance. ~ We do not wish to assert priorities here; it is not a case of either/or, but of both/and. Equally, we do not wish to deny that when faith is deeply lived, there need be no disjunction, between work and prayer. But given our human situation, it seems safe to say, minimally, that thought is necessary for finding and maintain-ing meaning and perspective. -:;- ", -- 4- ÷ ÷ Prayer and Renewal VOLUME 28, 1969 Sister Elain~ Mari~ REVIEW FOR RELIGIOUS Individual Prayer We can move from here to ask what characterizes the relationship between the risen Christ and the believer, and therefore what the qualities of prayer will be.~ We can treat these briefly under the headings of love, need, and thanksgiving. If we examine any love relationship, we will find that it always involves a personal petition to be accepted and loved by the other. Hence love always involves prayer to the other--a petition, implicit or explicit, for under-standing, for acceptance--simply for communion. In the last analysis, what any such prayer seeks is com-munion of heart and mind, reconciliation of under-standing and wills. Expressed simp!y, we want to be one with the person to whom we are praying:' we want him to understand our prayer, and we want to understand him as he receives our prayer. It is here that meditation on the life of Christ in the Gospels finds its importance. For the risen Christ now is the same Christ who lived the inciden~ ts portrayed in the Gospels; He is now, as it were, the result of the experiences which He assimilated dur-ing His earthly life. The mysteries of His life on earth live on in Him, and they must be entered into by any-one wishing to know Him as He is now. To use an analogy: I am as I am now because of what has hap-pened to me in the past. Anyone who wants to under-stand me deeply ~nust understand certain of the signifi-cant experiences that have formed me, have given my life direction. And in the measure that another under-stands in a deep and compassionate way my past, in the measure that another has been able to enter into my past, to experience it with me, the other will under- Stand me. So in our attempt to come to union of heart and mind with Christ: insofar as we penetrate the experience de-picted in the gospel, we come to understand the living Christ who is now as He is because of those experiences. If we want to know the Christ whom we are petitioning, then we will need to know Him through the Gospels.* Further, in any love relationship, the one whom we love finally determines both the character and the con-tent of a prayer; in some sense then, the one addressed in prayer has a major role in creating the prayer. We * Much of the following is drawn from M. Nddoncelle's analysis in God's Encounter with Man (New York: Sheed and Ward, 1964). * For a more detailed and carefully nuanced presentation of the place of contemplation of the Gospels in Christian life, see David Stanley, "Contemplation of the Gospels, Ignatius Loyola, and the Contemporary Christian," Theological Studies, v. 29 (1968), pp. 417--45. will ask for what the one petitioned can give, and we will ask it in a way we know to be acceptable to him. Reflection upon this will perhaps give a direction for thinking about the questions so often posed these days: why should I pray? for what should I pray? If one re-flects that the one receiving the petition is God, loving and personal, then one might conclude that one could ask God for anything, for nothing is impossible to Him. However, if one considers more deeply the person of Christ, and, knowing Christ, knows also His deepest concerns, then one would be led to pray not for trivia but to seek in prayer a communion in His concerns. The Christ of the Gospels has as His deep concern the genuine well-being of men, their relationships, their dignity, their fulfillment. Our prayer, then, if it really considers the one petitioned and seeks communion with Him, will result in a sharing in His concern for men, communion in His outlook with respect to the needs of men, communion of understanding of the Christian task. Thus, if we have sought genuine com-munion with Christ, our prayer will impel us outward-- to meet the needs o£ the neighbor. This means also that we need not leave behind or abstract from our own daily living and working in prayer, but rather that we try to come to see how Christ's concern, His outlook, His understanding, can be translated by us into our con-crete situations. From the other side, the one petitioned would want to understand us as we approach him in prayer--why we pray, what its content means, and to respond in the way that will fulfill the deepest need of the one praying. Love does not refuse the petition of love, yet must be at liberty to answer as love knows best. Hence prayer can never be an effort at manipulation; it can never seek to use the other as the instrument of its own advance. Love approaches the autonomy of the other, approaches him freely and leaves the other free in response. Again, then, love is seeking nothing so much as communion; it is entering into the myster~ of the other, it is allowing two freedoms to meet, it is allowing its own develop-ment to be charted by the free response of the other. Prayer will accordingly always contain an element of surrender. But we can approach prayer also from the angle of existential human need. To seek communion with an-other is really to seek to fulfill a deep human need--the need to come to terms with human existence as incom-plete, to free oneself from self-sufficiency. To recognize one's own need, to approach another in need is, con-trary to our tendency to sufficiency, deeply human and + Prayer and Renewa! VOLUME 28, 1969 Sister Elaine Marie REVIEW FOR RELIGIOUS 536 deeply fulfilling. To pray to another is to offer oneself as apprentice, to be willing to learn, to admit that we do not know or cannot do, that we are not in complete mastery of the course of our destiny, that we do not always perceive the meaning of events. Being ready to admit our insufficiency and approaching Christ to try to see things as He sees them, to seek thus a reconciliation of our mind and heart with His is already fulfilling an existential demand: that we, humanly, are limited, are needy, that we find fulfillment only in communion. To pray, then, belongs to the truth of human nature; it is an impulse that genuinely expresses and fulfills a deep need of human existence. The attitudes of love and of need come together in the basically Christian prayer of thanksgiving. For we turn to Christ as the effective sign that we are loved by God, that His love has touched our humanity and opened it. In relationship with Him we recognize that our human need is not a burden but a joy, the joy of being creatures, the joy of being redeemed and accepted as sons of a loving Father. In Christ, then, we need not make a pre-terise of sufficiency but can freely and lovingly admit our need and turn to him for acceptance, for a perspective which is fuller than our own and can complete and cor-rect it. Because we are creatures in need, yet because He lives to be in loving communion with us, our prayer of need is already thanksgiving. For our deepest existential need is to be accepted and loved as we are and thus brought to transcend ourselves. Communion with God in Christ can do this in a way that no human communion can. It is Christ who most fully recognizes and accepts the human condition as creaturely, as unredeemed, and who exists only to meet us "where we are," and to bring us beyond ourselves to the Father. When we turn to Christ in prayer, it is then already thanksgiving that He is there, that He knows us and loves us as .we are, that we can be in communion with Him. Community Prayer What distinguishes community prayer from individual personal prayer is, obviously, the presence of the com-munity. But this factor can provide us with some ma-terial for reflection. We may start with the premise that each individual has been touched and loved by God; each is uniquely related to God in Christ. Further, each individual has his own gift for the building up of the Body of Christ. For a community to be a community in any profound Christian sense, there must be among the members a sensitivity to the part played by each, an ap-preciation of the unique gift which, each possesses, a willingness to help each other be what he or she is in- tended to be. There must be a sense of belonging to each other, of being for each other, of affecting each other by what each says and does and is. There must be, then, some sense of communion. It is perhaps precisely the phenomenon of the com-munity that has been neglected in our previous methods of community prayer. If we take seriously the presence of Christ in each other, then .we have to admit that each member of the community may be a "word" of Christ to us. Community prayer might well include some oppor-tunity to listen to the word of Christ from within the community. This would presuppose that the members approach community prayer with the mentality of being "present" to each other, as well as to God; it would mean that we make some effort to be conscious and aware of the others with us at prayer, instead of regard-ing them as a source of distraction. The community at prayer adds a new dimension--the presence of Christ in each other--to our way of approaching Him in prayer. One might, in this context, suggest that some of the prayer we address to Christ ought, in fact, to be a prayer to the community. A prayer of loneliness, of weariness, of discouragement, might more practically be met by Christ in the community than by Christ addressed ver-tically. This implies, of course, great openness among the members of the community, sensitivity and receptivity to human needs. The basis for such prayer can be seen in this passage from Origen: Take the case of a man who is of the number of those who have acquired more than sufficient of the needs of life and charitably hears the request of a poor man who petitions God for his wants. It is clear that this man too will accede to the petition of the poor man. For he obeys the will of the Fa-ther who brings together .at the time of prayer the one who prays and the other who can grant the prayer and cannot, because of God's kindly provision, ignore the needs of the former. We must not, therefore, think that when these things hap-pen they happen by chance. For He who has numbered all the hairs on the head of the saints brings together in harmony at the time of prayer both him who can do a service, giving ear to him who is in need of His benevolence, and the one who devoutly prays? God answers men's prayer by bringing the community together so that men may, in Christ, meet the needs presented there. One may, evidently, speak one's need-- or in other words, pray--to Christ through the commu-nity, and it is in this way that He answers one's prayer. To do this in the explicit context of Christian prayer ÷ ÷ ÷ Prayer and Renewal sOrigen, Prayer, xi, 4-5; translated in Origen: Prayer, Exhorta- VOLUME tion to Martyrdom, trans. John J. O'Meara (Westminster: Newman, 1954), pp. 45-6. 537 REVIEW FOR RELI@IOUS 5S8 seems to provide a genuine opportunity of deepening one's faith in the presence of Christ in the community, as well as drawing attention to our responsibility to meet the needs of others--an end toward which prayer to Christ must always lead us. Further, it is our human experience of what it means to be related as persons that is always our prime analo-gate for understanding our relationship with God in Christ. Community prayer may provide us with deep experiences of what it means to be persons in commu-nity, and therefore might greatly aid our understanding of what we mean when we speak of God as Persons, or of the Trinity, Community prayer will be improved, it seems, if we consider it not only as individuals gathering to recite together the same prayer, but as individuals gathering, sensiti~ce to and aware of each other, to say who they are together: that they have common desires, common needs, a common faith. They can profess at once their faith in God and in each other, their trust in God and in each other. They may gather to say to God and to each other that they are sinful, that they need forgiveness from God and from each other. They may listen and respond together to Scripture or to other readings that would bring them together in communion with Christ in heart and mind, and in communion of conviction and purpose with respect to their task in the world. We do not wish to deny the value of structured com-munal forms of prayer such as the Divine Office. These can provide a welcome balance for the more personal, subjective form suggested above. We wish only to sug-gest that on occasion some way of acknowledging and being aware of the presence of each other in prayer may be an important factor in preventing community prayer from becoming formalized, and may be a way of keeping ~t relevant to the life and needs of the community. It becomes, then, a means of growth in faith and in love both for God and for each other, and thus a means of really creating genuine Christian community. If individ-ual prayer seeks communion of heart and mind with Christ or the persons of the Trinity, then community prayer must have as an added aim a communion of heart and mind with the community. It seems obvious that this is somewhat difficult if nothing is done to make one aware of the presence and needs of the community members. Community prayer must aim at making a conscious community in Christ--by sharing in ioy and sorrow, need and suffering with each other, in the presence of Christ. A community becomes a community precisely by acknowledging needs and praying to and for each other. A community, then, comes together to pray, but it is also formed into a genuine and meaningful commu-nity through its sharing in prayer. From a different angle, reflection upon our experience of the community indicates that all members of a reli-gious community do not have the same gift of prayer. Given the premise that each individual has his own gift for the building up of the Body of Christ, it seems evi-dent that some individuals are, by temperament and by gift, more disposed to prayer-.and reflection than others. Perhaps this is an area where the fruits of one's gift for the Body must be seen in a communal context: that if' we have in our community someone with a gift for prayer, we all share in the benefits of his or her reflec-tion, his prayerfulness. This in no way dispenses the other members not so gifted from any effort in this direc-tion. Each person must be concerned about acquiring the dimension of depth in his faith life, must be con-cerned about communion of heart and mind with Christ. Yet if it is our experience that even in religious commu-nities all do not have the same gift, we may profit from trying to understand that experience. All must be sensitive to this gift in their midst, ap-preciate it, and encourage its development. Equally, all can benefit from those who do have a special gift of prayer. But this implies that the one so gifted must be openhearted enough to share his insights and reflections, for this is part of the responsibility connected with the gift of prayer as contributing to the building up of the Body of Christ. Doubtless we need to reflect more deeply upon the matter of responsibility to and for the gift of prayer. No prayer is purely individual. All prayer be-longs to and is at the service of Christian community. Sacramental Prayer Sacramental prayer may now be ,seen as incorporating and epitomizing all the elements present in other forms of prayer. Christ is present to each individual who par-ticipates in sacramental action; each is uniqt~ely re-lated to Him. The community is also present--present there to each other and to God. Christ is present in the community. But He is also present, acting through the symbols used in sacramental action. Here, once again, we need to be conscious not only of ou.r vertical relationship to Him, but also of the other members of the community, aware of them and present to them. We need, further, to be conscious of how Christ is present in sacramental signs: we need to have reflected deeply upon the natural meanings involved in each of the sacramental signs, but also upon their specific Christian meaning, shared and understood by the com-munity. For Christ will act toward us according to the meaning of these signs. Each sign says something to us ÷ Prayer and Renewal~ VOLUME~281 1969, ".~ + ÷ ÷ Sister Eioine Marie REVIEW FOR RELIGIOUS 540 as individuals loved and touched by God, but also to us as a community. Sacraments are occasions when we gather as a community to celebrate, in specific, signify-ing ways, God's loving us and His acting through Christ in our midst. Ideally, then, sacramental action should include some opportunity for explicit awareness of the community. How this may be done with greatest effectiveness may vary. A communal celebration of penance might include, individual "prayer" to the community, or the commu-nity's praying together to acknowledge its communal blindness, inertia, and negligence, its need for forgive-ness, for Christ's redeeming love. It might include some action or gesture to signify forgiveness of one another as mediating, along with the sacramental sign, the forgive-ness of Christ. The Eucharistic prayer is more easily recognized as communal, since our eating of the one bread and drink-ing of the one chalice say that we already share, in Christ, a communion of life with Him and with each other. The signs of food, and Christ's presence to us through these signs, as well as the presence of the com-munity there, both say that we are creatures who need the sustenance and nourishment of faith and hope and love; we need this nourishment from Christ, but also from one another. This is eminently the sacrament of thanksgiving, as we return to God, in and with Ghrist, all that we have and are. The Eucharist is in a very real sense the highest point of our prayer, both individual and communal; it is the culminating point of our presence to and communion with Christ and the Chris-tian community. It should be an occasion of real cele-bration of our community in Christ. More thought will need to be given to the matter of celebrating, and how our awareness of each other, of our community, can be given recognition in Eucharistic celebration. Conclusion This is obviously only a sketch of some lines along which we might watch for development in the prayer life of religious communities. There is urgent need that religious be convinced of the value of prayer and de-termined to realize its value and meaning in forms suit-able for our times and within the thought patterns of our age. We have undertaken the task of wholesale re-newal of religious life, including its most mysterious dimension, that of prayer. If we fail in this task, some-thing deep and nourishing for our lives and the life of the Church will simply die. Only if we succeed will we find strength, vitality, and meaning to enable us to make our contribution to the Body of Christ in the twentieth century. It is worth our best efforts. EDITED BY THOMAS F. O'MEARA, O.P. Community and Commitment COMMUNITY There* is a new burst of awareness and[desire for com-munity both within and without the Church. The need for community lies deep in the heart of ~tlan. Religious and apostolic life cannot find its source} realization, or sign value simply in the fact that a gr~oup of men or women dress alike and perform certain ritual actions together Human relations are too profound, too deep 1y explore~, too important for this-superfiCial bond. Why do religious live in community? In some way it must be to enable and to enrich a human, Christian, apostolic, and celibate life. Each of these aspects calls for commu-nity and must find it or be frustrated. For-the present generation, isolated and made anxious by advancing technology, community is essential. A! new view of religious life must emphasize its importan.ce and its roots in the New Testament. Community exists to help the person develop as a person, to help the Christian develop !as a Christian. Community must be an adult familial ~ommunity, for this is basic to man. If a man does not create one through marriage, he must find another form, for man cannot live totally alone ~nd live healthily. R~.ligious commu-nity life, like the Christian individual, i~ a place where nature and grace meet. The charisms of the Spirit, the times, the heritage of the order, the psychological needs of persons are an array of aspects highl:ighting the im-portance of community. Community supports the indi-vidual in his apostolate; it gives hir~ direction and encouragement. But community is not jffst the backdrop * This article is excerpted from a paper feceS,' tly prepared by a group of midwestern Dominicans. The title ofI the ful.1 paper is "Towards a Theology of the Dominican Life in the United States Today." The article presented here has been edited b~ Thdmas F. O'Meara, O.P. I + 4- 4, Father Thomas O'Meara, O.P., is a member of Aquinas Institute School of Theology; St. Rose l~riory; Dubuqqe, Iowa 52001¢ " - . ; VOLUME 28;.1959: ¢'.,' 541 T. F. O'Meara, O.P. REVIEW I~OR RE~L[GIOUS ~2 for activity; it is essential to effective Christian life and apostolate. Apostolate and community are correlatives. Neither can be defined without the other. We are in-volved in a communal apostolate and an apostolic com-munity. We do not yet know how the rather recent re-discovery of the importance of community will effect a more profound level of community life; but we do know that for the United States and the American life style this rediscovery is extremely important, perhaps more important (and more advanced) when compared to the life style of Europeans. The previous form of routine, joint prayer (which is not the same as communal prayer), tolerant charity, frustrating or limiting obedience was insufficient. It often led to seeking a "family" outside of the priory rather than bringing friends into our family. The jurid-ical description of community is insufficient, since community is primarily a human and Christian, a psy-chological and socio-theological reality. Law can neither form nor direct true community; it can only give a very few boundaries beyond which community could not exist. From these legal lines to real community is a long road, but it is a road which the Christians could begin to traverse if they would emphasize grace, not law. If the Church is a microcosm of the world, the reli-gious community is a microcosm of the society in which it lives. The religious community should be a kind or type of Christian community, a model for it. By its very existence in communal sharing and dedication to preaching the gospel, the religious community shows it is not the world. But the religious community is in the world. It shares in human communities--in their life and in their structures. By baptism and vows we look to a special fulfillment beyond the merely social community of family and city. This is possible, however, only by listening closely to the insights of the gospel, to the Church, and to the contributions of the secular sciences. Psychology can be seen as a kind of praeparatio evan-gelica for healthy community life, for charity, maturity, honesty, joy, and dedication. We must learn what is the correct size for a community of men or of women, as determined by social and psychological studies; how a community can best be directed; what is the importance of work; whether one community needs a single apostolic goal or whether these can be pluralistic. Neither theology nor canon law have all the information on this; social psychology and management planning must help. We will see below that the community is the source of authority. The superior exemplifies the spirit of the community. He inspires and coordinates the ac-tivities of the community flowing from their life and work. He is not, primarily, a secretary, a bookkeeper, or a control center for daily life. The community should be open because Christian Iove is open; the community is mature and the superior a guide rather than a controller because this reflects the Christian (not the Jewish) idea of God. No closed community is happy. Jesus Christ was not closed in upon himself. Christian community-apostles must not be just intellectually open, but emotionally and psychologically open to change, to newness, to risk. To be such, the religious community must be physically open to the com-munities it borders. Religious communities cannot be fortresses, for these are anachronistic. Rather they must be dynamic centers of the Christian prophetic word en-gaging in conversation and cooperation with the world. Privacy and silence have a purpose, but they are not absolutes; they are ordained to dialogue and mission, and so cannot object to a reasonable openness of a com-munity to those for whom we exist. Just as vatican II showed that the world was vastly complex and different, and emphasized the local church as the New Testament does, so too a new view of reli-gious life will emphasize the local community. This is where religious life will be lived or will die out. The novitiate and a few houses of so-called strict observance cannot be the norm, especially in the United States where such a "norm" would be viewed as hypocritical. The local community will either attract novices to its kind of life or none will come, since young Americans are now attracted to concrete persons and what they are doing, not to ancient saints or romantic descriptions. The local community is all-important, and the province is seen as the coordinating center of creative and respon-sible local communities. VOWS IN C01V[MUNITY The Vows as Commitment to Christian Community and Ecclesial Apostolate The vows are directed towards community member-ship and activity. Since they are acts of persons, they have personal implications such as lasting celibacy, per-sonal mortification and denial, communal sharing, and so forth. But the community dimension can no longer be eclipsed by the personal; it is the community way of life which asks for celibacy; it is a particular level of apostolic efficiency and potential which requests poverty; and obedience is basically not the submission to one man's direction in the details of li[e, but the entrance into a community with its own necessary leadership. Vows are a lasting commitment to service through corn- Community and Commitra~nt VOLUME 28, 1969 munity for the kingdom of God. Obedience is commit-ment to community; poverty exists for service, peace, and equality; chastity is essential to this kind of dedication. Because of the importance of the New Testament record and an individual's commitment, we must have a Biblical theology of commitment-in-vows. We 'must have not only a Biblical theology of the vows, but a sociology and psychology of them as well. The vows are not re-straints but liberating influences. Are the vows the same as every and any commitment to a religious community? Do they have positive sign value today, as the Council de-mands they should? Does their nomenclature get in the way? Perhaps it is possible to see different levels of active commitment following evangelical counsels: these levels would be introductory (novitiate), temporary and termi-nal (auxiliaries), permanent but open to dispensation, and final. We must be wary of stating a theology of vows in terms of any dualism or any triumphalism. We cannot take for granted our identification of virginity with virtue, poverty with righteousness, or the religious life with a higher state. The vows, like the religious life, cannot be absolutes since they are means. How can Americans rediscover, emphasize, and expli-cate the goals towards which the vows tend. If these goals die out or escape achievement, the vows no longer have any real purpose. The keeping of a vow without any purpose or success is not in keeping with Jesus' reli-gious thought. Vows are means to love, to zeal, to open-ness, to adaptation, to maturity, to Christian apostolic success, to service. Vows do not permit us to have no concern for the future of ourselves or our society, to have no interest in others, to withdraw, to escape decisions and responsibilites, persecution and defamation, to es-cape the necessity of worrying about life and livelihood, to ignore the effectiveness of our community and the Roman Catholic Church. The purpose of the vows is to communicate Christ through a personal and communal life in God. 4. 4. 4. T. F. O'Meara, O.P. REV|EW~ FOR RELIGIOUS 544 Chastity A theology of religious chastity avoids every dualism. It never loses sight of the goodness of human emotions and sexuality, the permanent role sexuality plays in a balanced personality. Chastity is not a means of not-getting- involved in the world, of "avoiding near occa-sions of sin." Chastity is not a way of playing safe, nor are sins against chastity the most horrendous of the religious life, adding "malice" to sexual disorder. A re-ligious~ chastity can be a .selfishness of great proportions. Chastity must search seriously for its justification, and each must ask whether he justifies his living of a life which is not creative of human family; he asks this question not just once at perpetual vows but throughout his life. It is not at all clear that Americans today are more involved in sexual immorality than in the past, although they are certainly barraged with the glorification of sexuality. Still, the seriousness of not sharing one's life with another human being, the potential ambiguity of sexual abstinence, and the gift of creating a family should not be set aside easily. Does celibate chastity as a commitment to a community of Christian service have the theology and sign value for today it deserves? How do religious love in a human way? How is sexuality present in a love for the community and the world? Psychology must help to determine the dynamics and limitations of chastity in each individual, and the particular conditions which this or that province or house must take into ac-count. Chastity allows for a certain level of Christian dedica-tion to the apostolate and sanctity. It is academic to ask whether this is better or best, since only the individ-ual with his God-given vocation has a "place" in the sight of God. Chastity allows (it does not insure or cause) dedication: (a) to many persons rather than a few; (b) to areas of work which are dangerous or demanding in an exceptional way; (c) to an intensity of work in quality and quantity. Chastity is connected with the revolution-ary, missionary, and suffering nature of the Christian apostolate insofar as the celibate preacher of the gospel can go where a family cannot. Ghastity and poverty allow a certain economic and social independence, a freedom from political or economic systems which may be perversely harming human life and development. Poverty Poverty is not simply the absence of normal or special consumer goods. Amid growing American affluence, poverty is an evil, and the American mentality is intent upon its elimination. Christian "poverty" can have value in America as a sign of Christian eschatology and as an identification with the downtrodden and persecuted. In the present social and political upheavals within the United States, it has become clear that some religious who "practiced" poverty (sometimes in ludicrous detail) at the same time possessed a mentality which was un-sympathetic to the poor. Poverty must be seen, then, as a sign of the worldly and transcendent kingdom of God, of the "already" and "not yet" of the Christian mission. There are three aspects of poverty within the religious life, aspects which must be constantly tested as to whether they have a contemporary voice and to whether ÷ ÷ ~ommunity and Commitment VOLUME 2~ 1969 T. F. O~Meara, O.P. REVIEW FOR RELlflIOUS they are kept in the right balance. (1) Poverty of the individual and community must be proportionate to the particular apostolate and community. Poverty must smooth the road to effective apostolate and Christian Service. We must not let privileges, traditions, "contacts" little by little lead us away from service to the poor and persecuted. (2) Poverty has sign value: it frees us for work for the kingdom of God which is coming; it pro-claims our faith in divine providence and in the power of Christ to become the center of the evolving world. Our faith in Christ above and within the world is active now and in the future. (3) Poverty frees us for work among persons and proclaims the primacy of the personal, Christian, spiritual over the material. Wealth is power; but poverty affarms faith in another power, a power which is ultimately greater because it influences not mountains or machinery but persons and ideas. Vatican II emphasized the importance of real sign value to poverty, the importance of personal poverty and of corporate poverty. The latter demands real financial sharing on a national and international level as integral to the living of the vow of poverty. The Constitution on the .Church in the Modern World asks that we take up dialogue with the world as it is. With regard to the eco-nomic dimensions, we see that technological society has given us means of great value and importance. Wealth is good, and the assumption---dominant from the origins of man--that poverty and sickness were inevitable and frequent is now questioned by American youth, scien-tists, and polity. The correct direction of this nation's wealth and power would be a greater byproduct of our dedication to poverty than our supercilious contempt of all who possess or study wealth. In short, are we "using" our poverty for people? Poverty not only allows us to be especially dedicated to apostolates, but demands that we employ well time and energy in our areas of work. Poverty can mean em-ploying secretaries, jet travel, electronic media, and so forth in order to reach in a year (or a day) thousands more than Paul or Dominic contacted in a lifetime. On the personal level, poverty can easily be rendered mori-bund by establishing a life where all needs are filled im-mediately within a fully ordered house. Poverty means lack of security but trust in God. Poverty should prepare religious for living in the present era where the models and, concepts of the religious life are being hotly debated and seriously questioned. Poverty and faith are corre-lates; poverty and routine or unchallenged life are con-tradictions. Poverty rejects any defense of the past which turns priories, publications, apostolates, liturgies, and so forth into the displays of a museum. This is espe- cially true in the United States where we have practically no past and where our mentality is future oriented. Very practically, poverty is a commitment to commu-nity life. The American religious wants to know where and who this community is. He takes for granted his right to have some information on how the large amounts sacrificed or earned are being spent. The United States' Church has experienced many cases of poor planning, excessive construction of buildings, un-needed schools and apostolate.s, waste or diffusion of sums of money. The Christian who commits himself to poverty in a community has an obligation to see that that community itself is not sinning against poverty, and clearly superiors must answer not only to God but to the members of the community who freely offer their earnings. The spirituality and life of r~ligious in the area of poverty are not helped but rather frustrated by re-mote, corporate decisions on the expense of money. Can we not expect that a religious who sees money wasted will hesitate to remain within the community or to con-tinue his work and sacrifice? Obedience Thomas Aquinas emphasized the theological impor-tance of God's creation and agents. God acts directly in His world rarely. Similarly, obedience is not just a per-sonal relationship to God, and a superior never fully takes the place of God or Jesus Christ. Obedience is a commitment to God's kingdom revealed to us in Christ as present in a special ecclesial community. Obedience like authority involves community. Americans are raised in the Anglo-Saxon tradition of law. This tradition is often almost in contradiction to certain RoMan and European philosophies of law. The British and American legal mentality looks to a mini-mum of laws and a maximum of obedience; this is allied to equity but does not tend toward dispensation. Clearly the spirit of religious constitutions of the past and the Code of Canon Law stem from another philoso-phy. That is why the Constitution of the United States with 190 years of amendments fills only a few pages, while the laws of the community of "Christian freedom" are numerous. This national difference will influence American reaction to laws, authority, and obedience in the religious life. The purpose of authority is not to rule over the de-tails of the life of children, but to enable their matura-tion and sanctity. Adulthood, participation, and deci-sion- making can and should belong to all the members of a community in a society where political maturity is taken for granted. From the point of view of charisms, Community and Commitment VOLUME 28~ 19~9 54~ T. F. O'.~e~,~'a~ O.P. REVIEW FOR RELIGIOUS 548 the Spirit cannot be relegated to the mind of the supe-rior, nor will educated Christians accept the point of view that the will of the superior is always God's positive (as contrasted with His permissive) will. Education and adulthood render implausible the Neoplatonic idea that the superior informs the inferiors, because he always knows--intellectually or theologically--more than they do. Rather, the superior brings to focus the will of the community when it is holy and reasonable, or solves dilemmas presented by opposing parties. Traditions of democracy, initiative, consensus, and Aquinas' emphasis on nature with grace and secondary causes under God have been obscured by later spiritual theologies. There is a crisis in communities over whether differ-ent points of view exist, or whether bureaucratic con-trol can yield to political maturity. Today's crisis of obedience cannot be solved by more laws, stricter cen-sures, and tighter controls. This will only lead to the sin of forcing schism and apostasy. Mature Christians can-not renounce their own consciences over what seems er-roneous or insignificant. The crisis of obedience shows that a new kind of person is emerging in the Western world. He is quite different from either the Medieval peasant or the European bourgeois. His education, social responsibility, and creative initiative can either be used within the community, or he can be rejected. But he will not choose to live as a non-person, stripped of his own existence and potentiality--for neither common sense nor Christian virtue would suggest that he do so. There is a crisis in the Church today centering in the realization of authority. This is not simply "a crisis of authority." What is at issue is not that authority, even that infallible authority exists, but how it exists. This crisis is of great extent and needs a solutio~frather than a repression. The crisis is stimulated by the ever in-creasing role played by the mass media in Church affairs, by Vatican II's theology of collegiality, and by the transi-tion of the Church from a feudal or immigrant power to a vital stimulus within a pluralistic society. The crisis is particularly acute in the United States due to our lack of roots in the past history of the Church, to the American political mentality, and to the tension arising from past attempts to merge these two. The future should not be allowed to witness a growing division be-tween our standard style of administration on the one hand, and the majority of religious, especially the young, on the other. The New Testament recognizes even within its nor-mative pages a certain pluralism in Church forms. An example of this is found in St. Paul's First Letter to the Corinthians, Chapters Twelve through Fourteen. Different gifts are given to different members of the Church by the same Spirit. Every member of the Church does not have the same function, just as each part of the body does not have the same function. Though these members have different rules, a unity still exists from the members' re-lationship to Christ. There is a diversity in the Church, but it is a diversity which is unified in Christ. All of these gifts are given for the upbuilding of the Church. In this view of the Church given by St. Paul, there is definitely an emphasis on a plurality in Church forms, but a pluralism which is unified in Christ. Yet, the division, isolation, and frustration felt by many religious do exist. Where does it come from? Cen-tral authority often seems to be irrelevant. Why? Perhaps because it offers negative laws post factum rather than leadership before and during the moments of decision. This kind of authority is frustrating to those who have not been consulted and whose circumstances militate against the decision taken; it is irrelevant to many who may with risk choose to prefer real community and effec-tive apostolate to belonging to a long established group. The following three ideas are guidelines by which to measure practical decisions on renewing the concrete realization of government. (1) Charity. Charity is primary. Past constitutions have given the impression that holiness and charity come infallibly from obedience. Experience teaches that this is not true. Love for the community and the in-dividuals in it must have a certain primacy over systems, machinery, and political goals. Love is prior to obedience and is the original cause of obedience. The present crisis will not be solved without a greater emphasis on love for the individual person. (2) Freedom. It is the purpose of neither the vow of obedience nor of government to plan each individual's life and day. There should be an atmosphere freely to be lived in, not a minute horarium to be conformed to. Vatican II's Church in the Modern World begins with man, his dignity, and freedom; religious should not be afraid to follow that example. The purpose of au-thority should be to offer maxrmum help with minimum legislation. (3) Comumunity. Freedom, education, and personal maturity are some of the catalysts for today's crisis in religious community. Until we are accustomed to col-legial decisions at all levels, we will have anguish and potential death in American religious institutes. Three things are involved in the government of a community vis-a-vis the new problems: (1) the struggle for real com-munity life; (2) the necessity to be, without sacrificing heritage or unity, pluralistic; and (3) the desire for the ÷ ÷ ÷ Community and Commitment VOLUME 2BI 1969 549 T. F. O'Meera, REVIEW FOR RELIGZOUS 550 apostolate to correspond to personal needs and exigen-cies of society, and to help form community. It is clear that we do not have all the answers as to how to form this new community life on either the per-sonal or the structural basis. Clearly some things must go and others stay. But we must strive towards what is mentioned immediately above, for they are fundamen-tal to what religious life claims to be. The struggle to-wards this is itself good. Complaints about impending doom and disaster fail in Christian hope. The struggle is evangelical, since the vocation and following that Jesus preached include uncertainty. In the past we created a world where we conquered the future by avoid-ing it, by being static. We must not be afraid of uncer-tainty or risk and even danger in evaluating and living life. Political philospophy tells us that there are two ques-tions in the renewal of political structure: (1) What is your model of person? What kind of people are you deal-ing with? (2) In the light of what is best suited for these persons, who decides and governs? In considering our political structures, have we overlooked the first question? In regard to the second, decision and consul-tation should penetrate into the community as far as they can. This is a principle not only of politics but of a Christian theology of virtue. Today, we do not really have conflict within the de-velopment of representation and pluralism in govern-ment; we have a conflict as to whether pluralism and collegiality should be allowed to exist at all. This con-flict is disastrous, for new forms of realizing authority in religious community can be combated in America only at the price of a Pyrrhic victory, the decline of religious life. How are mature American religious to come to realize that representation and political discussion about the leadership and direction of the order is not evil. The Acts of the Apostles record discussion among the Apostles. For an American, not to question, noi to engage in the realm of political life is to be immature. We must not allow the leaders of men and women religious (who are not on the same theological plane as bishops) to become persons who mix the sacred with the secular like kings of divine right. Some attempt must be made to open more lines of communication, to broaden the base of author-ity, to give the greatest possible representation, to recognize the responsibility of local communities for their lives, to allow for pluralism and even dissent--all within the context of religious obedience to those in of-rice. How this is to be done without weakening authority is a challenging but far from insuperable question. To ~nany [rom other cultures, the entire view may seem bizarre or even dangerous. However, it is a legitimate possibility within ecclesial religious life, and it is the normal and traditional political mentality of Americans. Actually, obedience will grow where love has primacy; zeal will become more intense where consultation (with or without final agreement) has made it feel worthwhile. While commitment to Christian community-apostolate is destroyed by depersonalization and autocracy, it is increased through openness and honesty. Community and Commitment VOLUME 28, 1969 55! ANTHONY D. HECKER, S.J. Attitudes, Unity, and Renewal ÷ ÷ ÷ Anthony Hecker, s.J., writes fa'om Coleran House; 19 Linnaean Street in Cambridge, Massa-chusetts 02138. ' REVIEW FOR RELIGIOUS In this age of renewal, both in the Church and in re-ligious orders, I would like to present for your considera-tion my reflections on those factors which could inhibit renewal. I refer to the need of greater communication between the so-called "New Breed" and the consequently so-called "Old Breed." I personally would prefer to ignore all such labels not only because of the divisions which they hint at but also because of the divisive-ness which they foster. I would like to do an in-depth study of the problems which I have observed both in my own order and in other orders with which I have come into some contact. However, because of various and sundry limitations, I must acknowledge that the following is neither a total study nor an in-depth study; rather it is simply my past and present reflections con-cerning these problems, about which 1 have a genuine concern. I present these reflections to you because I think that any attempt toward renewal will become operation-ally successful only insofar as there is unity among the members of the renewing order. At present I think that there is at least some lack of unity and that the source of that lack of unity is in our attitudes toward one another. It could easily be the case that my portrayal of these attitudinal difficulties is at least excessive, at most er-roneous. Nevertheless, by presenting these reflections to you, I hope at least to foster some reflection concerning unity and ways in which it might be improved. First, I would explain that, although I am relatively "young" and am a scholastic, I do not intend to castigate merely the "old" religious. (Indeed, I would hope that nothing that I say is construed, or misconstrued, as castigation of any person or group of persons.) The problems of communication cannot be facilely attributed to any one person or group of persons; we are all re-sponsible to a greater or lesser extent. Second, I would note that the basic problem of communication has its foundation in attitudes--attitudes toward the non-peer groups, especially those attitudes which are founded on implicit, and, hopefully, not recognized, presuppositions concerning the non-peer groups. I also want to state the several presuppositions which will be implicit throughout the rest of this discussion. First, we should not confuse unity with uniformity. For example, the excessive concern with mode of dress (ex-cessive because the concern exceeds that warranted by the subject matter) is more a question of uniformity than unity. External symbols do not foster unity; they can at best point to a unity which may or may not exist. A corollary principle, which I hesitate to state because of the apparent note of castigation contained therein, is that common life does not mean reducing everything to the lowest common denominator. I would willingly and forcefully declare that common life is necessary for unity. When, however, common life is proclaimed as a principle of uniformity, as well as of unity, then not only are the unifying aspects pushed below the horizon but also any further use of common life as a principle of action and decision is viewed by the subject with suspicion and dis-trust, rightly or wrongly. A second presupposition of this discussion is that dif-ferent attitudes or manners of acting should not be so facilely assigned a value parameter. That is, when some-one's attitudes or actions are even radically different from our own, we should not assume that they are wrong; much less should we arbitrarily impute base motives to them. For example, is it not more probable that certain priests and religious prefer not to perform "folk" or "liberal" liturgies because they think that they cannot find God so easily or so fully in such liturgies because of the "distrac-tions" inherent in such liturgies, than it is that their preferences are because they are "old fogies" or "die-hard conservatives"? Conversely, is it not more probable that certain priests and religious prefer to perform "folk" or "liberal" liturgies because they think that they can find God more easily and more fully in such liturgies because those "distractions" actually aid them in lifting themselves up to God, than it is that their preferences are because they are "always seeking new and exciting things"? A preference for uniformity would demand that one or the other view prevail. A preference for unity would allow the recognition that unity is not opposed to diversity. An all-pervasive value orientation would de-mand that one or the other view be declared good or better, and that the other be declared bad or worse. A view that would recognize the worth of a value orienta-tion but would also realize that it is not universally ÷ ÷ ÷ ~/OLLIME 2$, 19~9 A. D. Hecke~;$.]. REVIEW FOR RELIGIOUS 554~ applicable would allow the recognition that several different, views can prevail simultaneously. There are many ways of approaching God, even within one (Jesuit) general framework. The primary concern of this discussion, then, is to con-sider attitudes of religious toward other religious. I would begin by stating, even categorically, that dogmatism among "liberals" is at least an implicit denial of the very essence of liberalism. A liberal, if he is a true liberal, must accept the conservative on his own--the conserva-tive's- terms; a liberalism that excludes anyone because they have a different viewpoint is, at best, a caricature of liberalism. How then, can liberals castigate conservatives because they are not liberals? Should the true liberal have, and manifest, a desire to proselytize everyone everywhere, to malte everyone liberals whether they want to be or not? To all these questions I must answer, No. Lest my answer be interpreted as a non-liberal attitude toward those "liberals," I would state that my answer is based upon my own reflections concerning what a liberal is. Accordingly, I would ask those "liberals" to help me to understand their view of liberalism and how that view is compatible with their attitudes. On the other hand, I would state, even categorically, that dogmatism among "conservatives" or "traditional-ists" is at least an implicit denial of the very essence of tradition. Dogmatism here leads to fossilization of tradi-tion. Can the true conservative deny that there is any development in our understanding of God and of our relation to Him, indeed that development is inspired by the Spirit? Can the true conservative deny that there are a variety of ways of approaching God, that God can be "all things to all men"? (Would they really limit God in this way?) If they do not allow for the continuous workings o[ the Spirit, are they not left with merely the dead letter of the past? Indeed, is not this continuous and varied working of the Spirit a presupposition of Ignatius in the Spiritual Exercises (Annotations 4, 15, 18), and is it not probable that Ignatius intended these as principles of Christian living as well as principles to be used in the Spiritual Exercises? Can the true conserv-ative demand uniformity of thought--that we all think alike--rather than unity of thought--that we agree on certain common goals and then proceed in our various ways to foster attainment of those goals? Would it be possible for the conservative, and the liberal as well, to accept the distinction between "accepting a view" and "agreeing with a view" (accepting a view as valid despite the fact that it is not a view he can personally agree with)? A second attitude that I would consider is the emo- tional generalizati.on of a response to a particular aspect of another person. This attitude appears to predominate among the younger religious, perhaps only because of my greater contact with them; it might be just as prevalent among older religious. What I mean by this attitudinal problem is that, at least occasionally, a person will ob-serve a limitation in another person (real or imagined) and then proceed to generalize--the person can do noth-ing right. The particular observation becomes generalized into an attack on the person of the person. For example, a student may discover that a particular facultymember has a character fault let us say pride. Rather rapidly the student will become convinced that that person is a poor teacher and/or advisor. I will grant that I have ob-served few religious with this problem, but unfortunately some of these few are quite vociferous. Even were their judgments true, I think it an extreme lapse of charity to commit such character assassination. Unfortunately, also, too many younger religious are not critical enough in evaluating these unsolicited reports. They might hear from a vociferous few that a teacher cannot teach and readily accept it as fact, without even experiencing the teacherl Finally on this problem, too many religious, young and old alike, engage all too frequently in destructive criti-cism. It seems, at times, to be almost a preoccupation, occasionally even descending to a type of "Can you top this?" session. Needless to say, all these manifestations of the same general attitude are destructive of unity, all the more pernicious because it results in a gradual and insidious erosion of unity, unnoticed and unreflected upon. Can we not accept the limitations of each other without bandying them all about? If we must talk about the limitations of another, let us in all charity and honesty talk about them with the person most concerned--the person with the limitation. Let us build one another up in charity rather than tearing one another down, and thus destroying the very fabric of our various orders. The third and final attitudinal area I would concern myself with is that of suspicion and distrust--not al-together unrelated to destructive criticism. What I mean by this is the tendency of too many of us to presume the worst of each other and, accordingly, to impute poor motives. This attitude is, I think, founded on at least two; more fundamental problems: lack of understanding and lack of faith in the good will of others--two problems which closely interact upon each other. Lack of understanding appears to know no boundaries. It is prevalent between younger and older religious, between subjects--regardless of age--and superiors. That ÷ ÷ ÷ ÷ ÷ A. D. Hecker, $.1. REVIEW FOR RELIGIOUS between subjects and superiors seems to be more heavily influenced by a lack of faith; it will be treated in its proper place. Conversely, the lack of understanding between younger and older religious seems to be prior to, and causative of, the lack of faith. This lack of under-standing is, I think, intimately linked with the problem of unity. Unity is not that sort of thing which can be readily and simply assumed as existing between a group of men or women with common goals; nor can it be fostered and maintained by a total reliance upon sym-bolic acts and customs. Unity is something that has to be worked at in a real way by all the members of a group. Unity demands that all in the group understand one another; and to understand one another requires both work and patience. The urgent, and apparently natural, impulse to be understood seems to force us to give a primacy to this aspect of our interpersonal rela-tions. I wonder if this is not a false assigning of priorities. Could it not be that in order to be understood we must first understand others? Could it not be that in order to express ourselves in a manner that others can under-stand, in order to express ourselves in the thought pat-terns of the others, we must first understand the others? Of course it should also be realized that to simply understand the thoughts or expressions of others does not suffice. This is merely a token or surface understand-ing. To properly understand other persons, at least an attempt must be made to understand the social, emo-tional, psychological, and philosophical tensions and views that influenced those persons during their forma-tive years. For example, do younger religious under-stand, and realize the consequences of, the circumstances in which their elders grew up? (There is the fact that absolutism was not only prevalent in theology but that it also permeated all aspects of life and thought-- Einstein and such thinkers were not public knowledge, and thus not influential on public patterns of thought, until the forties; the social sciences were not influential until the mid-fifties; apologetics was a major concern throughout the entire course of. studies. Now when apologetics is given such an all-pervasive primacy, should it be surprising that the critical faculty 'is highly devel-oped, and that there should be a great concern to preserve and protect all aspects of the Catholic faith--incidentals as well as essentials?) On the other hand, do the older religious understand, and realize the consequences of, the circumstances in which the younger religious grew up? (There is the fact that Einstein's theory was public knowledge, and thus permeated all aspects of life and thought; the social sciences Were in full flowei', and thus the greater concern about freedom and interpersonal relations; Teilhard de Chardin was influential in shaping a new worldview-- readily taught to and accepted, perhaps uncritically, by the younger men.) I do not not mean to imply by all this that the new is better than the old, nor that the old is better than the new. Rather I am attempting to point out the fact that there are in any of the orders today two--at least two--- quite different ways of viewing the world, views that underlie and permeate all aspects of life of the various persons. I reiterate, neither is better, they are just simply different. Accordingly, to understand any thought, view, or opinion of another person, that thought, view, or opinion must be understood in the context of that per-son's way of viewing the world. Of course, there will be the few, with either worldview, who are incapable of understanding the other worldview of the other person; but this does in no way imply that Christian charity is no longer needed. Because we do not understand the other person's point of view, we should not assume that he is wrong, or foolish, or operating with ill will; neither should we ridicule or antagonize him. We should ap-proach those few, then, with the realization that a greater demand may be made upon our charity--they may ridicule or antagonize us but we need not respond in kind--and with a determination that we shall improve our relations with them. These last remarks lead us to a consideration of the lack of faith in the good will of the other person. There seems to be this lack of trust between old and young; but, more importantly, there seems to be some mutual lack of trust between superiors and subjects. Certainly the latter, but I think also the former, implies a limitation in our practical spirituality. What I mean by this is that, while supernatural faith is directed primarily to God, in that very fact it should also be directed toward men. Faith in God includes faith in God's loving kindness and grace-full influence upon men, especially upon men who have committed themselves totally to God. Accordingly, to say that one has faith in God and yet to manifest a radical lack of faith in men totally committed to God involves one, to some extent, in a contradiction. To point out what I have referred to as a limitation in our practical spirituality I would use, by way of ex-ample, our attitude toward what the Jesuits refer to as the "plus-sign." We seem today to disdain the term "plus-sign" and all that it connotes. On those rare occurrences when we do use it we manifest what we think that it means. Too often we apparently mean that we have al-ready judged the other person, thus fostering a negative image of him in ourselves, but that we will give him the ÷ ÷ ÷ Renewal VOLUME 2~ 1969 557 benefit of the doubt and not report him. I submit that the "plus-sign" does not connote this negative attitude but rather one that is quite positive. It is not an act which follows upon judgment but is an act which pre-cedes judgment. It is a humble admission of the fact that too little is known of the other person, especially of his degree of deliberation, to judge him on the basis of a solitary act. It is the suspension of judgment as opposed to rash judgment. I would suggest that this might be what Ignatius was referring to in the Praesupponendum to the Spiritual Exercises. I would also reiterate that it is doubt-ful that Ignatius wrote this to be used solely in the con-text of the Exercises; rather it was intended also as a principle of Christian living. In the light of all this, when we disagree with someone in principle, or concerning policy, should we seek out negative reasons for his position, especially if we do not understand his point of view or frame of reference? When we disagree with superiors in principle, or con-cerning policy, and realize that we cannot effect a change, would it not be more healthy and mature to seek out their reasons for maintaining the present system even while we continue to represent our views? Of course another requirement of our interpersonal relations is patience. Even if superiors were to agree that some changes might be beneficial, time would often be re-quired before they could be effected. Conversely, if changes are effected, how can we be so sure that they are failures after only three or four months of operation, especially if we have had little contact with that area? I would close as I began: emphasizing that these are some of my reflections concerning unity, at least limited, possibly erroneous. It was my intention, and is my hope, that these reflections might be a means of stimulating reflections on the problems of unity and ways in which the present degree of unity might be improved. A. D. Hecker, S.]. REVIEW FOR RELIGIOUS 558 EDWARD R. TRUBAC Long-term Financial Planning for Religious Communities Faced* with scarce resources generated by a growing number of apostolates combined with a declining number of vocations, religious communities have increasingly turned to planning in order to allocate these resources in the best way possible. However, present planning has gen-erally been of a short-term nature principally designed to meet the rather immediate needs of the religious com-munity. Many decisions have been made without a clear notion of their long-run financial implications and with-out a careful analysis of alternative proposals. In my talk I would like to begin by discussing some basic principles of planning, then apply these principles to the long-range needs of religious communities, and conclude by tracing some of the financial implications of planning decisions, Basic Principles of Planning In referring to long-range planning, I am not talking about an informal annual get-together in which adminis-trators meet to give their opinions about the course of the future. Neither am I referring to the kind of planning which is initiated because of some kind of crisis, such as a sharp decline in profits for a firm or a sudden increase in instructional expenses for a school. This kind of plan-ning is really not planning at all; in fact, it ilIustrates the costs associated with a lack of planning in which options to act and shape events are restricted as one is forced to react and adapt to a given situation. Long-range planning is a formal, organized process in which a person or group of persons is 'specifically * This is the text of a talk given on February 26, 1969, at the Conference for Religious in Financial Management held at the University of Notre Dame. ÷ ÷ Edward R. Tru-bac is assistant pro-lessor of finance; University of Notre Dame; Notre Dame, Indiana 46556. VOLUME 2~ 1969 charged with developing a plan of what the organization should look like in five or ten years; the basic purpose of the plan is to mobilize the available resources of the or-ganization in a way that will best achieve its objectives: Firms which have adopted formal plans often seek new ventures through mergers, acquisitions, product line diversifi-cation, or market expansion. They are not satisfied with main-taining the status quo unless they determine, after careful analysis, that this is the best possible course of action. And, in some instances, a company can improve its performance significantly by planning ways to increase the efficiency of cun-ent operations, rather than following the more glamorous but more risky diversification route? To repeat, long-range or strategic planning, to use the more popular term, is essentially concerned with the eval-uation of alternative courses of action (with the stress on the word alternative) in an effort to select the best course of action for the future. And by best course of action, I mean the one that best meets the objectives of the organi-zation. ÷ ÷ ÷ Edward R. Trubac Planning Principles and the Long-Term Needs of Religious Communities This approach is obviously applicable to religious communities as well as to business firms. Like firms, re-ligious communities have in the past few yeais become more actively engaged both in "product line diversifica-tion" and efforts designed to improve the efficiency of current operations. For example, some alternatives that might be grouped within a long-term planning framework for a typical religious community would be: (a) Should the community continue to own and op-erate small hospitals, should only large ones be consid-ered, or should the community relinquish ownership ~ind merely staff hospitals and homes? (b) Is it advisable to continue the two-year college in its present form on the motherhouse campus or should it be discontinued and a house of formation set up near a university campus? (c) Should the community continue in elementary edu-cation, should expansion in secondary schools be consid-ered, or should sisters accept teaching positions in secular institutions? (d) Should a religious community operate only in schools andhospitals, or should many of the members be actively engaged in some of the various types of social work that are open to today's sister? A correct though obviously superficial answer to the REV1EW FOR RELIGIOUS x Harold W. Henry, "Formal Long-range Planning and Corpora-tion Performance," Michigan Business Review, November, 1968, 560 p. above questions would be to do what you think is best. But what is best is again dependent on your objectives. And while you may start with general goals, acceptable guidelines for decision-making must be phrased in con-crete and measurable terms. Here business firms have a decided advantage over non-profit organizations. For while a firm may have as its general objective the opera-tion of a diversified, growing, and profitable worldwide manufacturing business, its specific objective will prob-ably be couched in terms of a specified rate of return on investment; the evidence of the firm's success in meeting this goal can easily be gleaned from its financial report. For the typical religious community, the honor and glory of God and the sanctification of its members would adequately reflect its general objectives, these goals to be specifically achieved through the external works of char-ity of caring for the sick, social work, and the education and training of youth. But while the subobjectives of business firms (for example, a specified rate of return on investment) lend themselves to rather precise measure-ment and, therefore, evaluation, those of religious com-munities do not. First, it is difficult to identify measurable goals in health care, social work, and education, particu-larly Catholic education. And if you cannot specify your objectives in measurable terms, how can you accurately evaluate your operations? This is a problem that most non-profit institutions have in common. Moreover, even if you could express the objectives of each apostolate in meas-urable terms, there would still be the problem of com-paring different units of measurement; in other words, a firm can estimate the expected contribution of each new venture or product in terms of a common denominator-- profit. But how does a religious community, trying to maximize the benefits from its various activities, compare the gains from medical care with the gains from educa-tion when these benefits are expressed in different units of measurement? Finally, religious congregations are faced with the unique problem of structuring a community life that will maximize spiritual development as they al-locate their resources to their various works. Measurable Guidelines for Allocating Resources to the Various Apostolates Because of the difficulties in defining measurable units of output, value judgments will necessarily play a large role in the choice of community works. However, I do think there are some objective guidelines that should not be ignored. First, religious communities are constrained in selecting apostolic works by the specialized nature of their resources, both people and buildings. While people probably constitute the chief constraint, I am familiar ÷ ÷ Financial Planning VOLUME 213, 1969 REVIEW FOR RELIGIOUS with several cases o~ communities who have experienced difficulties in changing the pattern of their activities be-cause of the problems involved in liquidating their in-vestment in buildings and equipment. Now when I use the term constraint in referring to people, I do not mean to use it in a negative sense. If members of a religious community are competent in and motivated toward, for example, the medical care field, then the community should be in that area (one of the first steps in the planning process should be an inventory of talents and attitudes for the various works). Each apostolate can easily be broken down into several sub-apostolates that are in urgent need of competent and highly motivated people. To take the medical care apos-tolate as an example: (a) Religious communities strong in administrative personnel will continue the traditional pattern of ownership and manage-ment. (h) Some will wish to retain ownership and policy making responsibility but will be unwilling to pr.epare religious for administration. They will utilize religious m direct service to patients and in purely spiritual roles and will be obliged to place administration in the hands of seculars. (c) Others may give only direct care while still others, de-pending on their preferences and training, may engage in home nursing, care for the aged or programs for retarded and handicapped people.* Financial Considerations in the Planning Process Financial considerations must also play a roIe in plan-ning the optimal mix of activities. I would like to see religious communities, in formulating their long-term plans, estimate their expected net financial return on in-vestment in each of the apostolates under consideration; that is, they should calculate the financial costs and bene-fits of each apostolate. I am certainly not suggesting that if a community never expects to cover its expenses from a particular activity that it should drop that work. What I am saying is that it would be very useful to identify the apostolates that are expected to operate at financial losses over the next five to ten years. Because if projections show that certain activities will not generate sufficient income to meet expenses, then a decision to subsidize that apos-tolate will have to be made in the light of projected total financial resources, including income on investments, con-tributions, debt financing, surplus generating apostolates or a combination of all these approaches. I should like to digress for a moment and mention that while the expansion or contraction of investments in the various apostolates should not hinge merely on their ex- ~John J. Flanagan, S.J., "What I~ the Catholic Hospital Apos-tolate?" Hospital Progress, March, 1966, pp. 50-1. pected financial returns, there are other investments, those which are not directly involved in attaining the objec-tives of the order, where financial factors should domi-nate. Here I am including not only financial assets such as stocks and bonds but also such assets as the farm owned by many religious congregations. Apart from special con-siderations, such as the community's sensitivity to charges of its being land rich, the farm should be evaluated solely on the basis of its expected financial rate of return. The evaluation technique would basically first involve deter-mining the current investment in the farm in terms of equipment and building values plus the current market value of the land. One would estimate the net dollar re-turn on the farm for the next five or ten years including as your return both estimated net income from the farm and expected appreciation bf land values. An expected rate of return should then be secured by discounting these future dollar returns to the present; this rate would be compared to the return on alternative investment op-portunities. If the expected rate of return on the farm is less than 5%, the existing rate on time deposits, then one would be well advised on that basis to dispose of the farm. Determining the Costs of Apostolates In calculating the expected net financial return from each apostolate, the first step would be to examine cost experiences in the recent past as a basis for future cost projections; data for the past three to five years should be sufficient for this exercise, although it should be stressed that the usefulness of past data for projection purposes is inversely related to the degree of change experienced by the community in the recent past. Securing this infor-mation may well present some problems since the stand-ard chart of accounts used by many religious communi-ties is not structured around the various apostolates. There are usually separate accounts for the generalate, provincialate, and local houses; in addition, expenses are usually categorize.d along input (salaries, travel expenses, supplies, and so forth) and institutional (junior .college on the motherhouse campus) lines rather than focusing on the various outputs (medical care, educational work, social work) of the community. The junior college prob-ably serves more than one apostolate and these educa-tional costs should be allocated to the various works of + the community. In the same vein, the category travel ex- + penses will also include costs associated with a variety of ~" apostolates. In addition, an attempt should be made, where possible, to allocate administrative expenses among .1~i.na~.ia't P!anning the different works of the community. I am not advocat-ing a wholesale overhaul of the accounting systems, of VOLUME aa, ~96~, religious communities. I am merely suggesting a supple- 563 REV]EW FOR RELIGIOUS mental technique designed specifically for long-term plan-ning purposes that will facilitate the cost projections for each of the various apostolates. In ferreting out all costs, the focus should primarily be on the educational, administrative, maintenance, and re-tirement costs associated with placing and sustaining peo-ple in the various apostolates; per capita expenses in each of these categories for each of the apostolates should be derived, summed, and projected into the future; this re-suiting figure should then be multiplied by the estimated number of people in each of the community's activities in order to secure a total estimated cost figure for each apos-tolate. Capital expenditures on building and equipment directly associated with the works of the community (par-ticularly hospitals and colleges as a result of the contin-uing trend toward separate ificorporation and ownership) should ordinarily not be treated as an expense to the com-munity although there are certainly numerous cases where, for example, debt service requirements generated by building programs could not be met by the school or hospital and constituted a severe financial drain on the religious community. One of the great advantages of identifying costs, for ex-ample, the costs of educating sisters, is that it permits one to price and compare alternative approaches to supply-ing the same or approximately the same type of educa-tion. Although I will readily admit that considerations other than financial are extremely important and even overriding in certain situations, still the right kind of fi-nancial information will at least permit a comparison of the costs of sending a person to be educated at the junior college for sisters on the motherhouse campus with the cost of education at a university. The question of which costs less will require careful analysis but the cost differ-ential will probably not be as great as might be deter-mined from examining the accounting records of many religious communities; that is, the cost may not be ap-preciably less to send a person to junior college and may, in fact, be more expensive. One of the hidden costs I am alluding to is the failure of many religious communities to fully account for the contributed services of the mem-bers of the order who are teaching in these colleges. By contributed services, I mean in this case the salary that a member of the religious community could have earned teaching at a university minus her maintenance costs at the motherhouse that are met by the community. For ex-ample, if the subsistence needs of a religious teaching at a junior college for sisters are valued at $2,000 a year while she could have earned $10,000 annually teaching at a university, then the contributed services would total $8,000. A recent survey by one of the graduates of our program in institutional administration indicated that only 50% of the junior colleges surveyed included con-tributed services in their budget as an expense to be met by the community. This omission gives a very distorted picture of the true costs of operating junior colleges. A less hidden but perhaps more controversial cost is that of depreciation. The traditional argument against non-profit institutions depreciating their capital assets is that the needed funds are not generated from operating income as with a business firm, but are commonly ob-tained through fund-raising campaigns. I feel, however, that all costs should be identified, regardless of how they are met. Moreover, communities may find donations to be a very undependable source of funds in the future. As a further point, most hospitals depreciate their capital as-sets. This policy on the part of hospitals of accounting for depreciation has been given added stimulus by third party payments which explicitly recognize depreciation as a reimbursable cost (for example, Medicare). As these third party payments become more widespread in the area of education, accounting for depreciation expenses will correspondingly grow in popularity. Again, it should be emphasized that identifying the education costs of sisters prods administrators to trace out alternative cost patterns. Another possibility, for ex-ample, is the growing practice of affiliate membership in which the person finances her own college education if at all possible, but maintains regular contacts with the con-gregation. This policy, of course, would be the least ex-pensive (it would also meet the problem of people leav-ing the community after being educated but before earning any return for the community); but the issue of the impact on vocations would certainly have to be care-fully explored. A similar analysis should be applied to maintenance, administrative, and retirement costs. Past cost data allo-cated among the various apostolates should be secured as a basis for projecting total costs in the future. The pro-jected cost of current procedures should then be com-pared with cost projections of alternative ways of meeting these needs. Projecting Net Financial Returns from Each of the Apostolates After the cost information has been properly processed, the last step in this exercise would require the projection of net financial returns for each of the various apostolates. These financial returns vary widely, depending on the particular activity. It should come as no surprise that the financial returns to religious communities are particu-larly meager from the Catholic secondary and elementary ÷ ÷ + Finandal Planning VOLUME 28, 1969 REVIEI/V FOR RELIGIOUS school apostolates. For religious teaching in colleges and universities and especially for those working in the medi-cal care area where contributed services are considered as reimbursable costs, the financial returns are competitive with those received by lay people with similar qualifica-tions and experience. But the salary and fringe benefits received by the typical sister teaching in a Catholic ele-mentary school (and this is irrespective of whether the school is community or diocesan owned) falls far short of even meeting the expenses incurred by the community in placing the sister in that position. The most detailed in-formation concerning this issue has been derived from Father Ernest Bartell's study on the financing of Catholic education. The data go back to 1963-64, but they serve their illustrative purpose. They show that the per capita contributed services of religious teaching in two dioceses averaged $5425 in one diocese and $3572 in the other.3 Contributed services are specifically defined as the salary that could have been earned by the religious teaching in the public school minus all recorded parish expenditures on behalf of the religious teachers, including cash sal-aries, gifts, and convent maintenance. In addition, a rental charge imputed on the parish investment in con-vent living facilities should be deducted; this charge would be equivalent to the earnings foregone by the parish on a comparable commercial investment. In his study Father Bartell also estimated that if one religious order teaching in one of the dioceses were just to break even and recoup its educational and retirement investment in its members, then it would have had to re-ceive $1057 yearly from each of its teachers over an aver-age working life of 40 years, even assuming that these payments could be invested at 5% during the lifetime of the religious teacher.4 Since the members of this order annually remitted, after current expenses, only $360 each back to the motherhouse, the $700 difference might be looked upon as a subsidy paid by the religious commu-nity to the diocese. Now, I am not going to strongly argue for or against this particular subsidy although I do believe that alter-native ways of reducing it should be carefully examined. One way might be to negotiate with diocesan authorities for salary increases. Another possible approach might be state aid where the contributed services of the sister would perhaps be recognized as a reimbursable cost, as in the medical care field. Or the community might simply 8 Ernest J. Bartell, C.S.C., "Efficiency, Equity and the Economics of Catholic Schools," Catholic Education Today and Tomorrow: Proceedings of the Washington Symposium on Catholic Education, 1968, pp. 12-3. *Ibid., p. decide that its estimated total financial resources will be sufficient to subsidize this apostolate. Conclusion In conclusion, I would like to see a statement along the following hypothetical lines included in the formal plan of each religious community. In deciding on the op-timum amount of resources to be devoted to apostolate A, B, C, and D, we have considered alternative ways of meeting the expenses associated with each activity and have chosen the best alternative for each. Next, in esti-mating the net financial benefits [or each of the aposto-lates over the next five to ten years, we project that activ-ity A will run a large deficit. But despite this expected deficit, we wish to keep our commitment to this aposto-late and estimate that apostolates B, C, and D will gener-ate a surplus of a sufficient size which when combined with income on investments and expected donations will meet the deficit in A. I strongly feel that this type of approach will add a more realistic dimension to community planning. Finandal Planning VOLUME 28, 1969 567 LOUIS TOMAINO Religious Community and the Johari W ndow ÷ ÷ Louis Tomaino is the associate di-rector of Worden School of Social Service; Our Lady of the Lake Col-lege; San Antonio, Texas 78207. REVIEW FOR RELIGIOUS 568 The building of effective human community is gen-erally regarded as one of the most critical issues facing religious orders now and in the near future. Such community spirit is essentially a group phenomenon and it may be that certain findings in group dynamics are very relevant to religious communities. In this paper we are concerned mainly with communities of women. In evaluating the kinds of relationships present in human community, a conceptual model designed by Joe Luft and Harry Ingham for use in the National Train-ing Laboratories seems particularly helpful. It is called the Johari Window.1 This model, although not prepared specifically for religious, states that the sister by her actions and words in the community, projects a kind of "window" of herself which is viewed by others. Other members of the community likewise project similar windows and the sum total of these projections is a powerful dynamic which fashions group relationships in that community. The Johari Window represents four kinds of informa-tion which governs the flow of relationships among community members involved. This includes: A. Things the sister knows about herself and the community and about her feelings about others. B. Things the sister does not know about herself and the community and about her relationships with others. C. Things others in the community know about the sister and the community. D. Things others do not know about sister and the community and about the relationships therein. By "things" we mean sisters' thoughts, impulses, desires, fears, fantasies, prejudices, hopes, dreams and goals. Thus, sister's Johari might look like this: a Joseph Luft, "Johari's Window," Human Relations Training News, v. 5 (1961), p. 6. Things known by others Things unknown by others Things known by sister THE ARENA (open area of the re-lationship) THE FACADE (are~ of hidden de-fenses) Things unknown by sister THE BLIND SPOT (realities not recog-nized) THE UNKNOWN (unexplored reali-ties) 1. The Arena--This is that part of the relationship which is open: ". the cards are on the table." This refers to that part of sister that is completely honest because she faces community issues in the open. When group issues or problems are known and faced by all members openly, we say that these things are in the arena. 2. The Blind Spot This area comprises those thoughts, feelings, and so forth which sister has, but of which she is not aware. However, others in the com-munity do see these things in her because her actions and words make them visible. For example, the sister with definite authoritarian leanings may not recognize this tendency in her interactions with others, but others see itl 3. The Facade--This area consists of feelings, moti-vations, and so forth which sister has, but keeps hidden for whatever reason, oftentimes because she may con-sider their revelation as inappropriate. Therefore, while she knows these things about herself, other community members are not able to perceive them. 4. The Unknown--This includes those aspects of sister's group relations which are unexplored, latent, unconscious, and simply not known. The goal in building community is to make the Arena as large as possible so that conditions for com-munication are improved through openness, free inter-change and productive action. Everything we have said so far about sister can truly be said about community. Realistically, the obstacles to developing real com-munity cannot be dealt with until they are known. These hurdles cannot even be accurately identified until sister and the community develop an open arena where issues can be placed. Therefore, how does one go about establishing a large arena? Let's consider two processes termed exposure and feedback and how they may be utilized to alter sister's Johari. If she really opens up with other sisters, if she + lohari Win¢lo~ is not too insecure to discuss her own doubts and questions, sister will be revealing something of her-self. This is exposure. She will humanize herself by demonstrating that she too is subject to many of the hazards faced by others. Whitaker2 refers to four kinds of openness. Verbal openness, or the process of using direct words to express to another exactly what we mean. ,4ffective openness or the sharing with others our personal experience of boredom, depression, anger, warmth, fantasy, and physical contact. Physiologic open-ness as shown through expressing a blush, hunger, or a headache. No purpose openness is the occasional idle hour, the no-point-in-it encounter, where people are "just there" with no visible goals in mind. To do this comfortably requires real open-endedness. In performing these kinds of things the sister shows part of herself and neutralizes some of her facade. The horizontal line of the Johari is moved downward, thereby enlarging the arena, eliminating some facade and mak-ing the unknown area smaller. Feedback means simply a way of securing some knowl-edge about ourselves as individuals and as community members. It is indispensable to establishing lines of communication and to changing ourselves. This idea urges that the sister create opportunities whereby others may give her feedback on herself. This feedback might tell her things about herself which she did not previously know and thereby elimi-nate some blind spot. The perpendicular line of the Johari" is moved laterally which makes the arena larger, the blind spot smaller, and the unknown is further diminished. If the Sister desires and secures both feedback and exposure, her Johari would look like this: Feedback REVIEW'FOR RELIGIOUS ~ Carl Whitaker, M.D., "Open Communication from the Psycho. therapist," Existential Psychiatry, Spring, 1966, pp. 55-8. The large arena suggests that something is really happening in the life of this sister. Blind spots (I didn't realize you thought I didn't like you) are clarified. The unknown is decreased (I'm glad we both know how we feel on this point), and energies previously used to maintain facades are now diverted to more constructive purposes. The possibilities for communica-tion and change are vastly enhanced with things now put into the arena where they can be managed. We are suggesting, in effect, that those religious groups characterized by large arenas have created conditions favorable to building effective community. The sum of individual Johari's in the group tends to promote a general or average Johari for the whole community. The larger the arena, the greater the chance for ef-fective community. The question might indeed he raised: Of what value to community life are blind spots, facades, or unknowns? Some other, and extreme, windows sometimes seen in both individuals and communities are as follows: The large unknown tells that this sister desires neither feedback nor exposure. She is strictly official and operates by "the rule." Other sis-ters never get to know her. In this situation the sister is willing to expose, hence the small facade. She tolerates no feedback from others in the community and thereby does not know what others think of her. This sister constantly seeks feed-back from others but is not willing to put herself "on the line" with others. Hence the large facade. Too much facade breeds conditions for mistrust. Needless to say, the climates generated by such win-dows are not conducive to developing the kinds of + atmospheres associated with productive community life. + ÷ Some Findings about Sisters Jay Hall and Martha Williams developed a Personnel Relations Survey~ inventory of 60 items which, when s Jay Hall and Martha Williams, Personnel Relatio~ Survey, ~ohari Window VOLUME 28, 1969 571 taken by individuals, projects for them a personal Johari Window profile. Group profiles can also be averaged out on this test. In the past year this writer has administered the Johari Test to approximately 600 sisters from various congregations as part of Group Dynamics Workshops. Using a total sample of 500 sisters we are able to secure interesting data on the kinds of windows projected by sisters. Hall and Williams constructed their questionnaire in such a way that it yields a Johari for the respondent relative to his subordinates, to his colleagues, and to his superiors. It also illustrates an "average" Johari for each respondent. The generalizations about sisters which can be made from the 500 taking the test are these: 1. Sisters tend to be slightly more open than other groups tested in workshop (ex-school teachers, social workers, policemen). Given the goals and values of religious group life, however, the sisters do not appear to be significantly more open than other less cohesive groups. 2. Sisters tend to be less open with their superiors than with subordinates or colleagues. This may be a product more of unapproachable superiors than of reti-cent sisters. Sisters revealed greater facade with su-periors than with the other two groups. 3. Arenas were larger with colleagues than with the other two groups. 4. Sisters seem to be more concerned with feedback than with exposure which seems to be typical of most groups. Out of a possible high score of 50 the sisters tallied an average score of 35 for feedback and 29 for exposure. In summary the general relationship tendencies of the 500 sisters appeared as shown on following page. Looking at the type of window projected by sisters suggests information which may be helpful in develop-ing greater openness among sisters, hence more effective community. The survey shows that sisters tend to be less open with superiors than with the two other groups. How can openness be achieved in this area? Many modern theo-logians stress the fact that religious obedience can be thought of as a shared responsibility. The Holy Spirit speaks through the entire community and not only through the superior. It seems, therefore, the re-sponsibility of each individual sister to contribute to REVIEW FOR RELI$10U$ unpublished training inventory, Southwest Center for Law and the 572 Behavioral Sciences, University of Texas at Austin, 1965. E u r e 5 10 15 20 '25 30 35 45 50 5 Feedback ) 20 25 30 35 40 45 50 community development by sharing her ideas, sugges-tions, and other Johari "things" with others. If the spirit works through each person, how can the commu-nity know the will of God if each is not willing to share? In making decisions which affect the community each sister assumes a great responsibility. It has been found that decisions reached via consensus tend to be more accurate than individual or minority decisions. Consensual thinking in the community can be gained through open discussion, sharing, and listening on the part of each community member. Although arriving at such decisions in community meetings may be time consuming, their very importance suggests that the group might well afford the time involved. Creating an atmos-phere of openness requires conscious work over months or even years. Thus, we seem to be saying that human community can be nurtured by development of a large arena through the conscious use of both openness and feed-back. The documents of Vatican II, especially the Church in the Modern World, lend eloquent support to this idea as seen in the following statements: h¯f eT wheh epnr itmheit mivue lCtithuudrec hof. pbreohveivdeerds ,w aenr ee xoaf monpele h oefa rct oamndm ounneity mind, and found nourishment in the teaching of the gospel and in the sacred liturgy, especially the Eucharist. Let such a life continue in prayerfulness and a sharing of the same spirit. As Christ's members living fraternally together, let + ÷ lohari Window VOLUME 28, 1969 573 them excel one another in showing respect and let each carry the other's burdens. For thanks to God's love poured into hearts by the Holy Spirit, a religious community is a true fam-ily gathered together in the Lord's name and rejoicing in His presence . In fact, brotherly unity shows that Christ has come; and from it results great apostolic influence (Decree on the Appropriate Renewal o[ the Religious Li[e, n. 15). Thus it is evident to everyone that all the faithful of Christ of whatever rank or status are called to the fullness of the Christian life and to the perfection of charity. By this holi-ness a more human way of life is promoted even in this earthly society (Dogmatic Constitution on the Church, n. 40, par. 3). The People of God and the human race in whose midst it lives render service to each other. Thus the mission of the Church will show its religious, and by that very fact, its su-premely human character (The Church in the Modern World, n. 11). Let .chapters and councils faithfully acquit themselves of the govermng role given to them; each should express in its own way the fact that all members of the community have a share in the welfare of the whole community and a responsibility for it (Decree on the Appropriate Renewal of the Religious Life, n. 14). Christ arouses not only a desire for the age to come, but by that very fact, He animates, purifies and strengthens those noble longings too by which the human family strives to make its life more human (The Church in the Modern World, n. 38, par. 3). Through her individual members and her whole commu-nity, the Church believes she can contribute greatly toward making the family of man and its history, more human (The Church in Modern World, n. 40, par. 5). ÷ ÷ Louis Tomaino REVIEW FOR RELIGIOUS 574 JOSEPH F. ROCCASALVO, S.J. The Presence of Christ in Christian Community The presence of Christ in the Christian community is a fascinating topic, but one that is not easy to treat in a free and familiar style. This is so, because we face a difficult and important question: how can we adequately recognize this presence in our experience. In reading any answer, no matter how well formulated, we must avoid the mistake of expecting too much. The bodily Christ is hidden from our view. Unlike the Apostles who walked with Him in Jerusalem or stood close by when He preached from the waters of Galilee, His visible counte-nance cannot now be seen, touched, or handled. It is not that we feel He hides Himself capriciously; yet there are times when we are overwhelmed by our desire to see Him, without resorting to any writer's conception or artist's portrait. We are tempted to cry out: "Christ, come forthI Let Your loyal followers look upon You. Draw the screen that conceals Your presence from our hu-man eyes." But despite our pleas there is no physical ap-pearance, and we would not dare to hope for one. In addressing myself to the preceding difficulty, I shall formulate my answer through an indirect use of con-cepts. By this I mean that such concepts will try to illumine for the reader the experience they point to, without intending to adequate it entirely. Since we are dealing with the most personal dimension of Christianity, our faith or commitment to a Person, its ultimate signifi-cance must lie beyond the frontier of language in the do-main of mystery. Yet granting this radical incommuni-cability in the final analysis, one may use concepts as long as it is remembered that they are open to the term towards which they aspire. The reader, then, must be like one who contemplates an horizon. Beyond the outline of words he seeks perspectives which he can barely discern but which draw him precisely because of the mystery he + Joseph A. Roc-casalvo, s.J., is a member of Wood-stock College in Woodstock, Mary-land 21163. VOLUME 28, 1969 ÷ ÷ ÷ Joseph F. Roccasa~o, $.$. REVIEW FOR RELIGIOUS senses in them. The formulation is of value, not only for what it says, but also for what it may suggest. As a point of departure for this analysis, we must start with our experience. In assigning content to this word we take. it to mean the whole range o~ the self's active relationship with the other, or the entire range of reality as disclosed to me and to which I respond. But this is my experience: it is the real as disclosed to one who is a Christian, committed to the Church and the faith of the Church. Since faith is part of my experience, part of the real as disclosed to me, it must necessarily be a Christian experience, including all that the life of faith includes. Here it must be recalled that my faith is first and foremost a commitment to a Person who has invited me to share a life in which He Himself will be my ful-fillment. In other words, my faith is a total response of mind and heart to Christ who has entered my world and lived His li~e in our midst. What, then, is the purpose of a Christian who reflects upon his experience to which his faith is interior? Since my personal relationship with Christ is a lived conviction, an intimate part of the reality that discloses itself to me, I shall try in my reflection to spell out the implications of this total commitment. I undertake this task because I am compelled by my freedom to take a personal stand towards my life and to be fully responsible for that stand. I must use the reasoned reflection of the philo-sophical method to avoid doing this naively. In brief, I shall try to discern by analysis how my personal commit-ment to Christ makes Him present to me, not in terms of revelation or the magisterium of the Church, but as dis-closed in my lived experience. This reflection, then, will help make me a more responsible and responsive Chris-tian. As I have indicated, the faith which is interior to my lived experience is fundamentally a personal commit-ment of mind and heart to the Person of Clu-ist. He has spoken to me in time, using words which He has in-tended for all men. Included within these words is the promise of continued presence, in spite of visible ab-sence: "Where two or more are gathered in my name, I am in the midst"; or, "If anyone will love me. I will mani-fest myself to him." Still again He tells us: "I am with you all days, even to the consummation of the world." While I cannot expect that His presence will be manifest by some physical appearance, I may rightly expect, through trust in His personal promise, some kind of experimental awareness of His presence in and through the gathered Christian community. Our inquiry can be placed in the form of a thesis statement: whether or not there is a special presence of Christ, experienced within the Chris- tian community. If there is, how can it be described phenomenologically, and what are the requisites for this partictalar theophany? Our question can be restated more dynamically: when I experience my witness to this Person in communion with other Christians, how does He "draw nigh"? Is His presence a diffused, unthematized one, con-comitant with the consciousness of the Christian com-munity; and if this is so, how may it be thematized upon reflection? This analysis, of course, does not necessarily exclude His coming-to-presence in other ways. Before we can discover what is the special character of Christ's presence in the witnessing Christian community, we must first analyse the meaning of this rather elusive word. ~Nhat does it mean to have someone or something present? The dictionary tells us. that the word is used in at least two distinct senses: first, it can mean physical presence, namely, that which is or stands before one, in view or at hand; that which is spatially located in this place and not elsewhere. Second, the word may have a temporal significance, referring to contemporaneous pres-ence, or that which is not past or future, but is operative in the time that is now. It is precisely in these two senses of physical and contemporaneous presence that phe-nomenologists like Luijpen have described man's terres-trial life as an intentional existence in and towards the world through knowledge and love. Through knowledge the world is physically and con-temporaneously present to my consciousness as I am to it, for to know is simply to exist as present with the world. Therefore, it is through this co-presence of knowledge that the world begins to disclose itself and be for a man. ~,Vithin this disclosure the meaning of the world refers itself to other human presences, so that as I live I realize that the world presents itself, not merely for me, but for the other also. The world is present to us both, one we mutually encounter. My presence in the world is emi-nently co-presence. Gradually I begin to realize that the presence to me of persons is radically different from things. While the latter are unaware of me, in fact, are indifferent to my stature as a man, my presential awareness of persons tells me that they may take my presence uniquely into account, re-sponding warmly to my whole world of needs, concerns, and achievements. I have given the other access to myself in a way that is beyond the power of things. Of course, the responsiveness of the other to me is subject to degrees of encounter. For instance, I can meet someone with cordiality, shake hands with him, and sit down to dinner and conversation. On the other hand, I can speak to the same person on the telephone, or merely notice him on the opposite side of the street without speaking to him at The Pr,~ence o~ Christ 4, ÷ Joseph F. l~occo~a~vo, $.]. REVIEW FOR RELIGIOUS all. Our mutual presence to one another can remain on a distant, functional level, or it can open itself to more pro-found degrees of responsiveness. Through love my reply to the other's presence is a reply to his unique personhood. He has become for me a cen-ter of new meaning, so that whenever he comes within the range of my presence, I experience an appeal to con-sent to his, to accept it, to support and share it. He now becomes a presence which I cherish, someone who stands lovingly before me when he is visibly in view. Even when he is physically absent, his unique subjectivity grows into an atmosphere which encompasses me and abides, despite the most engrossing tasks. This is what is meant by being-loved. The other's loving presence makes my personal life be more fully and by his affection, aids and favors it. I no longer face the future as an isolated self-presence, and this alone is perhaps the most profound witness of love's contemporaneity: it has created a "we" that brings plenitude and happiness. Having seen from the preceding analysis how the per-son is present, to me through knowledge and love, we can now pass on to the next step in our analysis of Christ's communal presence. Since the Christian community is fundamentally made up of persons who confess a com-mitment to this Person as interior to their, experience, for the sake of ordered procedure we shall first describe the growth of the individual person's unique response to Christ, and then inquire what role the community played in its development. Someone may object, however, that description of such an affective relationship with Him is difficult, if not impossible, because as subject of my love, He does not come within the scope of the senses. This objection would be valid, were His visible presence abso-lutely necessary to sustain such a relationship. But as we shall see, bodily absence does not a priori exclude a personal confrontation with Him. Since "He was made in all things like unto man, sin alone excepted," or, in other words since He is wholly man, my loving commit-ment to Him will follow an interpersonal pattern. He will not let me doubt His intimate friendship with me, nor will He let me think that He is far removed to another sphere or order of creation. We are both persons, and to ascertain the degrees of encounter with one another is to see applied the formulations derived, from the phe-nomenology of love. Let us look back, for a moment, and see how presential knowledge of Him blossomed into the presence of love. As a Christian who steps back and reflects upon the history of his love for Christ, I discover that initially my contact with Him was a certain mild acquaintance, mostly derived through insertion in the world of other Christians. Through dialogue this man was seen as a source and center of activity, a Person of boundless understanding, tender heart, and constancy in action. There was a certain generous and uplifting quality about Him, which made Him both admirable and attractive. The personal dynamism of this man was present to me as something known, though somehow memorable. He was contemporaneously present to my life via the intentional-ity of knowledge. Gradually the knowledge of this man becomes in-teriorized and the remoteness of history vanishes. He is no longer a figure of the past, nor His life a fact of some past history, preserved through a lasting record. His words have a vitality which make them come alive for me, while those of other men are dead, or living only in books and monuments left behind. This man's words are timeless, and as they have beckoned to all men of all ages, they beckon to me now and call for my response: "I am the way and the truth and the light"; and again, "Come to me all you who are burdened and I will refresh you." The sheer radiance of.this man becomes indispensable in my eyes and wakens me to a new life. Admittedly His presence is not a bodily one, but in some ineffable way, His spirit is operative and quickens me now, so that He is contemporaneous with my life. His appeal to come and follow Him, to accept, support, and share His subjec-tivity is one to which I utter an uncompromising yes. I commit myself to this Person, adopt His name, and set Him up for my ideal. He is now not merely one whom I respect at a distance, but one for whom I care. I plan my destiny not alone, but with Him, for He is more to me than some unblemished truth or way of enlightenment. My whole being is seized by the desire to let Him be as He declared Himself: my very God. He is now the center of my experience, my faith, and what formerly existed as an object known in the knower, is now replaced by one who is cherished as a beloved is in a most intimate friend. This sense of togetherness between Christ and myself does not involve His bodily presence, to be sure. But it is not absolutely necessary that there be such a nearness to sustain our love. In order for two people to continue loving one another, it is not requisite that each be visibly on hand for the other. In fact, in the separation of two people in love, their affective response is still a con-temporaneous experience of a lasting bond. Their mu-tual love, despite distance, remains as a tonality, as an abiding atmosphere that permeates each other no matter what the task. How often have we heard it said: "I do not forget you; you are always in my thoughts." We do not reflect on the deep reality that lies beneath these words. We do not understand, or rather, realize, that when two ÷ ÷ The Presence Christ VOLUME 28, 1969 ,579 ÷ ÷ ÷ Joseph F. Roccasalvo, S.J. REVIEW FOR RELIGIOUS 580 persons are united in love, they do not need to lie visibly side by side like two bodies. They are already in each other. This is the principle of all love union, and in particular, of the intimate friendship which is that union's highest form. So it is with myself and Christ to whom I have committed my life. Indeed I look forward hopefully (as anyone who has loved) to the time when we may be reunited in a face to face encounter. But for the extent of my waking life, this Person shall remain an abiding presence for me, operative within the center of my experience. At this point in our analysis, someone might offer the following conscientious objection: how was it possible to have achieved such a loving relationship with Christ, let alone sustain His contemporaneous presence, when one never had the occasion to confront Him in person? Is it not necessary to "ground," in some way, my power to respond? It is here that one must analyse the delicate role of the Christian community in aiding the growth of my personal commitment to Christ. Since I have discovered Him as the personal center of my life, He has also been disclosed as that center to which the common-unity of Christians offer their affirmation of love. Therefore, my commitment to this Person is not an insulated one. In fact, His presence as a presence-to-be. responded to in love would not have been possible if, anterior to my coming, there had not been a community that already celebrated their loving relationship to Him. This community was a "formative milieu," into which I was inserted and which allowed for this growth and re-sponsiveness in love. Therefore, just as I can only grasp myself as a person through the communal presence of other persons who appeal to me for a unique reply, so also I can only grow in a loving, presential awareness of Him insofar as He is disclosed in and through the Christian community. We will better see the roIe of the community as the place of His presence by seeking to un-derstand what transpires within its interior. In the community of Christians, the Person of Christ is the link which binds us, one to the other. This is so, because He is the point of agreement
